CFR 2016 Title14 Vol5 p1200 1399

Title 14
Aeronautics and Space

Part 1200 to End
Revised as of January 1, 2016
Containing a codification of documents

of general applicability and future effect
As of January 1, 2016
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
wgreen on DSK2VPTVN1PROD with CFR
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Table of Contents
Page
Explanation ................................................................................................ v
Title 14:
Chapter VNational Aeronautics and Space Administration ........ 3
Chapter VIAir Transportation System Stabilization ................... 369
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 385
Alphabetical List of Agencies Appearing in the CFR ......................... 405
List of CFR Sections Affected ............................................................. 415

iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 14 CFR
1201.100 refers to title
14, part 1201, section
100.
iv
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 agen-
cies 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 sub-
divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
Title 17 through Title 27 .................................................................as of April 1
Title 28 through Title 41 ..................................................................as of July 1
Title 42 through Title 50 .............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
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U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text
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given rule.
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Many agencies have begun publishing numerous OMB control numbers as amend-
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PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of the revision
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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
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(c) The incorporating document is drafted and submitted for publication in
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vi
An index to the text of Title 3The President is carried within that volume.
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Director,
Office of the Federal Register.
January 1, 2016.
vii
THIS TITLE
Title 14AERONAUTICS AND SPACE is composed of five volumes. The parts in

these volumes are arranged in the following order: Parts 159, 60109, 110199, 200
1199, and part 1200End. The first three volumes containing parts 1199 are com-
prised of chapter IFederal Aviation Administration, Department of Transpor-
tation (DOT). The fourth volume containing parts 2001199 is comprised of chapter
IIOffice of the Secretary, DOT (Aviation Proceedings) and chapter IIICom-
mercial Space Transportation, Federal Aviation Administration, DOT. The fifth
volume containing part 1200End is comprised of chapter VNational Aero-
nautics and Space Administration and chapter VIAir Transportation System
Stabilization. The contents of these volumes represent all current regulations
codified under this title of the CFR as of January 1, 2016.
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.
ix
Title 14Aeronautics
and Space
(This book contains part 1200 to End)
Part
CHAPTER VNational Aeronautics and Space Administra-

tion .................................................................................... 1201
CHAPTER VIAir Transportation System Stabilization ........ 1300
CHAPTER VNATIONAL 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) .................... 45
1207 Standards of conduct .............................................. 67
1208 Uniform relocation assistance and real property
acquisition for Federal and federally assisted
programs .............................................................. 69
1209 Boards and committees ........................................... 69
12101211 [Reserved]
1212 Privacy ActNASA regulations ............................. 71
1213 Release of information to news and information
media .................................................................... 84
1214 Space flight ............................................................. 89
1215 Tracking and Data Relay Satellite System
(TDRSS) ............................................................... 135
1216 Environmental quality ............................................ 140
1217 Duty-free entry of space articles ............................. 148
1221 The NASA Seal and other devices, and the Con-
gressional Space Medal of Honor ......................... 151
1230 Protection of human subjects ................................. 162
1232 Care and use of animals in the conduct of NASA
activities .............................................................. 162
1240 Inventions and contributions .................................. 163
1241 [Reserved]
1245 Patents and other intellectual property rights ....... 168
1250 Nondiscrimination in federally-assisted programs
of NASAeffectuation of Title VI of the Civil

Rights Act of 1964 ................................................. 180
3
14 CFR Ch. V (1116 Edition)
Part Page
1251 Nondiscrimination on basis of handicap ................. 192
1252 Nondiscrimination on the basis of age in programs
or activities receiving Federal financial assist-
ance ...................................................................... 207
1253 Nondiscrimination on the basis of sex in education
programs or activities receiving Federal finan-
cial assistance ...................................................... 214
1259 National Space Grant College and Fellowship Pro-
gram ..................................................................... 231
1260 [Reserved]
1261 Processing of monetary claims (general) ................ 237
1262 Equal Access to Justice Act in agency proceedings 268
1263 Demand for information or testimony served on
agency employees; procedures ............................. 275
1264 Implementation of the Program Fraud Civil Pen-
alties Act of 1986 ................................................... 277
1266 Cross-waiver of liability .......................................... 295
1271 New restrictions on lobbying .................................. 299
1273 [Reserved]
1274 Cooperative agreements with commercial firms ..... 310
1275 Research misconduct .............................................. 361
12761299 [Reserved]
PART 1200 [RESERVED] 1201.102 Functions.
In order to carry out the purpose of
PART 1201STATEMENT OF ORGA- the Act, NASA is authorized to con-
NIZATION AND GENERAL INFOR- duct research for the solution of prob-
MATION lems of flight within and outside the
Earths atmosphere; to develop, con-
Subpart 1Introduction struct, test, and operate aeronautical
and space vehicles for research pur-
Sec. poses; to operate a space transpor-
1201.100 Creation and authority. tation system including the space shut-
1201.101 Purpose. tle, upper stages, space program, space
1201.102 Functions. station, and related equipment; and to
1201.103 Administration. perform such other activities as may
be required for the exploration of
Subpart 2Organization space. The term aeronautical and space
vehicles means aircraft, missiles, sat-
1201.200 General.
ellites, and other space vehicles, to-
Subpart 3Boards and Committees gether with related equipment, devices,
components, and parts. It conducts ac-
1201.300 Boards and committees. tivities required for the exploration of
space with manned and unmanned ve-
Subpart 4 [Reserved] hicles and arranges for the most effec-
tive utilization of the scientific and en-
1201.400 NASA procurement program.
gineering resources of the United
1201.401 Special document depositories.
1201.402 NASA Industrial Applications Cen-
States with other nations engaged in
ters. aeronautical and space activities for
peaceful purposes.
AUTHORITY: 51 U.S.C. 20112(h).
SOURCE: 55 FR 37222, Sept. 10, 1990, unless
1201.103 Administration.
otherwise noted. (a) NASA is headed by an Adminis-
trator, who is appointed from civilian
Subpart 1Introduction life by the President by and with the
advice and consent of the Senate. The
1201.100 Creation and authority. Administrator is responsible, under the
supervision and direction of the Presi-
The National Aeronautics and Space
dent, for exercising all powers and dis-
Administration was established by the
charging all duties of NASA.
National Aeronautics and Space Act (51
(b) The Deputy Administrator of
U.S.C. 20111), as amended (hereafter
NASA is also appointed by the Presi-
called the Act). dent from civilian life by and with the
[55 FR 37222, Sept. 10, 1990, as amended at 79 advice and consent of the Senate. The
FR 18444, Apr. 2, 2014] Deputy Administrator acts with or for
the Administrator within the full scope
1201.101 Purpose. of the Administrators responsibilities.
It is the purpose of the National Aer- In the Administrators absence, the
onautics and Space Administration to Deputy Administrator serves as Acting
carry out aeronautical and space ac- Administrator.
tivities of the United States. Such ac-
tivities shall be the responsibility of, Subpart 2Organization
and shall be directed by, the National
Aeronautics and Space Administration, 1201.200 General.
except that activities peculiar to or NASAs basic organization consists
primarily associated with the develop- of the Headquarters, nine field Centers,
ment of weapons systems, military op- the Jet Propulsion Laboratory (a Fed-
erations, or the defense of the United erally Funded Research and Develop-
States shall be the responsibility of, ment Center), and several component
and shall be directed by, the Depart- installations which report to Center
ment of Defense. Directors. Responsibility for overall
1201.300 14 CFR Ch. V (1116 Edition)
planning, coordination, and control of 1203.203 Degree of protection.

NASA programs is vested in NASA
Headquarters located in Washington, Subpart CClassification Principles and
DC. For additional information, visit Considerations
http://www.nasa.gov/about/ 1203.300 General.
orglindex.html. 1203.301 Identification of information re-
quiring protection.
[79 FR 18444, Apr. 2, 2014] 1203.302 Compilation.
1203.303 Distribution controls.
Subpart 3Boards and 1203.304 Internal effect.
Committees 1203.305 Restricted data.
1201.300 Boards and committees. Subpart DGuides for Original

Classification
(a) NASAs Contract Adjustment
Board (CAB) and Inventions and Con- 1203.400 Specific classifying guidance.
tributions Board (ICB) were established 1203.401 Effect of open publication.
as part of the permanent organization 1203.402 Classifying material other than
documentation.
structure of NASA. Charters for both 1203.403 [Reserved]
Boards are set forth in part 1209 of this 1203.404 Handling of unprocessed data.
chapter. Procedures for the CAB are 1203.405 Proprietary information.
set out in 48 CFR part 1850, and proce- 1203.406 Additional classification factors.
dures for the ICB are set out in 14 CFR 1203.407 Duration of classification.
parts 1240 and 1245. 1203.408 Assistance by Information Security
(b) The Armed Services Board of Con- Specialist in the Center Protective Serv-
ices Office.
tract Appeals (ASBCA) is a neutral, 1203.410 Limitations.
independent forum whose primary 1203.411 Restrictions.
function is to hear and decide post- 1203.412 Classification guides.
award contract disputes between gov-
ernment contractors and those entities Subpart EDerivative Classification
with whom the ASBCA has entered 1203.500 Use of derivative classification.
into agreement to provide services 1203.501 Applying derivative classification
(NASA is one of those entities). The markings.
ASBCA functions in accordance with
the Contract Disputes Act (41 U.S.C. Subpart FDeclassification and
71017109), its Charter, or other remedy- Downgrading
granting provisions. Information about 1203.600 Policy.
the ASBCA can be obtained by mail at 1203.601 Responsibilities.
ASBCA, Skyline 6, Suite 700, 5109 Lees- 1203.602 Authorization.
burg Pike, Falls Church, Virginia 1203.603 Systematic review for declassifica-
220413208, by phone at 7036818500, or tion.
from the Web at www.asbca.mil. 1203.604 Mandatory review for declassifica-
tion.
[79 FR 18444, Apr. 2, 2014]
Subpart G [Reserved]
Subpart 4 [Reserved]
Subpart HDelegation of Authority To
Make Determinations in Original Clas-
PART 1203INFORMATION sification Matters
SECURITY PROGRAM
1203.800 Establishment.
Subpart AScope 1203.801 Responsibilites
1203.802 Membership.
Sec. 1203.803 Ad hoc committees.
1203.100 Legal basis. 1203.804 Meetings.
1203.101 Other applicable NASA regulations.
Subpart INASA Information Security
Subpart BNASA Information Security Program Committee
Program
1203.200 Background and discussion. 1203.901 Responsibilities.

1203.201 Information security objectives. 1203.902 Membership.
1203.202 Responsibilities. 1203.903 Ad hoc committees.
National Aeronautics and Space Admin. 1203.200
1203.904 Meetings. Information obtained or developed by the
Administrator in the performance of his
Subpart JSpecial Access Programs (SAP) functions under this Act shall be made avail-
and Sensitive Compartmented Infor- able for public inspection, except (i) informa-
mation (SCI) Programs tion authorized or required by Federal stat-
ute to be withheld, and (ii) information clas-
1203.1000 General. sified to protect the national security: Pro-
1203.1001 Membership. vided, That nothing in this Act shall author-
1203.1002 Ad hoc committees. ize the withholding of information by the
1203.1003 Meetings. Administrator from the duly authorized
committees of the Congress.
AUTHORITY: E.O. 13526, E.O. 12968, E.O.
13549, E.O. 12829, 32 CFR part 2001, and 51 [44 FR 34913, June 18, 1979, as amended at 48
U.S.C., 20132, 20133. FR 5889, Feb. 9, 1983; 64 FR 72535, Dec. 28,
1999; 78 FR 5117, Jan. 24, 2013]
SOURCE: 44 FR 34913, June 18, 1979, unless
otherwise noted. 1203.101 Other applicable NASA reg-
ulations.
Subpart AScope (a) Subpart H of this part, Delega-
tion of Authority to Make Determina-
1203.100 Legal basis.
tions in Original Security Classifica-
(a) Executive Order 13526 (hereinafter tion Matters.
referred to as the Order). The respon- (b) Subpart I of this part, NASA In-
sibilities and authority of the Adminis- formation Security Program Com-
trator of NASA with respect to the mittee.
original classification of official infor- (c) NASA Procedural Requirements
mation or material requiring protec- (NPR) 1600.2, NASA Classified National
tion against unauthorized disclosure in Security Information (CNSI).
the interest of national defense or for-
[44 FR 34913, June 18, 1979, as amended at 78
eign relations of the United States FR 5117, Jan. 24, 2013]
(hereinafter collectively termed na-
tional security), and the standards for
such classification, are established by Subpart BNASA Information
the the Order and the Information Security Program
Security Oversight Office Directive No.
1203.200 Background and discussion.
1, as amended (32 CFR part 2001, Clas-
sified National Security Information); (a) In establishing a civilian space
(b) E.O. 10865. Executive Order 10865 program, the Congress required NASA
(24 FR 1583) requires the Administrator to provide for the widest practicable
to prescribe by regulation such specific and appropriate dissemination of infor-
requirements, restrictions and other mation concerning its activities and
safeguards as the Administrator may the results thereof, and for the with-
consider necessary to protect: holding from public inspection of that
(1) Releases of classified information information that is classified to pro-
to or within United States industry tect the national security.
that relate to contracts with NASA; (b) The Order was promulgated in
and recognition of the essential require-
(2) Other releases of classified infor- ment for an informed public con-
mation to industry that NASA has re- cerning the activities of its Govern-
sponsibility for safeguarding. ment, as well as the need to protect
(c) The National Aeronautics and Space certain national security information
Act. (1) The National Aeronautics and from unauthorized disclosure. It dele-
Space Act (51 U.S.C. 20113) (Hereafter gates to NASA certain responsibility
referred to as, The Space Act), for matters pertaining to national se-
states: curity and confers on the Adminis-
trator of NASA, or such responsible of-
The Administrator shall establish such se- ficers or employees as the Adminis-
curity requirements, restrictions, and safe- trator may designate, the authority for
guards as he deems necessary in the interest original classification of official infor-
of the national security * * *
mation or material which requires pro-

(2) Section 303 of the Space Act tection in the interest of national secu-
states: rity. It also provides for:
1203.201 14 CFR Ch. V (1116 Edition)
(1) Basic classification, downgrading 1203.202 Responsibilities.

and declassification guidelines; (a) The Chairperson, NASA Informa-
(2) The issuance of directives pre- tion Security Program Committee
scribing the procedures to be followed (NISPC) (Subpart I of this part), who is
in safeguarding classified information the Assistant Administrator for Pro-
or material; tective Services, or designee, is respon-
(3) A monitoring system to ensure sible for:
the effectiveness of the Order; (1) Directing the NASA Information
(4) Appropriate administrative sanc- Security Program (NISP) in accord-
tions against officers and employees of ance with NASA policies and objectives
the United States Government who are and applicable laws and regulations.
found to be in violation of the Order or (2) Ensuring effective compliance
implementing directive; and with and implementation of the
(5) Classification limitations and re- Order and the Information Security
strictions as discussed in 1203.410 and Oversight Office Directive No. 1 relat-
1203.411. ing to security classification matters.
(c) The Order requires the timely (3) Reviewing, in consultation with
identification and protection of that the NASA Information Security Pro-
NASA information the disclosure of gram Committee NISPC, questions,
which would be contrary to the best in- suggestions, appeals and compliance
terest of national security. Accord- concerning the NISP and making de-
ingly, the determination in each case terminations concerning them.
must be based on a judgment as to (4) Coordinating NASA security clas-
whether disclosure of information sification matters with NASA Centers
could reasonably be expected to result and component facilities and other
in damage to the national security. Government agencies.
(5) Ensuring Security Classification
[44 FR 34913, June 18, 1979, as amended at 48 Guides for NASA are developed for
FR 5889, Feb. 9, 1983; 78 FR 5117, Jan. 24, 2013] NASA programs and projects.
(6) Developing, maintaining and rec-
1203.201 Information security objec- ommending to the Administrator
tives. guidelines for the systematic review
The objectives of the NASA Informa- covering all classified information
tion Security Program are to: under NASAs jurisdiction.
(a) Ensure that information is classi- (7) Reviewing and coordinating with
fied only when a sound basis exists for appropriate offices all appeals of deni-
such classification and only for such als of requests for records under sec-
period as is necessary. tions 552 and 552a of Title 5, United
(b) Prevent both the unwarranted States Code (Freedom of Information
classification and the overclassifica- and Privacy Acts) when the denials are
tion of NASA information. based on the records continued classi-
(c) Ensure the greatest practicable fication.
uniformity within NASA in the classi- (8) Recommending to the Adminis-
fication of information. trator appropriate administrative ac-
tion to correct abuse or violations of
(d) Ensure effective coordination and
any provision of the NISP, including
reasonable uniformity with other Gov-
notifications by warning letter, formal
ernment departments and agencies,
reprimand and to the extent permitted
particularly in areas where there is an
by law, suspension without pay and re-
exchange or sharing of information,
moval.
techniques, hardware, software, or
(b) All NASA employees are respon-
other technologies.
sible for bringing to the attention of
(e) Provide a timely and effective the Chairperson of the NISPC any in-
means for downgrading or declassifying formation security problems in need of
information when the circumstances resolution, any areas of interest where-
necessitating the original classifica- in information security guidance is
tion change or no longer exist.
lacking, and any other matters likely

[44 FR 34913, June 18, 1979, as amended at 78 to impede achievement of the objec-
FR 5117, Jan. 24, 2013] tives prescribed in this section.
(c) Each NASA official to whom the marking) and for ensuring that such
authority for original classification is procedures are systematically re-
delegated shall be accountable for the viewed; and those which are duplica-
propriety of each classification (see tive or unnecessary are eliminated.
subpart H) and is responsible for:
(1) Ensuring that classification deter- [44 FR 34913, June 18, 1979, as amended at 45
FR 3888, Jan. 21, 1980; 48 FR 5890, Feb. 9, 1983;
minations are consistent with the pol-
53 FR 41318, Oct. 21, 1988; 64 FR 72535, Dec. 28,
icy and objectives prescribed above,
1999; 78 FR 5117, Jan. 24, 2013]
and other applicable guidelines.
(2) Bringing to the attention of the 1203.203 Degree of protection.
Chairperson, NISPC, for resolution,
any disagreement with classification (a) General. Upon determination that
determinations made by other NASA information or material must be classi-
officials. fied, the degree of protection commen-
(3) Ensuring that information and surate with the sensitivity of the infor-
material which no longer requires its mation must be determined. If there is
present level of protection is promptly reasonable doubt about the need to
downgraded or declassified in accord- classify information, it shall be safe-
ance with applicable guidelines within guarded as if it were classified pending
a reasonable period. a determination by an original classi-
(d) Other supervisors of NASA offices fication authority, who shall make this
are responsible for: determination within 30 days. If there
(1) Ensuring that classified informa- is reasonable doubt about the appro-
tion or material prepared within their priate level of classification, it shall be
respective offices is appropriately safeguarded at the higher level of clas-
marked. sification pending a determination by
(2) Ensuring that material proposed an original classification authority,
for public release is reviewed to redact who shall make this determination
classified information contained there-
within 30 days.
in.
(b) Authorized categories of classifica-
(e) Chiefs of Protective Services at
NASA Centers are responsible for: tion. The three categories of classifica-
(1) Developing proposed Security tion, as authorized and defined in the
Classification Guides and submitting Order, are set out below. No other re-
the guide to the Office of Protective strictive markings are authorized to be
Services for review and approval. placed on NASA classified documents
(2) Ensuring that classified informa- or materials except as expressly pro-
tion or material prepared in their re- vided by statute or by NASA Direc-
spective Center is appropriately tives.
marked. (1) Top Secret. Top Secret is the des-
(3) Ensuring that material proposed ignation applied to information or ma-
for public release is reviewed to redact terial, the unauthorized disclosure of
classified information. which could reasonably be expected to
(4) Coordinating all security classi- cause exceptionally grave damage to
fication actions with the Centers Pro- the national security.
tective Services Office. (2) Secret. Secret is the designation
(f) The Director of the Office of Pro- applied to information or material, the
tective Services, NASA Headquarters, unauthorized disclosure of which could
who serves as a member and Executive reasonably be expected to cause serious
Secretary of the NISPC, is responsible damage to the national security.
for the NASA-wide coordination of se- (3) Confidential. Confidential is the
curity classification matters. designation applied to that informa-
(g) The Information Security Pro-
tion or material for which the unau-
gram Manager, Office of Protective
thorized disclosure could reasonably be
Services (OPS), is responsible for es-
expected to cause damage to the na-
tablishing procedures for the safe-
tional security.
guarding of classified information or

material (e.g., accountability, control, [44 FR 34913, June 18, 1979, as amended at 48
access, storage, transmission, and FR 5890, Feb. 9, 1983; 78 FR 5117, Jan. 24, 2013]
1203.300 14 CFR Ch. V (1116 Edition)
Subpart CClassification 1203.305 Restricted data.

Principles and Considerations Restricted Data or Formerly Re-
stricted Data is so classified when
1203.300 General. originated or by operation of the law,
In general, the types of NASA-gen- as required by the Atomic Energy Act
erated information and material re- of 1954, as amended. Specific guidance
quiring protection in the interest of for the classification of Restricted
national security lie in the areas of ap- Data and Formerly Restricted Data is
plied research, technology or oper- provided in Classification Guides
ations. published by the Department of Energy
and or Department of Defense.
1203.301 Identification of informa- [44 FR 34913, June 18, 1979, as amended at 78
tion requiring protection. FR 5118, Jan. 24, 2013]
Classifiers shall identify the level of
classification of each classified portion Subpart DGuides for Original
of a document (including subject and Classification
titles), and those portions that are not
classified. 1203.400 Specific classifying guid-
ance.
1203.302 Compilation.
Technological and operational infor-
A compilation of items that are indi- mation and material, and in some ex-
vidually unclassified may be classified ceptional cases scientific information
if the compiled information reveals an falling within any one or more of the
additional association or relationship following categories, must be classified
that meets the standards of classifica- if its unauthorized disclosure could
tion under the Order; and is not other- reasonably be expected to cause some
wise revealed in the individual items of degree of damage to the national secu-
information. As used in the Order, rity. In cases where it is believed that
compilations mean an aggregate of pre- a contrary course of action would bet-
existing unclassified items of informa- ter serve the national interests, the
tion. matter should be referred to the Chair-
person, NISPC, for a determination. It
[78 FR 5118, Jan. 24, 2013] is not intended that this list be exclu-
sive; original classifiers are responsible
1203.303 Distribution controls.
for initially classifying any other type
NASA shall establish controls over of information which, in their judg-
the distribution of classified informa- ment, requires protection under 1.4 of
tion to ensure that it is dispersed only the Order.
to organizations or individuals eligible (a) Military plans, weapons systems,
for access to such information and with or operations;
a need-to-know the information. (b) Foreign government information;
[78 FR 5118, Jan. 24, 2013] (c) Intelligence activities (including
covert activities), intelligence sources
1203.304 Internal effect. or methods, or cryptology;
(d) Foreign relations or foreign ac-
The effect of security protection on
tivities of the United States, including
program progess and cost and on other confidential sources;
functional activities of NASA should
(e) Scientific, technological, or eco-
be considered. Impeditive effects and
nomic matters relating to the national
added costs inherent in a security clas- security;
sification must be assessed and
(f) United States Government pro-
weighed against the detrimental ef-
grams for safeguarding nuclear mate-
fects on the national security interests rials or facilities;
which would result from failure to clas-
(g) Vulnerabilities or capabilities of
sify.
systems, installations, infrastructures,

[44 FR 34913, June 18, 1979, as amended at 78 projects, plans, or protection services
FR 5118, Jan. 24, 2013] relating to the national security; or
10
(h) The development, production, or 1203.403 [Reserved]

plans relating to the use of weapons of
mass destruction. 1203.404 Handling of unprocessed
data.
[78 FR 5118, Jan. 24, 2013]
It is the usual practice to withhold
1203.401 Effect of open publication. the release of raw scientific data re-
Public disclosure, regardless of ceived from spacecraft until it can be
source or form, of information cur- calibrated, correlated and properly in-
rently classified or being considered for terpreted by the experimenter under
classification does not preclude initial the monitorship of the cognizant NASA
or continued classification. However, office. During this process, the data are
such disclosure requires an immediate withheld through administrative meas-
reevaluation to determine whether the ures, and it is not necessary to resort
information has been compromised to to security classification to prevent
the extent that downgrading or declas- premature release. However, if at any
sification is indicated. Similar consid-
time during the processing of raw data
eration must be given to related items
it becomes apparent that the results
of information in all programs,
projects, or items incorporating or per- require protection under the criteria
taining to the compromised items of set forth in this subpart D, it is the re-
information. In these cases, if a release sponsibility of the cognizant NASA of-
were made or authorized by an official fice to obtain the appropriate security
Government source, classification of classification.
clearly identified items may no longer
be warranted. Questions as to the pro- 1203.405 Proprietary information.
priety of continued classification Proprietary information made avail-
should be referred to the Chairperson, able to NASA is subject to examination
NASA Information Security Program for classification purposes under the
Committee. criteria set forth in this subpart D.
1203.402 Classifying material other Where the information is in the form of
than documentation. a proposal and accepted by NASA for
support, it should be categorized in ac-
Items of equipment or other physical
cordance with the criteria of 1203.400.
objects may be classified only where
classified information may be derived If NASA does not support the proposal
by visual observation of internal or ex- but believes that security classifica-
ternal appearance, structure, oper- tion would be appropriate under the
ation, test, application or use. The criteria of 1203.400 if it were under
overall classification assigned to equip- Government jurisdiction, the con-
ment or objects shall be at least as tractor should be advised of the rea-
high as the highest classification of sons why safeguarding would be appro-
any of the items of information which priate, unless security considerations
may be revealed by the equipment or preclude release of the explanation to
objects, but may be higher if the the contractor. NASA should identify
classifying authority determines that the Government department, agency or
the sum of classified or unclassified in- activity whose national security inter-
formation warrants such higher classi- ests might be involved and the con-
fication. In every instance where clas- tractor should be instructed to protect
sification of an item of equipment or the proposal as though classified pend-
object is determined to be warranted, ing further advisory classification
such determination must be based on a opinion by the Government activity
finding that there is at least one aspect
whose interests are involved. If such a
of the item or object which requires
Government activity cannot be identi-
protection. If mere knowledge of the
existence of the equipment or object fied, the contractor should be advised
would compromise or nullify the rea- that the proposal is not under NASA
jurisdiction for classification purposes,
son or justification for its classifica-

tion, the fact of its existence should be and that the information should be
classified. sent, under proper safeguards, to the
11
1203.406 14 CFR Ch. V (1116 Edition)
Director, Information Security Over- declassification 10 years from the date

sight Office for a determination. of the original decision, unless the
original classification authority other-
FR 5118, Jan. 24, 2013] wise determines that the sensitivity of
the information requires that it be
1203.406 Additional classification fac- marked for declassification for up to 25
tors. years from the date of the original de-
In determining the appropriate clas- cision.
sification category, the following addi- (c) An original classification author-
tional factors should be considered: ity may extend the duration of classi-
(a) Uniformity within government ac- fication up to 25 years from the date of
tivities. The effect classification will origin of the document, change the
have on technological programs of level of classification, or reclassify spe-
other Government departments and cific information only when the stand-
agencies should be considered. Classi- ards and procedures for classifying in-
fication of official information must be formation under this Order are fol-
reasonably uniform within the Govern- lowed.
ment. (d) No information may remain clas-
(b) Applicability of classification direc- sified indefinitely. Information that is
tives of other Government agencies. It is marked for an indefinite duration of
necessary to determine whether au- classification under predecessor orders,
thoritative classification guidance ex- for example, information marked as
ists elsewhere for the information Originating Agencys Determination
under consideration which would make Required, or classified information
it necessary to assign a higher classi- that contains either incomplete or no
fication than that indicated by the ap- declassification instructions, shall
plicable NASA guidance. The Office of have appropriate declassification infor-
Protective Services will coordinate mation applied in accordance with part
with the Information Security Over- 3 of this order.
sight Office (ISOO) Committee and the [78 FR 5118, Jan. 24, 2013]
National Declassification Center to de-
termine what classification guides are 1203.408 Assistance by Information
current. Security Specialist in the Center
Protective Services Office.
FR 5118, Jan. 24, 2013] Center Security Classification Offi-
cers, as the Center point-of-contact,
1203.407 Duration of classification. will assist Center personnel in:
(a) Interpreting security classifica-
(a) At the time of original classifica-
tion guides and classification assign-
tion, the original classification author-
ments for the Center.
ity shall establish a specific date or
event for declassification based on the (b) Answering questions and consid-
duration of the national security sensi- ering suggestions concerning security
tivity of the information. Upon reach- classification matters.
ing the date or event, the information (c) Ensuring a continuing review of
shall be automatically declassified. Ex- classified information for the purpose
cept for information that should clear- of declassifying or downgrading in ac-
ly and demonstrably be expected to re- cordance with subpart E of this part.
veal the identity of a confidential (d) Reviewing and approving, as the
human source or a human intelligence representative of the contracting offi-
source or key design concepts of weap- cer, the DD Form 254, Contract Secu-
ons of mass destruction, the date or rity Classification Specification, issued
event shall not exceed the timeframe to contractors by the Center.
established in paragraph (b) of this sec- (e) Forwarding all security classifica-
tion. tion guides to the Office of Protective
(b) If the original classification au- Services, NASA Headquarters, for final
approval.
thority cannot determine an earlier

specific date or event for declassifica- [44 FR 34913, June 18, 1979, as amended at 78
tion, information shall be marked for FR 5118, Jan. 24, 2013]
12
1203.409 Exceptional cases. proved in writing by the Adminis-

(a) In those cases where a person not trator, the Deputy Administrator, or
authorized to classify information the Assistant Administrator for Pro-
originates or develops information tective Services. All reclassification
which is believed to require classifica- actions will be coordinated with the In-
tion, that person must contact the formation Security Oversight Office
Centers or installations Information before final approval; the information
Security Officer in the Protective may be reasonably recovered without
Services Office to arrange for proper bringing undue public attention to the
review and safeguarding. Persons other information; the reclassification action
than NASA employees should forward is reported promptly to the Assistant
the information to the NASA Central to the President for National Security
Registry at 300 E Street SW., Wash- Affairs (the National Security Advisor)
ington, DC 20546, Attention: Office of and the Director of the Information Se-
Protective Services. curity Oversight Office; and for docu-
(b) Information in which NASA does ments in the physical and legal cus-
not have primary interest shall be re- tody of the National Archives and
turned promptly, under appropriate Records Administration (National Ar-
safeguards, to the sender in accordance chives) that have been available for
with 1203.405. public use, the Administrator, the Dep-
(c) Material received from another uty Administrator, or the Assistant
agency for a NASA security classifica-
Administrator for Protective Services,
tion determination shall be processed
after making the determinations re-
within 90 days. If a classification can-
quired by this paragraph, shall notify
not be determined during that period,
the material shall be sent, under appro- the Archivist of the United States
priate safeguards, to the Director, In- (hereafter, Archivist), who shall sus-
formation Security Oversight Office, pend public access pending approval of
for a determination. the reclassification action by the Di-
rector of the Information Security
[44 FR 34913, June 18, 1979, as amended at 78 Oversight Office. Any such decision by
FR 5118, Jan. 24, 2013]
the Director may be appealed by the
1203.410 Limitations. agency head to the President through
the National Security Advisor. Public
(a) In no case shall information be
access shall remain suspended pending
classified, continue to be maintained
a prompt decision on the appeal.
as classified, or fail to be declassified
in order to: (d) Information that has not pre-
(1) Conceal violations of law, ineffi- viously been disclosed to the public
ciency, or administrative error; under proper authority may be classi-
(2) Prevent embarrassment to a per- fied or reclassified after an agency has
son, organization, or agency; received a request for it under the
(3) Restrain competition; or Freedom of Information Act (5 U.S.C.
(4) Prevent or delay the release of in- 552), the Presidential Records Act, 44
formation that does not require protec- U.S.C. 2204(c)(1), the Privacy Act of
tion in the interest of the national se- 1974 (5 U.S.C. 552a), or the mandatory
curity. review provisions of section 3.5 of this
(b) Basic scientific research informa- Order only if such classification meets
tion not clearly related to the national the requirements of this Order and is
security may not be classified. accomplished by document-by-docu-
(c) Information may not be reclassi- ment review with the personal partici-
fied after declassification after being pation or under the direction of the Ad-
released to the public under proper au- ministrator, the Deputy Adminis-
thority unless: The reclassification is trator, or the Assistant Administrator
based on a document-by-document re- for Protective Services. The require-
view by NASA and a determination ments in this paragraph also apply to
that reclassification is required to pre-

those situations in which information
vent at least significant damage to the
has been declassified in accordance
national security and personally ap-
13
1203.411 14 CFR Ch. V (1116 Edition)
with a specific date or event deter- for declassification, information shall

mined by an original classification au- be marked for declassification 10 years
thority in accordance with section 1.5 from the date of the original decision,
of this Order. unless the original classification au-
(e) Compilations of items of informa- thority otherwise determines that the
tion that are individually unclassified sensitivity of the information requires
may be classified if the compiled infor- it be marked for declassification for up
mation reveals an additional associa- to 25 years from the date of the origi-
tion or relationship that: nal decision.
(1) Meets the standards for classifica- (4) Indicate specifically that the des-
tion under this Order; and ignations, time limits, markings and
(2) Is not otherwise revealed in the other requirements of the Order are
individual items of information. to be applied to information classified
pursuant to the guide.
FR 5890, Feb. 9, 1983; 78 FR 5119, Jan. 24, 2013] (5) All security classification guides
should be forwarded to the Office of
1203.411 Restrictions. Protective Services for review and
(a) Except as provided by directives final approval. The Office of Protective
issued by the President through the Services will maintain a list of all clas-
National Security Council, classified sification guides in current use.
information originating in one agency (b) Review of classification guides.
may not be disseminated outside any Classification guides shall be reviewed
other agency to which it has been made by the originator for currency and ac-
available without the consent of the curacy not less than once every five
originating agency. For purposes of years. Changes shall be in strict con-
this section, the Department of De- formance with the provisions of this
fense shall be considered one agency. part 1203 and shall be issued promptly.
(b) Classified information shall not If no changes are made, the originator
be disseminated outside the Executive shall so annotate the record copy and
Branch except under conditions that show the date of the review.
ensure the information will be given [44 FR 34913, June 18, 1979, as amended at 48
protection equivalent to that afforded FR 5891, Feb. 9, 1983; 78 FR 5119, Jan. 24, 2013]
within the Executive Branch.
[48 FR 5890, Feb. 9, 1983] Subpart EDerivative
Classification
1203.412 Classification guides.
(a) General. A classification guide, 1203.500 Use of derivative classifica-
tion.
based upon classification determina-
tions made by appropriate program and (a) Persons who reproduce, extract,
classification authorities, shall be or summarize classified information, or
issued for each classified system, pro- who apply classification markings de-
gram or project. Classification guides rived from source material or as di-
shall: rected by a classification guide, need
(1) Identify the information elements not possess original classification au-
to be protected, using categorization thority.
and subcategorization to the extent (b) Persons who apply derivative
necessary to ensure that the informa- classification markings shall:
tion involved can be readily and uni- (1) Be identified by name and posi-
formly identified. tion or by personal identifier, in a
(2) State which of the classification manner that is immediately apparent
designations (i.e., Top Secret, Secret or for each derivative classification ac-
Confidential) apply to the identified in- tion;
formation elements. (2) Observe and respect original clas-
(3) State the duration of each speci- sification decisions; and
fied classification in terms of a period (3) Carry forward to any newly cre-
of time or future event. If the original ated documents the pertinent classi-
classification authority cannot deter- fication markings. For information de-
mine an earlier specific date or event rivatively classified based on multiple
14
sources, the derivative classifier shall ments classified on the basis of mul-
carry forward: tiple sources.
(i) The date or event for declassifica- [44 FR 34913, June 18, 1979, as amended at 48
tion that corresponds to the longest pe- FR 5891, Feb. 9, 1983]
riod of classification among the
sources or the marking established Subpart FDeclassification and
pursuant to section 1.6(a)(4)(D) of the
Downgrading
Order; and
(ii) A listing of the source materials. 1203.600 Policy.
(c) Derivative classifiers shall, when-
Information shall be declassified or
ever practicable, use a classified adden-
downgraded as soon as national secu-
dum when classified information con- rity considerations permit. NASA re-
stitutes a small portion of an otherwise views of classified information shall be
unclassified document or prepare a coordinated with other agencies that
product to allow for dissemination at have a direct interest in the subject
the lowest level of classification pos- matter. Information that continues to
sible or in unclassified form. meet the classification requirements
(d) Persons who apply derivative prescribed by 1203.400 despite the pas-
classification markings shall receive sage of time will continue to be pro-
training in the proper application of tected in accordance with the Order.
the derivative classification principles
[48 FR 5891, Feb. 9, 1983]
of the Order, with an emphasis on
avoiding over-classification, at least 1203.601 Responsibilities.
once every two years. Derivative clas-
Authorized officials with Declas-
sifiers who do not receive such training
sification Authority (DCA) may declas-
at least once every two years shall
sify or downgrade information that is
have their authority to apply deriva- subject to the final classification juris-
tive classification markings suspended diction of NASA and shall take such
until they have received such training. action in accordance with the provi-
A waiver may be granted by the Ad- sions of this subpart F.
ministrator, the Deputy Adminis-
trator, or the Assistant Administrator [44 FR 34913, June 18, 1979, as amended at 78
FR 5120, Jan. 24, 2013]
for Protective Services if an individual
is unable to receive such training due 1203.602 Authorization.
to unavoidable circumstances. When-
ever a waiver is granted, the individual Information shall be declassified or
shall receive such training as soon as downgraded by an authorized DCA offi-
practicable. cial. If that official is still serving in
the same position, the originators suc-
[78 FR 5119, Jan. 24, 2013] cessor, a supervisory official of either,
or officials delegated such authority in
1203.501 Applying derivative classi- writing by the Administrator or the
fication markings. Chairperson, NISPC, may also make a
Persons who apply derivative classi- decision to declassify or downgrade in-
fication markings shall: formation.
(a) Observe and respect original clas- [78 FR 5120, Jan. 24, 2013]
sification decisions:
(b) Verify the informations current 1203.603 Systematic review for de-
level of classification so far as prac- classification:
ticable before applying the markings; (a) General. (1) NASA must establish
and and conduct a program for systematic
(c) Carry forward to newly created declassification review of NASA-origi-
documents any assigned authorized nated records of permanent historical
markings. The declassification date or value exempted from automatic declas-
event that provides the longest period sification under section 3.3 of this
of classification shall be used for docu- Order. The NASA Office of Protective
Services shall prioritize the review of
15
1203.604 14 CFR Ch. V (1116 Edition)
such records in coordination with the (NARA). All security classified records
Center Protective Service Offices. exempt from automatic declassifica-
(2) The Archivist shall conduct a sys- tion, whether held in storage areas
tematic declassification review pro- under installation control or in Federal
gram for classified records: Records Centers, will be surveyed to
(i) Accessioned into the National Ar- identify those requiring scheduling for
chives; future disposition.
(ii) Transferred to the Archivist pur- (A) Classified information or mate-
suant to 44 U.S.C. 2203; and rial over which NASA exercises exclu-
(iii) For which the National Archives sive or final original classification au-
serves as the custodian for an agency thority and which is to be declassified
or organization that has gone out of in accordance with the systematic re-
existence. view guidelines shall be so marked.
(3) The Chairperson, NISPC, shall (B) Classified information or mate-
designate experienced personnel to as- rial over which NASA exercises exclu-
sist the Archivist in the systematic re- sive or final original classification au-
view of U.S. originated information thority and which, in accordance with
and foreign information exempted from the systematic review guidelines is to
automated declassification. Such per- be kept protected, shall be listed by
sonnel shall: category by the responsible custodian
(i) Provide guidance and assistance and referred to the Chairperson, NASA
to the National Archives and Records Information Security Program Com-
Service in identifying and separating mittee. This listing shall:
documents and specific categories of (1) Identify the information or mate-
information within documents which rial involved.
are deemed to require continued classi- (2) Recommend classification beyond
fication; and 25 years to a specific event scheduled
(ii) Develop reports of information or to happen or a specific period of time
document categories so separated, with in accordance with the Order.
recommendations concerning contin- (3) The Administrator shall delegate
ued classification. to the Senior Agency Official the au-
(iii) Develop, in coordination with thority to determine which category
NASA organizational elements, guide- shall be kept classified and the dates or
lines for the systematic review for de- event for declassification.
classification of classified information (4) Declassification by the Director of
under NASAs jurisdiction. The guide- the Information Security Oversight Of-
lines shall state specific limited cat- fice (DISOO). If the Director deter-
egories of information which, because mines that NASA information is classi-
of their national security sensitivity, fied in violation of the Order, the Di-
should not be declassified automati- rector may require the information to
cally, but should be reviewed to deter- be declassified. Any such decision by
mine whether continued protection be- the Director may be appealed through
yond 25 years is needed. These guide- the NASA ISPC to the National Secu-
lines are authorized for use by the Ar- rity Council. The information shall re-
chivist and the Director of the Infor- main classified pending a prompt deci-
mation Security Oversight Office, with sion on the appeal.
the approval of the Senior Agency Offi- (b) [Reserved]
cial, which is the Assistant Adminis- [78 FR 5120, Jan. 24, 2013]
trator, Office of Protective Services,
for categories listed in section 3.3 of 1203.604 Mandatory review for de-
the Order. These guidelines shall be reclassification.
viewed at least every five years and re- (a) Information covered. Except as pro-
vised as necessary, unless an earlier re- vided in paragraph (b) of this section,
view for revision is requested by the all information classified under the
Archivist. Copies of the declassifica- Order or predecessor orders shall be
tion guidelines promulgated by NASA subject to a review for declassification
will be provided to the Information Se- by the originating agency if:

curity Oversight Office, National Ar- (1) The request for a review describes
chives and Records Administration the document or material containing
16
the information with sufficient speci- Registry, 300 E Street SW., Washington
ficity to enable the agency to locate it DC 20546, Attention: Office of Protec-
in a reasonably timely manner; tive Services/Information Security
(2) The document or material con- Program Manager. The phrase, Man-
taining the information responsive to datory Declassification Review, must
the request is not contained within an be stated in the request.
operational file exempted from search (d) Requirement for processing. (1) Re-
and review, publication, and disclosure quests which are submitted under the
under 5 U.S.C. 552 in accordance with Freedom of Information Act cannot be
law; and processed under the MDR process.
(3) The information is not the subject (2) The request describes the docu-
of pending litigation. ment or material containing the infor-
(b) Presidential papers. Information mation with sufficient specificity, such
originated by the President or Vice as accession numbers, box titles or
President; the Presidents White House numbers, date and title of document, in
Staff, or the Vice Presidents Staff; any combination, to enable NASA to
committees, commissions, or boards locate it with a reasonable amount of
appointed by the President; or other effort, not to exceed 30 days. If more
entities within the Executive Office of time is required, NASA will notify the
the President that solely advise and as- requester. After review, the informa-
sist the President are exempted from tion or any portion thereof that no
the provisions of paragraph (a) of this longer requires protection shall be de-
section. However, the Archivist shall classified and released unless with-
have the authority to review, down- holding is otherwise warranted under
grade, and declassify papers or records applicable law.
of former Presidents and Vice Presi- (e) Processing of requests. Requests
dents under the control of the Archi- that meet the requirements of para-
vist pursuant to 44 U.S.C. 2107, 2111, graph (d)(2) of this section will be proc-
2111 note, or 2203. Procedures developed essed as follows:
by the Archivist shall provide for con- (1) The NASA Office of Protective
sultation with agencies having primary Services review upon receiving the ini-
subject matter interest and shall be tial request shall be completed within
consistent with the provisions of appli- 365 days.
cable laws or lawful agreements that (2) Receipt of the request shall be ac-
pertain to the respective Presidential knowledged promptly. The NASA Of-
papers or records. Agencies with pri- fice of Protective Services shall deter-
mary subject matter interest shall be mine whether, under the declassifica-
notified promptly of the Archivists de- tion provisions of this part 1203, the re-
cision. Any final decision by the Archi- quested information may be declas-
vist may be appealed by the requester sified and, if so, shall make such infor-
or an agency to the Panel. The information available to the requestor, un-
mation shall remain classified pending less withholding is otherwise war-
a decision on the appeal. ranted under applicable law. If the in-
(c) Submission of requests for review. formation may not be released in whole
Requests for mandatory review of clas- or in part, the requestor shall be given
sified information shall be submitted a brief statement of the reasons for de-
in accordance with the following: nial, a notice of the right to appeal the
(1) Requests originating within determination to the Chairperson,
NASA shall, in all cases, be submitted NASA Information Security Program
directly to the NASA Office of Protec- Committee, National Aeronautics and
tive Services. Space Administration, Washington, DC
(2) For the most expeditious action, 20546, and a notice that such an appeal
requests from other Governmental must be filed within 60 days in order to
agencies or from members of the public be considered.
should be submitted directly to the (3) All appeals of denials of requests
NASA Office of Protective Services for declassification shall be acted upon
only. The requestor may submit the re- and determined finally within 120
quest to: National Aeronautics and working days after receipt, and the re-
Space Administration (NASA), Central quester shall be advised that the appeal
17
1203.604 14 CFR Ch. V (1116 Edition)
determination is final. If the requester downgraded or declassified, NASA shall

is dissatisfied with NASAs appeal deci- be deemed to be the originating agency
sion, the requester may initiate an ap- for the purpose of declassifying or
peal to the Interagency Security Clas- downgrading such material. NASA will
sification Appeals Panel (ISCAP), with- consult with the Information Security
in the Information Security Oversight Oversight Office to assist in final dis-
Office. If continued classification is re- position of the information.
quired under the provisions of this part (3) Transfer for storage or retirement.
1203, the requester shall be notified of (i) Insofar as practicable, classified
the reasons thereof. documents shall be reviewed to deter-
(4) The declassification and release of mine whether or not they can be down-
foreign government information that is graded or declassified prior to being
subjected to mandatory review under forwarded to records centers or to the
this section shall be determined only in National Archives for storage. Any
accordance with 1203.703. downgrading or declassification deter-
(5) When the NASA Office of Protec- mination shall be indicated on each
tive Services receives any request for document by appropriate markings.
declassification of information in docu- (ii) Classified information transferred
ments in its custody that was classified to the General Services Administration
by another Government agency, it for accession into the Archives of the
shall refer copies of the request and the United States shall be downgraded or
requested documents to the originating declassified by the Archivist of the
agency for processing and may, after
United States in accordance with the
consultation with the originating agen-
Order, the directives of the Informa-
cy, inform the requester of the referral.
tion Security Oversight Office, GSA,
(f) Neutral response. In response to a
and NASA guidelines.
request for information under the Free-
dom of Information Act, the Privacy (h) Downgrading and declassification
Act of 1974, or the mandatory review actions(1) Notification of changes in
provisions of the Order, NASA shall classification or declassification. When
refuse to confirm or deny the existence classified material has been marked
or non-existence of requested informa- with specific dates or events for down-
tion whenever the fact of its existence grading or declassification, it is not
or non-existence is itself classifiable necessary to issue notices of such ac-
under the Order. tions to any holders. However, when
(g) Declassification of transferred docu- such actions are taken earlier than
ments or material(1) Material officially originally scheduled, or the duration of
transferred. In the case of classified in- classification is shortened, the author-
formation or material transferred by or ity making such changes shall, to the
pursuant to statute or Executive Order extent practicable, ensure prompt noti-
to NASA in conjunction with a transfer fication to all addressees to whom the
of functions (not merely for storage information or material was originally
purposes) for NASAs use and as part of transmitted. The notification shall
its official files or property, as distin- specify the marking action to be taken,
guished from transfers merely for pur- the authority therefor, and the effec-
poses of storage, NASA shall be deemed tive date. Upon receipt of notification,
to be the original classifying authority recipients shall effect the proper
over such material for purposes of changes and shall notify addressees to
downgrading and declassification. whom they have transmitted the clas-
(2) Material not officially transferred. sified information or material.
When NASA has in its possession clas- (2) Posted notice. If prompt remarking
sified information or material origi- of large quantities would be unduly
nated by an agency which has since burdensome, the custodian may attach
ceased to exist and that information declassification, downgrading, or up-
has not been officially transferred to grading notices to the storage unit in
another department or agency or when lieu of the remarking action otherwise
it is impossible for NASA to identify required. Each notice shall indicate the
the originating agency and a review of change, the authority for the action,
the material indicates that it should be the date of the action, and the storage
18
units to which it applies. Items with- Services, is designated to act as the

drawn from such storage units shall be Committee Executive Secretary.
promptly remarked. However, when in-
[78 FR 5121, Jan. 24, 2013]
formation subject to a posted down-
grading or declassification notice is 1203.801 Responsibilities.
withdrawn from one storage unit solely
for transfer to another, or a storage (a) The Chairperson reports to the
unit containing such information is Administrator concerning the manage-
transferred from one place to another, ment and direction of the NASA Infor-
the transfer may be made without re- mation Security Program as provided
marking if the notice is attached to or for in subpart B of this part. In this
remains with each shipment. connection, the Chairperson is sup-
(i) Foreign Relations Series. In order to ported and advised by the Committee.
permit the State Department editors of (b) The Committee shall act on all
Foreign Relations of the United States to appeals from denials of declassification
meet their mandated goal of publishing requests and on all suggestions and
20 years after the event, NASA shall complaints with respect to administra-
assist these editors by facilitating action of the NASA Information Security
cess to appropriate classified materials Program as provided for in subpart B of
in its custody and by expediting declas- this part.
sification review of items from its files (c) The Executive Secretary of the
selected for publication. Committee shall maintain all records
(ii) [Reserved] produced by the Committee, its sub-
committees, and its ad hoc panels.
[44 FR 34913, June 18, 1979, as amended at 45 (d) The Office of Protective Services
FR 3888, Jan. 21, 1980; 48 FR 5892, Feb. 9, 1983;
will provide staff assistance and inves-
53 FR 41318, Oct. 21, 1988; 78 FR 5120, Jan. 24,
2013] tigative and support services for the
Committee.
EDITORIAL NOTE: At 78 FR 5120, Jan. 24,
2013, 1203.604 was amended in part by revis- [78 FR 5121, Jan. 24, 2013]
ing paragraphs (d)(3) and (4); however, the
amendatory instruction could not be incor- 1203.802 Membership.
porated completely because (d)(3) and (4) did
The Committee membership will con-
not exist.
sist of the Chairperson, the Executive
Secretary, and one person nominated
Subpart G [Reserved] by each of the following NASA offi-
cials:
Subpart HDelegation of Author- (a) The Associate Administrators for:
ity To Make Determinations in (1) Aeronautics.
Original Classification Matters (2) Science Missions Directorate.
(3) Human Explorations and Oper-
SOURCE: 62 FR 54380, Oct. 20, 1997, unless ations.
otherwise noted. (4) International and Interagency Re-
lations.
1203.800 Establishment. (b) The Associate Administrator.
Pursuant to Executive Order 13526, (c) The General Counsel.
Classified National Security Informa- (d) The Chief Information Officer.
tion, and The Space Act, in accord- (e) Other members may be designated
ance with U.S.C. Title 51, National and upon specific request of the Chair-
Commercial Space Program Sections person.
20132 and 20133, there is established a [78 FR 5121, Jan. 24, 2013]
NASA Information Security Program
Committee (as part of the permanent 1203.803 Ad hoc committees.
administrative structure of NASA).
The Chairperson is authorized to es-
The NASA Assistant Administrator for
tablish such ad hoc panels or sub-
Protective Services, or designee, shall
committees as may be necessary in the
be the Chairperson of the Committee.

conduct of the Committees work.
The Information Security Program
Manager, NASA Office of Protective [78 FR 5121, Jan. 24, 2013]
19
1203.804 14 CFR Ch. V (1116 Edition)
1203.804 Meetings. tigative and support services for the

Committee.
(a) Meetings will be held at the call
of the Chairperson. [54 FR 6881, Feb. 15, 1989, as amended at 78
(b) Records produced by the Com- FR 5122, Jan. 24, 2013]
mittee and the minutes of each meet- 1203.902 Membership.
ing will be maintained by the Execu-
tive Secretary. The Committee will consist of the
Chairperson and Executive Secretary.
[78 FR 5121, Jan. 24, 2013] In addition, each of the following
NASA officials will nominate one per-
Subpart INASA Information son to Committee membership:
Security Program Committee (a) Associate Administrator for:
(1) Aero-Space Technology.
(2) Space Science.
SOURCE: 54 FR 6881, Feb. 15, 1989, unless
otherwise noted.
(3) Space Flight.
(4) External Relations.
1203.900 Establishment. (5) Life and Microgravity Sciences
and Applications.
Pursuant to Executive Order 13526, (b) Associate Deputy Administrator.
Classified National Security Informa- (c) General Counsel.
tion, and The Space Act, in accord- Other members may be designated
ance with U.S.C. Title 51, National and upon specific request of the Chair-
Commercial Space Program Sections person.
20132 and 20133, there is established a
NASA Information Security Program [54 FR 6881, Feb. 15, 1989, as amended at 64
FR 72535, Dec. 28, 1999]
Committee (as part of the permanent
administrative structure of NASA. The 1203.903 Ad hoc committees.
NASA Assistant Administrator for
Protective Services, or designee, shall The Chairperson is authorized to es-
be the Chairperson of the Committee. tablish such ad hoc panels or sub-
The Information Security Program committees as may be necessary in the
conduct of the Committees work.
Manager, NASA Office of Protective
Services, is designated to act as the 1203.904 Meetings.
Committee Executive Secretary.
(a) Meetings will be held at the call
[78 FR 5122, Jan. 24, 2013] of the Chairperson.
(b) Records produced by the Com-
1203.901 Responsibilities. mittee and the minutes of each meet-
(a) The Chairperson reports to the ing will be maintained by the Execu-
Administrator concerning the manage- tive Secretary.
ment and direction of the NASA Infor-
mation Security Program as provided Subpart JSpecial Access Pro-
for in subpart B of this part. In this grams (SAP) and Sensitive
connection, the Chairperson is sup- Compartmented Information
ported and advised by the Committee. (SCI) Programs
(b) The Committee shall act on all
appeals from denials of declassification SOURCE: 78 FR 5122, Jan. 24, 2013, unless
requests and on all suggestions and otherwise noted.
complaints with respect to administra-
tion of the NASA Information Security 1203.1000 General.
Program as provided for in subpart B of A SAP or SCI program shall be cre-
this part. ated within NASA only upon specific
(c) The Executive Secretary of the written approval of the Administrator
Committee shall maintain all records and must be coordinated with the As-
produced by the Committee, its sub- sistant Administrator for Protective
committees, and its ad hoc panels. Services, or designee, to ensure re-

(d) The Office of Protective Services, quired security protocols are imple-
will provide staff assistance, and inves- mented and maintained.
20
National Aeronautics and Space Admin. 1203a.101
1203.1001 Membership. appropriate and adequate protection

The Committee membership will con- for facilities, property, or classified/
proprietary information and material
sist of the Chairperson, the Executive
in the possession of NASA or NASA
Secretary, and one person nominated
contractors located at NASA Centers
by each of the following NASA offi-
and Component Facilities.
cials:
(b) This part sets forth:
(a) The Associate Administrators for:
(1) The designation and maintenance
(1) Aeronautics.
of security areas,
(2) Science Missions Directorate.
(2) The responsibilities and proce-
(3) Human Explorations and Oper-
dures in connection therewith, and
ations.
(3) The penalties that may be en-
(4) International and Interagency Re-
forced through court actions against
lations.
unauthorized persons entering security
(b) The Associate Administrator.
areas.
(c) The General Counsel.
(d) The Chief Information Officer. [38 FR 8056, Mar. 28, 1973, as amended at 78
(e) Other members may be designated FR 5123, Jan. 24, 2013]
upon specific request of the Chair-
person. 1203a.101 Definitions.
For the purpose of this part, the fol-
1203.1002 Ad hoc committees. lowing definitions apply:
The Chairperson is authorized to es- (a) Security area. A physically defined
tablish such ad hoc panels or sub- area, established for the protection or
committees as may be necessary in the security of facilities, property, or
conduct of the Committees work. classfied/proprietary information and
material in the possession of NASA or
1203.1003 Meetings. a NASA contractor located at a NASA
(a) Meetings will be held at the call Center or Component Facility, entry to
of the Chairperson. which is subject to security measures,
(b) Records produced by the Com- procedures, or controls. Security areas
mittee and the minutes of each meet- which may be established are:
ing will be maintained by the Execu- (1) Controlled area. An area in which
tive Secretary. security measures are taken to safe-
guard and control access to property
and hazardous materials or other sen-
PART 1203aNASA SECURITY sitive material or to protect operations
AREAS that are vital to the accomplishment of
the mission assigned to a Center or
Sec.
Component Facility. The controlled
1203a.100 Purpose and scope.
1203a.101 Definitions. area shall have a clearly defined perim-
1203a.102 Establishment, maintenance, and eter, but permanent physical barriers
revocation of security areas. are not required.
1203a.103 Access to security areas. (2) Limited area. An area in which se-
1203a.104 Violation of security areas. curity measures are taken to safeguard
1203a.105 Implementation by field and com- or control access to classified material
ponent installations.
or unclassified property warranting
AUTHORITY: The National Aeronautics and special protection or property and haz-
Space Act of 1958, as amended, 51 U.S.C. 20101 ardous materials or to protect oper-
et seq. ations that are vital to the accomplish-
SOURCE: 38 FR 8056, Mar. 28, 1973, unless ment of the mission assigned to a Cen-
otherwise noted. ter or Component Facility. A Limited
Area shall also have a clearly defined
1203a.100 Purpose and scope. perimeter, but differs from a Con-
(a) To insure the uninterrupted and trolled Area in that permanent phys-
successful accomplishment of the ical barriers and access control de-
NASA mission, certain designated se- vices, including walls and doors with
curity areas may be established and locks or access devices, are emplaced
maintained by NASA Centers and Com- to assist the occupants in keeping out
ponent Facilities in order to provide unauthorized personnel. All facilities
21
1203a.102 14 CFR Ch. V (1116 Edition)
designated as NASA Critical Infra- lishment of each permanent security

structure or a key resource will be des- area:
ignated at a minimum as Limited (a) The name and specific location of
areas. the NASA Center or Component Facil-
(3) Exclusion area. An area that is a ity, or property to be protected.
permanent facility dedicated solely to (b) A statement that the property is
the safeguarding and use of Classified owned by, or leased to, the United
National Security Information. It is States for use by NASA or is the prop-
used when vaults are unsuitable or im- erty of a NASA contractor located on a
practical and where entry to the area NASA Center or Component Facility.
alone provides visible or audible access (c) Designation desired: i.e., con-
to classified material. To prevent un- trolled, limited, or Exclusion.
authorized access to an exclusion area,
(d) Specific purpose(s) for the estab-
visitors will be escorted or other inter-
lishment of a security area.
nal restrictions implemented, as deter-
mined by the Center Security Office. (ii) For those areas currently des-
ignated by the Center as permanent
(b) Temporary security area. A des-
security areas, the information set
ignated interim security area, the need
forth in paragraph (d)(3)(i) of this sec-
for which will not exceed 30 days from
tion will be furnished to the Assistant
date of establishment. A temporary se-
Administrator for Protective Services ,
curity area may also be established,
pending approval of its establishment NASA Headquarters, within 30 work-
as a permanent security area. days of the effective date of this part.
(c) Permanent security area. A des- (b) Maintenance. The security meas-
ignated security area, the need for ures which may be utilized to protect
which will exceed 30 days from date of such areas will be determined by the
establishment. requirements of individual situations.
At a minimum, such security measures
[38 FR 8056, Mar. 28, 1973, as amended at 78 will:
FR 5123, Jan. 24, 2013] (1) Provide for the posting of signs at
entrances and at such intervals along
1203a.102 Establishment, mainte-
nance, and revocation of security the perimeter of the designated area as
areas. to provide reasonable notice to persons
about to enter thereon. The Assistant
(a) Establishment. (1) Directors of Administrator for Protective Services,
NASA Centers, including Component NASA Headquarters, upon request,
Facilities and Technical and Service may approve the use of signs that are
Support Centers, and the Executive Di- now being used pursuant to a State
rector for Headquarters Operations at statute.
NASA Headquarters may establish,
(2) Regulate authorized personnel
maintain, and protect such areas des-
entry and movement within the area.
ignated as Controlled, Limited, or Ex-
clusion, depending upon their assess- (3) Deny entry of unauthorized per-
ment of the potential for unauthorized sons or property.
persons either to: (4) Prevent unauthorized removal of
(i) Obtain knowledge of classified in- classified information and material or
formation, property from a NASA Center or Com-
(ii) Damage or remove property, or to ponent Facility.
(iii) Disrupt NASA or NASA con- (c) Revocation. Once the need for an
tractor operations. established permanent security area no
(2) The concurrence of the Assistant longer exists, the area will be returned
Administrator for Protective Services immediately to normal controls and
NASA Headquarters, shall be obtained procedures or as soon as practicable.
prior to the establishment of a perma- The Assistant Administrator for Pro-
nent security area. tective Services will be informed of
permanent security area revocations
(3)(i) At a minimum, the following
within 15 workdays.
information will be submitted to the

Assistant Administrator for Protective [38 FR 8056, Mar. 28, 1973, as amended at 78
Services 15 workdays prior to estab- FR 5124, Jan. 24, 2013]
22
National Aeronautics and Space Admin. 1203b.100
1203a.103 Access to security areas. ments or procedures for authorized

entry into an area designated con-
(a) Only those NASA employees,
trolled, limited, or exclusion pursuant
NASA contractor employees, and visi-
to the provisions of this part may be
tors who have a need for such access
subject to prosecution under 18 U.S.C.
and who meet the following criteria
799 which provides penalties for a fine
may enter a security area:
of not more than $5,000 or imprison-
(1) Controlled area. Be authorized to
ment for not more than 1 year, or both.
enter the area alone or be escorted by
or under the supervision of a NASA [38 FR 8056, Mar. 28, 1973, as amended at 78
employee or NASA contractor em- FR 5124, Jan. 24, 2013]
ployee who is authorized to enter the
area. 1203a.105 Implementation by field
and component installations.
(2) Limited area. Possess a security
clearance equal to the level of the clas- If a Director of a NASA Centers and
sified information or material held, Component Facilities, finds it nec-
discussed, or disseminated on site or is essary to issue supplemental instruc-
the holder of a positive national agen- tions to any provision of this part, the
cy check if classified material or infor- instructions must first be published in
mation is not involved. Personnel who the FEDERAL REGISTER. Therefore, the
do not meet the requirements for proposed supplemental instructions
unescorted access may be escorted by a will be sent to the Assistant Adminis-
NASA employee or NASA contractor trator for Protective Services, NASA
employee who meets the access re- Headquarters, in accordance with
quirements and has been authorized to NASA Policy Directive 1400.2, Pub-
enter the area. lishing NASA Documents in the FED-
(3) Exclusion area. Possess a security ERAL REGISTER and Responding to Reg-
clearance equal to the classified infor- ulatory Actions for processing.
mation or material involved. [38 FR 8056, Mar. 28, 1973, as amended at 78
(b) The Center Directors, including FR 5124, Jan. 24, 2013]
Component Facilities and Technical
and Service Support Centers, and the PART 1203bSECURITY PRO-
Executive Director for Headquarters GRAMS; ARREST AUTHORITY AND
Operations, NASA Headquarters, may
rescind previously granted authoriza-
USE OF FORCE BY NASA SECU-
tions to enter a security area when an RITY FORCE PERSONNEL
individuals access is no longer re-
Sec.
quired, threatens the security of the
1203b.100 Purpose.
property, or is disruptive of Govern- 1203b.101 Scope.
ment operations. 1203b.102 Definitions.
1203b.103 Arrest authority.
[38 FR 8056, Mar. 28, 1973, as amended at 78
1203b.104 Exercise of arrest authoritygen-
FR 5124, Jan. 24, 2013]
eral guidelines.
1203b.105 Use of non-deadly physical force
1203a.104 Violation of security areas.
when making an arrest.
(a) Removal of unauthorized persons. 1203b.106 Use of deadly force.
The Center Directors, including Com- 1203b.107 Use of firearms.
ponent Facilities and Technical and 1203b.108 Management oversight.
Service Support Centers, and the Exec- 1203b.109 Disclaimer.
utive Director for Headquarters, NASA AUTHORITY: The National and Commercial
Headquarters may order the removal or Space Program (51 U.S.C.). Sections 20132
eviction of any person whose presence and 20133 et seq.
in a designated security area is in vio- SOURCE: 57 FR 4926, Feb. 11, 1992, unless
lation of the provisions of this part or otherwise noted.
any regulation or order established
pursuant to the provisions of this part. 1203b.100 Purpose.
(b) Criminal penalties for violation. This regulation implements 51 U.S.C.
Whoever willfully violates, attempts to National and Commercial Space Pro-

violate, or conspires to violate any reg- grams, sections 20133 and 20134, by es-
ulation or order establishing require- tablishing guidelines for the exercise of
23
1203b.101 14 CFR Ch. V (1116 Edition)
arrest authority and for the exercise of one of its contractors or subcontrac-
physical force, including deadly force, tors, at facilities owned by or con-
in conjunction with such authority. tracted to NASA; and
[57 FR 4926, Feb. 11, 1992, as amended at 78 (2) The person to be arrested has
FR 5124, Jan. 24, 2013] committed in the arresting officers
presence an offense against the United
1203b.101 Scope. States Government, NASA, or a NASA
This part applies to only those NASA contractor; or
and NASA contractor security force (3) The arresting officer has reason-
personnel who are authorized to exer- able grounds to believe that the person
cise arrest authority in accordance to be arrested has committed or is
with 51 U.S.C. 20134 and this regulation. committing any felony cognizable
[57 FR 4926, Feb. 11, 1992, as amended at 78 under the laws of the United States.
FR 5124, Jan. 24, 2013] (c) The Office of the General Counsel,
NASA Headquarters, or the Center
1203b.102 Definitions. Chief Counsels Office, as appropriate,
Accredited Course of Training. A shall provide guidance as to the appli-
course of instruction offered by the cability of these regulations.
NASA Protective Services Training
[57 FR 4926, Feb. 11, 1992, as amended at 78
Academy, or an equivalent course of
FR 5125, Jan. 24, 2013]
instruction offered by another Federal
agency. See 1203b.103(a)(1). 1203b.104 Exercise of arrest author-
Arrest. An act, resulting in the re- itygeneral guidelines.
striction of a persons movement, other
than a brief detention for purposes of (a) In making an arrest, the security
questioning concerning a persons iden- force personnel should announce their
tity and requesting identification, ac- authority and that the person is under
complished by means of force or show arrest prior to taking the person into
of authority under circumstances that custody. If the circumstances are such
would lead a reasonable person to be- that making such an announcement
lieve that he/she was not free to leave would be useless or dangerous to the
the presence of the officer. security force personnel or others, the
Contractor. NASA contractors and security force personnel may dispense
subcontractors at all levels. with these announcements, but must
[57 FR 4926, Feb. 11, 1992, as amended at 78 subsequently identify themselves and
FR 5125, Jan. 24, 2013] their arrest authority to the arrested
person(s) as soon as reasonably pos-
1203b.103 Arrest authority. sible.
(a) NASA security force personnel (b) The security force personnel at
may exercise arrest authority, pro- the time and place of arrest may
vided that: search the arrested person and the area
(1) They have graduated from an ac- immediately surrounding the arrested
credited training course (see person for weapons and criminal evi-
1203b.102(a)); and dence. This is to protect the arresting
(2) They have been certified in writ- officer and to prevent the destruction
ing by the Assistant Administrator for of evidence.
Protective Services, or designee, as (c) Custody of the person arrested
specifically authorized to exercise ar- should be transferred to other Federal
rest authority. law enforcement personnel (e.g., United
(b) The authority of NASA security States Marshals or FBI agents) or to
force personnel to make a warrantless local law enforcement agency per-
arrest is subject to the following condi- sonnel, as appropriate, as soon as pos-
tions:
sible, in order to ensure the person is
(1) The arresting officer must be
brought before a magistrate without
guarding and protecting property
unnecessary delay.
owned or leased by, or under the con-

trol of, the United States under the ad- [57 FR 4926, Feb. 11, 1992, as amended at 78
ministration and control of NASA or FR 5125, Jan. 24, 2013]
24
National Aeronautics and Space Admin. 1203b.107
1203b.105 Use of non-deadly physical (2) Do not fire if shots are likely to
force when making an arrest. harm innocent bystanders.
When a security force personnel has (3) Shoot to stop.
the right to make an arrest, as dis- (b) Warning shots are not authorized.
cussed in 1203b.103, the officer may (c) In the event that a security force
use only that non-deadly physical force personnel discharges a weapon while in
which is reasonable and necessary to a duty status:
apprehend and arrest the offender; to (1) The incident shall be reported to
prevent the escape of the offender; or the Center Chief of Security who, in
to defend himself/herself or a third per- turn, will report it to the NASA Assist-
son from what the security force offi- ant Administrator for Protective Serv-
cer reasonably believes to be the use or ices as expeditiously as possible, with
threat of imminent use of non-deadly as many details supplied as are avail-
physical force by the offender. Verbal able.
abuse alone by the offender cannot be (2) The officer shall be promptly sus-
the basis under any circumstances for pended from duty with pay or reas-
use of non-deadly physical force by a signed to other duties not involving
security force officer. the use of a firearm, as the Center Di-
rector or the Assistant Administrator
[57 FR 4926, Feb. 11, 1992, as amended at 78 for Protective Services deems appro-
FR 5125, Jan. 24, 2013] priate, pending investigation of the in-
cident.
1203b.106 Use of deadly force. (3) The cognizant Center Director, or
NASA security force personnel may for incidents occurring at NASA Head-
use deadly force only when necessary, quarters, the Executive Director for
that is, when the officer has a reason- Headquarters Operations, shall appoint
able belief that the subject of such an investigating officer to conduct a
force poses an imminent danger of thorough investigation of the incident.
death or serious physical injury to the Additional personnel may also be ap-
officer or to another person. pointed, as needed to assist the inves-
(a) Deadly force may not be used tigating officer. Upon conclusion of the
solely to prevent the escape of a fleeing investigation, the investigating officer
suspect. shall submit a written report of find-
(b) Firearms may not be fired solely ings and recommendations to the ap-
to disable moving vehicles. propriate Installation Director or the
(c) If feasible and if to do so would Assistant Administrator for Protective
not increase the danger to the officer Services.
or others, a verbal warning to submit (4) Upon conclusion of the investiga-
to the authority of the officer shall be tion, the Center Director or the Assist-
given prior to the use of deadly force. ant Administrator for Protective Serv-
(d) Warning shots are not permitted ices, with the advice of Counsel, shall
outside of the prison context. determine the disposition appropriate
(e) Officers will be trained in alter- to the case.
native methods and tactics for han- (d) Firearms will be periodically in-
dling resisting subjects which must be spected and kept in good working order
used when the use of deadly force is not by a qualified gunsmith. Ammunition,
authorized by this policy. holsters, and related equipment will be
periodically inspected for deterioration
[78 FR 5125, Jan. 24, 2013] and kept in good working order. Fire-
arms and ammunition will be securely
1203b.107 Use of firearms. stored separately in locked containers.
(a) If it becomes necessary to use a Firearms will not be stored in a loaded
firearm in any of the circumstances de- condition. Neither firearms nor ammu-
scribed in 1203b.106, NASA security nition will be stored in the same con-
force personnel shall comply with the tainers as money, drugs, precious ma-
following precautions whenever pos- terials, or classified information.
sible: NASA Headquarters and each Installa-

(1) Give an order to halt or desist be- tion shall adopt procedures for the
fore firing. maintenance of records with respect to
25
1203b.108 14 CFR Ch. V (1116 Edition)
the issuance of firearms and ammuni- matter, civil or criminal, and they do
tion. not place any limitations on otherwise
lawful activities of security force per-
FR 5263, Jan. 21, 1993; 78 FR 5125, Jan. 24, sonnel or the National Aeronautics and
2013] Space Administration.
1203b.108 Management oversight.
FR 5263, Jan. 21, 1993; 78 FR 5125, Jan. 24,
(a) The Administrator shall establish 2013]
a committee to exercise management
oversight over the implementation of PART 1204ADMINISTRATIVE
arrest authority.
(b) The Administrator shall establish
AUTHORITY AND POLICY
a reporting requirement for NASA
Subparts 13 [Reserved]
Headquarters and NASA Centers.
(c) The Assistant Administrator for Subpart 4Small Business Policy
Protective Services, or designee, will
ensure that all persons who are author- Sec.
ized to exercise arrest authority will, 1204.400 Scope of subpart.
before performing these duties: 1204.401 Policy.
(1) Receive instructions on regula- 1204.402 Responsibilities.
tions regarding the use of force, includ- 1204.403 General policy.
ing deadly force; and
(2) Demonstrate requisite knowledge Subpart 5Delegations and Designations
and skill in the use of unarmed defense 1204.500 Scope of subpart.
techniques and their assigned firearms. 1204.501 Delegation of authorityto take
(d) The Associate Assistant Adminis- actions in real estate and related mat-
trator for Protective Services, or des- ters.
ignee, will also: 1204.502 [Reserved]
(1) Ensure periodic refresher training 1204.503 Delegation of authority to grant
to maintain continued proficiency and easements.
current knowledge of unarmed defense 1204.504 Delegation of authority to grant
techniques; leaseholds, permits, and licenses in real
property.
(2) Require security force personnel
1204.505 Delegation of authority to execute
exercising arrest authority to requalify certificates of full faith and credit.
semiannually with their assigned fire- 1204.5061204.507 [Reserved]
arms; and 1204.508 Delegation of authority of certain
(3) Require periodic refresher train- civil rights functions to Department of
ing to ensure continued familiarity Education.
with regulations. 1204.509 Delegation of authority to take ac-
(e) The Executive Director for Head- tion regarding liquidated damage as-
quarters Operations, and Center Direc- sessments under the Contract Work
tors shall issue local policies and pro- Hours and Safety Standards Act, and as-
cedural requirements, subject to prior sociated labor statutes.
NASA Headquarters approval, which
will supplement this regulation for
NASA Headquarters or NASA Center- Subpart 10Inspection of Persons and Per-
specific concerns. sonal Effects at NASA Installations or
[57 FR 4926, Feb. 11, 1992, as amended at 58 on NASA Property; Trespass or Unau-
FR 5263, Jan. 21, 1993; 78 FR 5125, Jan. 24, thorized Introduction of Weapons or
2013] Dangerous Materials
1203b.109 Disclaimer. 1204.1000 Scope of subpart.
1204.1001 Policy.
These regulations are set forth solely
1204.1002 Responsibility.
for the purpose of internal National
1204.1003 Procedures.
Aeronautics and Space Administration 1204.1004 Trespass.
guidance. They are not intended to, 1204.1005 Unauthorized introduction of fire-
and may not be relied upon to create arms or weapons, explosives, or other
any rights, substantive or procedural, dangerous materials.
enforceable at law by any party in any 1204.1006 Violations.
26
Subpart 11Enforcing Traffic Laws at NASA Subpart 4Small Business Policy

Centers and Component Facilities.
1204.1100 Scope of subpart. AUTHORITY: 42 U.S.C. 2473(c)(5); 42 U.S.C.
1204.1101 Policy. 2473b; Public Law 101507, the VA/HUD/Indep.
1204.1102 Responsibilities. Agencies Appropriation Act for FY 1991, at
1204.1103 Procedures. 104 Stat. 1380 (Nov. 5, 1990); and 15 U.S.C. 631
1204.1104 Violations. 650.
Subparts 1213 [Reserved] SOURCE: 58 FR 43554, Aug. 17, 1993, unless

otherwise noted.
Subpart 14Use of NASA Airfield Facilities
by Aircraft Not Operated for the Ben- 1204.400 Scope of subpart.
efit of the Federal Government This subpart establishes NASAs
small business policy and outlines the
1204.1400 Scope.
1204.1401 Definitions. delegation of authority in imple-
1204.1402 Policy. menting this policy as required by Fed-
1204.1403 Available airport facilities. eral law.
1204.1404 Requests for use of NASA airfield
facilities. 1204.401 Policy.
1204.1405 Approving authority.
1204.1406 Procedures in the event of a de- (a) It is NASAs policy to enable
clared in-flight emergency. small businesses (including small dis-
1204.1407 Procedure in the event of an unau- advantaged businesses, small women-
thorized use. owned businesses, HUBZone small busi-
nesses, veteran-owned small businesses
Subpart 15Intergovernmental Review of and service disabled veteran-owned
National Aeronautics and Space Ad- small businesses), historically black
ministration Programs and Activities
colleges and universities, and other mi-
1204.1501 Purpose. nority educational institutions the op-
1204.1502 Definitions. portunity to participate equitably and
1204.1503 Programs and activities subject to proportionately in its total purchases
these regulations. and contracts that are consistent with
1204.1504 [Reserved]
1204.1505 Federal interagency coordination.
the Agencys needs to execute its mis-
1204.1506 Procedures for selecting programs sion.
and activities under these regulations. (b) In carrying out the NASA pro-
1204.1507 Communicating with State and curement program, the primary consid-
local officials concerning the Agencys eration shall be that of securing con-
programs and activities.
tract performance, including obtaining
1204.1508 Time limitations for receiving
comments on proposed direct Federal de- deliveries of required items or services
velopment. at the time, in the quantity and of the
1204.1509 Receiving and responding to com- quality prescribed. In the area of re-
ments. search and development (R&D) con-
1204.1510 Efforts to accommodate intergov- tracts, the general policy of NASA is to
ernmental concerns.
award such contracts to those organi-
1204.1511 Coordination in interstate situa-
tions. zations determined by responsible per-
1204.1512 [Reserved] sonnel to have a high degree of com-
1204.1513 Waivers of provisions of these reg- petence in the specific branch of
ulations. science or technology required for the
successful conduct of the work. It is in
Subpart 16Temporary Duty Travel the interest of the civilian space pro-
Issuance of Motor Vehicle for Home-
gram that the number of firms engaged
to-Work Transportation
inR&D, work for NASA be expanded
1204.1600 Issuance of motor vehicle for and that there be an increase in the ex-
home-to-work. tent of participation in such work by
APPENDIX A TO PART 1204ITEMS TO COVER competent small business firms.
IN MEMORANDA OF AGREEMENT
[58 FR 43554, Aug. 17, 1993, as amended at 78
FR 77353, Dec. 23, 2013]
27
1204.402 14 CFR Ch. V (1116 Edition)
1204.402 Responsibilities. CFR part 1852, Solicitation Provisions

and Contract; and NASA Policy Direc-
(a) Office of Small Business Programs
tive 5000.2C, Small Business Subcon-
(OSBP). The Associate Administrator
tracting Goals (http://
for Small Business Programs, NASA
nodis3.gsfc.nasa.gov/
Headquarters, is responsible for the ac-
displayDir.cfm?t=NPD&c=5000&s=2).
tivities described in NASA Policy Di-
rective 1000.3, The NASA Organization. [78 FR 77353, Dec. 23, 2013]
The Associate Administrator is also re-
sponsible for representing NASA before Subpart 5Delegations and
other Government agencies on matters Designations
primarily affecting small businesses.
(b) NASA Headquarters and NASA Cen- AUTHORITY: 51 U.S.C. 20113.
ters. Center Directors (including the
Executive Director for the NASA 1204.500 Scope of subpart.
Shared Services Center and the Direc-
This subpart establishes various dele-
tor for the NASA Management Office,
gations of authority to, and designa-
but excluding the Director for the Jet
tions of, National Aeronautics and
Propulsion Laboratory) along with the
Space Administration officials and
Associate Administrator for the Office other Government officials acting on
of Small Business Programs shall behalf of the agency to carry out pre-
nominate a qualified individual in scribed functions of the National Aero-
their contracting office as a small busi- nautics and Space Administration.
ness specialist to provide a central
point of contact to which small busi- [30 FR 3378, Mar. 13, 1965]
ness concerns may direct inquiries con-
cerning small business matters and 1204.501 Delegation of authorityto
take actions in real estate and re-
participation in NASA acquisitions. lated matters.
When a Center Director determines
that the volume of acquisitions or the (a) Delegation of authority. The Assist-
functions relating to acquisitions at ant Administrator for Strategic Infra-
the Center do not warrant a full-time structure and the Director, Integrated
small business specialist, these duties Asset Management Division, are dele-
may be assigned to procurement per- gated authority, in accordance with ap-
sonnel on a part-time basis, with the plicable laws and regulations, and sub-
concurrence of the Associate Adminis- ject to conditions imposed by imme-
trator for the Office of Small Business diate superiors, to:
Programs. NASA Centers shall estab- (1) Prescribe agency real estate poli-
lish and maintain liaison with the cies, procedures, and regulations;
Small Business Administration (SBA) (2) Enter into and take other actions
Procurement Center Representative including, but not limited to, the fol-
(PCR) or the appropriate SBA Regional lowing;
Office in matters relating to NASA (i) Acquire (by purchase, lease, con-
Center procurement activities. Small demnation, or otherwise) fee and lesser
Business Specialists shall perform the interests in real property and, in the
duties delineated in NASA FAR Sup- case of acquisition by condemnation,
plement 1819.201(e)(ii). The Associate to sign declarations of taking.
Administrator for Small Business Pro- (ii) Use, with their consent, the fa-
grams shall assign a Small Business cilities of Federal and other agencies
Technical Advisor to each contracting with or without reimbursement.
activity within the Agency to which (iii) Determine entitlement to and
the SBA has assigned a PCR, pursuant quantum of, financial compensation
to FAR 19.201(d)(8). under, and otherwise exercise the au-
thority contained in the Uniform Relo-
[78 FR 77353, Dec. 23, 2013] cation Assistance and Real Property
Acquisition Policies Act of 1970, as
1204.403 General policy. amended (42 U.S.C. 4601), and regula-
NASAs general policy for small busi- tions in implementation thereof.

ness programs is described in 48 CFR (iv) Grant easements, leaseholds, li-
part 1819, Small Business Programs; 48 censes, permits, or other interests
28
(wherever located) controlled by sions as the head of the agency deems

NASA. necessary to protect the interests of
(v) Grant the use of NASA-controlled the United States.
real property and approve the acquisi- (b) Delegation of authority. The Assist-
tion and use of nongovernment owned ant Administrator for Strategic Infra-
real property for any NASA-related, structure and the Director, Integrated
nonappropriated fund activity purpose Asset Management Division, are dele-
with the concurrence of the NASA gated authority to take actions in con-
Comptroller. nection with the granting of ease-
(vi) Sell and otherwise dispose of real ments.
property in accordance with the provi- (c) Definitions. The following defini-
sions of the Federal Property and Ad- tions will apply:
ministrative Services Act of 1949, as (1) State means the States of the
amended (40 U.S.C. 471, et seq). Union, the District of Columbia, the
(vii) Exercise control over the acqui- Commonwealth of Puerto Rico, and the
sition, utilization, and disposal of mov- possessions of the United States.
able/relocatable structures including (2) Person includes any corporation,
prefabricated buildings, commercial partnership, firm, association, trust,
packaged accommodations, trailers, estate, or other entity.
and other like items used as facility
(d) Determination. It is hereby deter-
substitutes.
mined that grants of easements made
(viii) Request other government
in accordance with the provisions of
agencies to act as real estate agent for
this section will not be adverse to the
NASA.
interests of the United States.
(ix) Authorize other NASA officials
(e) Redelegation. (1) NASA Center Di-
to take specific implementing action
rectors with respect to real property
with regard to any real property trans-
under their supervision and manage-
action included in the scope of author-
ment may, subject to the restrictions
ity delegated in paragraph (a)(2) of this
in paragraph (f) of this section, exer-
section.
cise the authority of the National Aer-
(b) Redelegation. (1) The authority
onautics and Space Act of 1958, as
delegated in paragraph (a)(1) of this
amended, and 40 U.S.C. 319 to 319C to
section may not be redelegated.
authorize or grant easements in, over,
(2) The authority delegated in para-
or upon real property of the United
graph (a)(2) of this section may be re-
States controlled by NASA as will not
delegated with power of further redele-
be adverse to the interests of the
gation.
United States.
(c) Reporting. The officials to whom
authority is delegated in this section (2) NASA Center Directors may re-
shall ensure that feedback is provided delegate this authority to only two
to keep the Administrator fully and senior management officials of the ap-
currently informed of significant ac- propriate Center.
tions, problems, or other matters of (f) Restrictions. Except as otherwise
substance related to the exercise of the specifically provided, no such easement
authority delegated hereunder. shall be authorized or granted under
the authority stated in paragraph (e) of
[51 FR 26862, July 28, 1986, as amended at 56 this section unless:
FR 57592, Nov. 13, 1991; 79 FR 11319, Feb. 28,
(1) The appropriate Center Director
2014]
determines:
1204.502 [Reserved] (i) That the interest in real property
to be conveyed is not required for a
1204.503 Delegation of authority to NASA program.
grant easements. (ii) That the grantees exercise of
(a) Scope. 40 U.S.C. 319 to 319C author- rights under the easement will not
izes executive agencies to grant, under interfere with NASA operations.
certain conditions, the easements as (2) Monetary or other benefit, includ-
the head of the agency determines will ing any interest in real property, is re-
not be adverse to the interests of the ceived by the government as consider-
United States and subject to the provi- ation for the granting of the easement.
29
1204.504 14 CFR Ch. V (1116 Edition)
(3) The instrument granting the ease- NASA, grants of easements in real
ment provides: property, as authorized in this section,
(i) For the termination of the ease- provided that the conditions set forth
ment, in whole or in part, and without in paragraphs (f) and (g) of this section
cost to the government, if there has are complied with.
been: (i) Distribution of documents. One copy
(A) A failure to comply with any of each document granting an ease-
term or condition of the grant; ment interest under this authority, in-
(B) A nonuse of the easement for a cluding instruments executed by the
consecutive 2-year period for the pur- Corps of Engineers, will be forwarded
pose for which granted; or for filing in the Central Depository for
(C) An abandonment of the easement; Real Property Documents to: National
or
Aeronautics and Space Administration,
(D) A determination by the Assistant
Office of Strategic Infrastructure, Inte-
Administrator for Strategic Infrastruc-
grated Asset Management Division,
ture, the Director, Integrated Asset
Washington, DC 20546.
Management Division, or the appro-
priate Center Director that the inter- [51 FR 26860, July 28, 1986, as amended at 56
ests of the national space program, the FR 57592, Nov. 13, 1991; 79 FR 11319, Feb. 28,
national defense, or the public welfare 2014]
require the termination of the ease-
ment; and a 30-day notice, in writing, 1204.504 Delegation of authority to
to the grantee that the determination grant leaseholds, permits, and li-
has been made. censes in real property.
(ii) That written notice of the termi- (a) Delegation of authority. The Na-
nation shall be given to the grantee, or tional Aeronautics and Space Act of
its successors or assigns, by the Assist- 1958, as amended, authorizes NASA to
ant Administrator for Strategic Infra- grant leaseholds, permits, and licenses
structure , the Director, Integrated in real property. This authority is dele-
Asset Management Division, or the ap- gated to the Assistant Administrator
propriate Center Director, and that for Strategic Infrastructure and the Di-
termination shall be effective as of the rector, Facilities Engineering and Real
date of the notice. Property Division.
(iii) For any other reservations, ex- (b) Definition. Real Property means
ceptions, limitations, benefits, bur- land, buildings, other structures and
dens, terms, or conditions necessary to improvements, appurtenances, and fix-
protect the interests of the United tures located thereon.
States.
(c) Determination. It is hereby deter-
(g) Waivers. If, in connection with a
mined that grants of leaseholds, per-
proposed granting of an easement, the
mits, or licenses made in accordance
Center Director determines that a
with the provisions of this section will
waiver from any of the restrictions in
paragraph (f) of this section is appro- not be adverse to the interests of the
priate, authority for the waiver may be United States.
requested from the Assistant Adminis- (d) Redelegation. (1) Center Directors
trator for Strategic Infrastructure or with respect to real property under
the Director, Integrated Asset Manage- their supervision and management
ment Division. may, subject to the restrictions in
(h) Services of the Corps of Engineers. paragraph (e) of this section, grant a
In exercising the authority herein leasehold, permit, or license to any
granted, the Center Directors, under person or organization, including other
the applicable provisions of any coop- Government agencies, a State, or polit-
erative agreement between NASA and ical subdivision or agency thereof. This
the Corps of Engineers (in effect at authority may not be exercised with
that time), may: respect to real property which is pro-
(1) Utilize the services of the Corps of posed for use by a NASA exchange and
Engineers, U.S. Army. subject to the provisions of NASA Pol-

(2) Delegate authority to the Corps of icy Directive 9050.6, NASA Exchange
Engineers to execute, on behalf of and Morale Support Activities.
30
(2) Center Directors may redelegate ture or the Director, Integrated Asset
this authority to only two senior man- Management Division.
agement officials of the NASA Center (g) Services of the Corps of Engineers.
concerned. In exercising the authority herein
(e) Restrictions. Except as otherwise granted, NASA Center Directors, pur-
specifically provided, no leasehold, per- suant to the applicable provisions of
mit, or license shall be granted under any cooperative agreement between
the authority stated in paragraph (d) of NASA and the Corps of Engineers (in
this section unless: effect at the time), may:
(1) The Director of the Center Direc- (1) Utilize the services of the Corps of
tor concerned determines: Engineers, U.S. Army.
(i) That the interest to be granted is (2) Delegate authority to the Corps of
not required for a NASA program. Engineers to execute, on behalf of
(ii) That the grantees exercise of NASA, any grants of interests in real
rights granted will not interfere with property as authorized in this section
NASA operations. provided that the conditions set forth
(2) Fair value in money is received by in paragraphs (e) and (f) of this section
NASA on behalf of the Government as are complied with.
consideration. (h) Distribution of Documents. One
(3) The instrument provides: copy of each document granting an in-
(i) For a term not to exceed 5 years. terest in real property, including in-
(ii) For the termination thereof, in struments executed by the Corps of En-
whole or in part, and without cost to gineers, will be forwarded for filing in
the Government if there has been: the Central Depository for Real Prop-
erty Documents to: National Aero-
(A) A failure to comply with any
nautics and Space Administration, Of-
term or condition of the grant; or
fice of Strategic Infrastructure, Wash-
(B) A determination by the Assistant
ington, DC 20546.
Administrator for Strategic Infrastruc-
ture, the Director, Integrated Asset [51 FR 27528, Aug. 1, 1986, as amended at 56
Management Division, or the Center FR 57592, Nov. 13, 1991; 79 FR 11319, Feb. 28,
Director concerned that the interests 2014]
of the national space program, the na-
1204.505 Delegation of authority to
tional defense, or the public welfare re- execute certificates of full faith and
quire the termination of the interest credit.
granted; and a 30-day notice, in writ-
ing, to the grantee that such deter- (a) Scope. This section designates
mination has been made. NASA officials authorized to certify
(iii) That written notice of termi- NASA documents to be submitted in
nation shall be given to the grantee, or evidence in Federal Courts.
its successors or assigns, by the Assist- (b) Delegation of authority. The fol-
ant Administrator for Strategic Infra- lowing NASA Headquarters officials
structure, the Director, Integrated are delegated authority to execute cer-
Asset Management Division, or the tificates of full faith and credit certi-
Center Director concerned, and that fying the signatures and authority of
termination shall be effective as of the employees of the National Aeronautics
date specified by such notice. and Space Administration, whenever
(iv) For any other reservations, ex- such certification is required to au-
ceptions, limitations, benefits, bur- thenticate copies of official records for
dens, terms, or conditions necessary to possible admission in evidence in judi-
protect the interests of the United cial proceedings pursuant to 28 U.S.C.
States. 1733 or any other statute:
(f) Waivers. If, in connection with a (1) General Counsel;
proposed grant, the Center Director de- (2) Deputy General Counsel;
termines that a waiver from any of the (3) [Reserved]
restrictions set forth in paragraph (e) (4) Assistant General Counsels.
of this section is appropriate, a request [29 FR 6319, May 14, 1964, as amended at 39
may be submitted to the Associate Ad- FR 25229, July 9, 1974; 43 FR 34122, Aug. 3,
ministrator for Strategic Infrastruc- 1978; 79 FR 11320, Feb. 28, 2014]
31
1204.5061204.507 14 CFR Ch. V (1116 Edition)
1204.5061204.507 [Reserved] 1204.509 Delegation of authority to

take action regarding liquidated
1204.508 Delegation of authority of damage assessments under the
certain civil rights functions to De- Contract Work Hours and Safety
partment of Education. Standards Act, and associated labor
statutes.
It is the National Aeronautics and
Space Administrations (NASA) policy (a) Delegation of authority. The Assist-
to comply with the Civil Rights Act of ant Administrator, Office of Strategic
1964 (Pub. L. 88352) that prohibits dis- Infrastructure, is hereby delegated the
crimination in a host of areas, includ- authority to act for the Administrator
ing employment and Federally-assisted in all matters where the Agency
programs and activities. To implement Head is authorized to act under 29
the provisions of this Act, NASA pro- CFR part 5, labor standards provisions
mulgated the following internal poli- applicable to contracts covering feder-
ally financed and assisted construction
cies and requirements, and entered into
and labor standards provisions applica-
a memorandum of understanding
ble to nonconstruction contracts as
(MOU) with the Department of Edu-
they are subject to the Contract Work
cation to ensure compliance:
Hours and Safety Standards Act, in re-
(a) NASA Policy Directive (NPD) gards to the assessment of liquidated
2081.1, Nondiscrimination in Federally damages.
Assisted and Conducted Programs of (b) Redelegation. None authorized ex-
NASA, describes the Agencys policy to cept by virtue of succession.
ensure nondiscrimination in Federally- (c) Reporting. The official to whom
assisted and conducted programs of authority is delegated in this regula-
NASA, nondiscrimination in Federally- tion will assure that feedback is pro-
conducted education and training provided to keep the Administrator in-
grams, and access for individuals with formed of significant actions, prob-
disabilities to Federal electronic and lems, or other matters of substance re-
information technology. NPD 2081.1 is lated to the exercise of the authority
accessible at http://nodis3.gsfc.nasa.gov/; delegated hereunder.
(b) NASA Procedural Requirements
[52 FR 35538, Sept. 22, 1987, as amended at 79
(NPR) 2081.1, Nondiscrimination in
FR 11320, Feb. 28, 2014]
Federally Assisted and Conducted Pro-
grams, describes the requirements for
processing complaints of discrimina- Subparts 69 [Reserved]
tion, conducting civil rights compli-
ance reviews, and internal functional Subpart 10Inspection of Persons
equal opportunity reviews. NPR 2081.1 and Personal Effects at NASA
is accessible at http:// Installations or on NASA Prop-
nodis3.gsfc.nasa.gov/; and erty; Trespass or Unauthorized
(c) Memorandum of Understanding Introduction of Weapons or
between NASA and the Department of Dangerous Materials
Education delegates both the agencies
as responsible for specific civil rights AUTHORITY: The National and Commercial
compliance duties with respect to ele- Space Program (51 U.S.C.). Sections 20132
mentary and secondary schools, and in- and 20133 et seq.
stitutions of higher education. The
SOURCE: 65 FR 47663, Aug. 3, 2000, unless
MOU can be accessed at http:// otherwise noted.
odeo.hq.nasa.gov/documents/DOEd-
NASAlMOU.pdf. 1204.1000 Scope of subpart.
[78 FR 76058, Dec. 16, 2013] 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
32
Headquarters, NASA Centers, or Com- YOUR CONSENT TO INSPECTION OF

ponent Facilities). In addition, it pro- PERSON AND PROPERTY.
scribes unauthorized entry or the un- (2) UNAUTHORIZED INTRODUC-
authorized introduction of weapons or TION OF WEAPONS OR DANGEROUS
other dangerous instruments or mate- MATERIALS IS PROHIBITED UN-
rials at any NASA facility. LESS SPECIFICALLY AUTHORIZED
BY NASA. YOU MAY NOT CARRY,
[65 FR 47663, Aug. 3, 2000, as amended at 78
FR 5125, Jan. 24, 2013] TRANSPORT, INTRODUCE, STORE,
OR USE FIREARMS OR OTHER DAN-
1204.1001 Policy. GEROUS WEAPONS, EXPLOSIVES OR
OTHER INCENDIARY DEVICES, OR
(a) In the interest of national secu- OTHER DANGEROUS INSTRUMENT
rity, NASA will provide appropriate OR MATERIAL LIKELY TO PRODUCE
and adequate protection or security for SUBSTANTIAL INJURY OR DAMAGE
personnel, property, facilities (includ- TO PERSONS OR PROPERTY UN-
ing NASA Headquarters, NASA Cen- LESS AUTHORIZED BY NASA.
ters, and Component Facilities), and (b) Only NASA security personnel or
information in its possession or cus- members of the facilitys uniformed se-
tody. In furtherance of this policy, curity force will conduct inspections
NASA reserves the right to conduct an pursuant to this subpart. Such inspec-
inspection of any person, including any tions will be conducted in accordance
property in the persons possession or with guidelines established by the As-
control, as a condition of admission to, sistant Administrator for Protective
continued presence on, or exiting any Services , NASA Headquarters.
NASA facility. (c) If an individual does not consent
(b) This policy is intended to comply to an inspection, it will not be con-
with the heightened security measures ducted, but the individual will be de-
for facilities owned or occupied by Fed- nied entry to, or be escorted off the
eral agencies (in this case NASA), to facililty.
mitigate threats to such facilities and (d) If, during an inspection, an indi-
to better protect the persons and prop- vidual is found to be in unauthorized
erty thereon. possession of items believed to rep-
[65 FR 47663, Aug. 3, 2000, as amended at 78 resent a threat to the safety or secu-
FR 5126, Jan. 24, 2013] rity of the facility, the individual will
be denied entry to or be escorted off
1204.1002 Responsibility. the facility, and appropriate law en-
The NASA Center Directors and the forcement authorities will be notified
Executive Director for Headquarters immediately.
Operations are responsible for imple- (e) If, during an inspection conducted
menting the provisions of this subpart. pursuant to this subpart, an individual
In implementing this subpart, these of- is in possession of U.S. Government
ficials will coordinate their action with property without proper authorization,
appropriate officials of other affected that person will be required to relin-
agencies. quish the property to the security rep-
resentative pending proper authoriza-
[65 FR 47663, Aug. 3, 2000, as amended at 78 tion for the possession of the property
FR 5126, Jan. 24, 2013]
or its removal from the facility. The
1204.1003 Procedures. individual relinquishing the property
will be provided with a receipt for the
(a) All entrances to NASA real prop- property.
erty or facilities (including NASA
Headquarters, NASA Centers, or Com- [65 FR 47663, Aug. 3, 2000, as amended at 78
FR 5126, Jan. 24, 2013]
ponent Facilities) will be conspicu-
ously posted with the following no- 1204.1004 Trespass.
tices:
(1) CONSENT TO INSPECTION: Unauthorized entry upon any NASA
real property or facility is prohibited.
YOUR ENTRY INTO, CONTINUED

PRESENCE ON, OR EXIT FROM THIS [65 FR 47663, Aug. 3, 2000, as amended at 78
FACILITY IS CONTINGENT UPON FR 5126, Jan. 24, 2013]
33
1204.1005 14 CFR Ch. V (1116 Edition)
1204.1005 Unauthorized introduction Subpart 11Enforcing Traffic Laws

of firearms or weapons, explosives, at NASA Centers and Compo-
or other dangerous materials. nent Facilities
(a) Refer to the notice in 1204.1003,
paragraph (a)(2), for a description of AUTHORITY: The National and Commercial
the consequences for unauthorized in- Space Program 51 U.S.C. 20132 and 20133 et
troduction of firearms or weapons, ex- seq; 5 U.S.C. 301, and 18 U.S.C. 799 (2014).
plosives, or other dangerous materials. EFFECTIVE DATE NOTE: At 80 FR 70152, No-
(b) 1204.1003, paragraph (a)(2) shall vember 13, 2015, the authority citation to
not apply to: Subpart 11 was revised, effective January 12,
2016. For the convenience of the user, the re-
(1) The lawful performance of official vised text is set forth as follows:
duties by an officer, agent, or employee AUTHORITY: The National and Commercial
of the United States, a State, or a po- Space Program, 51 U.S.C. 20132 and 20133; 5
litical subdivision thereof, or NASA U.S.C. 301, and 18 U.S.C. 799.
contractor, who is authorized to carry SOURCE: 79 FR 54903, Sept. 15, 2014, unless
firearms or other material covered by otherwise noted.
paragraph (a) of this section.
(2) The lawful carrying of firearms or 1204.1100 Scope of subpart.
other dangerous weapons at or on a This subpart establishes policies pur-
NASA facility after written prior ap- suant to the requirements of National
proval has been obtained from the fa- and Commercial Space Programs (51
cility Security Office in connection U.S.C. 20132) authorizing the NASA Ad-
with sanctioned hunting, range prac- ministrator to establish such security
tice, or other lawful purpose. requirements, restrictions and safe-
guards as he deems necessary in the in-
[65 FR 47663, Aug. 3, 2000, as amended at 78 terest of national security, under 5
FR 5126, Jan. 24, 2013] U.S.C. 301, Housekeeping statute,
and 18 U.S.C. 799, making it criminal to
1204.1006 Violations. violate published NASA regulations.
Anyone violating these regulations The provisions of this subpart apply to
may be cited for violating Title 18 of all NASA installations, including
the United States Code (U.S.C.) Section NASA Headquarters, NASA Centers,
799, which states that whoever willfully and component facilities. NASA instal-
shall violate, attempt to violate, or lations refers to all NASA-owned, con-
conspire to violate any regulation or trolled, or leased property, with exclu-
order promulgated by the Adminis- sive or concurrent Federal jurisdiction,
trator of the National Aeronautics and including non-contiguous or unfenced
areas and including areas otherwise
Space Administration for the protec-
open to the public at large. These pro-
tion or security of any laboratory, sta-
visions are also applicable to all per-
tion, base or other facility, or part sons who operate or control a motor
thereof, or any aircraft, missile, space- vehicle, or otherwise use the streets of
craft, or similar vehicle, or part there- a NASA installation, over which the
of, or other property or equipment in United States exercises exclusive or
the custody of the Administration concurrent legislative jurisdiction.
[NASA], or any real or personal prop-
EFFECTIVE DATE NOTE: At 80 FR 70152, No-
erty or equipment in the custody of
vember 13, 2015, 1204.1100 was revised, effec-
any contractor under any contract tive January 12, 2016. For the convenience of
with the Administration or any sub- the user, the revised text is set forth as fol-
contractor of any such contractor, lows:
shall be fined under this title [Title 18],
1204.1100 Scope of subpart.
or imprisoned not more than one year,
This subpart establishes policies pursuant
or both. to the requirements of National and Com-
[65 FR 47663, Aug. 3, 2000, as amended at 78 mercial Space Programs (51 U.S.C.) author-
FR 5126, Jan. 24, 2013] izing the NASA Administrator to establish
such security requirements, restrictions, and

safeguards as he deems necessary in the in-
terest of national security, under 5 U.S.C.
34
301, and 18 U.S.C. 799, providing for the impo- during such period of suspension or
sition of fines and imprisonment for vio- revocation.
lating NASA regulations for the protection
(3) Drivers of all vehicles in or on
and security of NASA assets or assets that
are in NASAs custody. The provisions of property shall drive in a careful and
this subpart apply to all NASA installations, safe manner at all times and shall com-
including NASA Headquarters, NASA Cen- ply with the signals and directions of
ters, and component facilities. NASA instal- security force personnel, other author-
lations refers to all NASA-owned, controlled, ized individuals, and all posted traffic
or leased property, with exclusive or concur-
signs, including speed limits.
rent Federal jurisdiction, including non-con-
tiguous or unfenced areas and including (4) The blocking of entrances, drive-
areas otherwise open to the public at large. ways, walks, loading platforms, or fire
These provisions are also applicable to all hydrants in or on property is prohib-
persons who are in or on a NASA installation ited.
over which the United States exercises ex- (5) Parking without authority, park-
clusive or concurrent legislative jurisdic-
tion.
ing in unauthorized locations or in lo-
cations reserved for other persons,
1204.1101 Policy. parking continuously in excess of 18
hours without permission, or contrary
(a) It is NASA policy that an effec-
to the direction of posted signs is pro-
tive, standardized, and comprehensive
hibited. This section may be supple-
traffic safety program be established
mented by the Center Director or in-
and maintained at all NASA Centers,
stallation officer in charge from time
and component facilities, as prescribed
in NASA Procedural Requirement to time by the issuance and posting of
(NPR) 8715.C, NASA General Safety specific traffic directives. When so
Program Requirements. A traffic safe- issued and posted, such directives shall
ty program is essential for the protec- have the same force and effect as if
tion and security of NASA labora- made a part hereof.
tories, stations, base, or other facili- (d) Center Directors are hereby dele-
ties, and for the protection of any of its gated authority to determine if their
aircraft, missiles, spacecraft, or simi- respective Centers require the author-
lar vehicles, or part thereof, and/or of ity and ability to issue traffic and
any property or equipment in the cus- parking citations, which if imple-
tody of any contractor, subcontractor, mented, must be in accordance with
or the Administration. this Subpart. Should no traffic and
(b) To ensure a safe and secure work- parking citation authority and ability
place and to provide better for preser- be necessary, the Center Director con-
vation of life and property, all persons cerned will make a report of same to
on a NASA Center or component facil- the Administrator via Associate Ad-
ity shall comply with the vehicular and ministrator for Protective Services.
pedestrian traffic requirements of the Prior to the effective date of Centers
installation per this Subpart, and the implementing, Centers and Head-
laws of the state in which the installa- quarters Operations should transmit
tion is located. their proposed regulations to NASA Of-
(c) Vehicular and pedestrian traffic. (1) fice of Protective Services for review
Drivers of all vehicles in or on NASA- and concurrence.
owned, controlled or leased property (e) Consistent with arrangements
shall be in possession of a current and with Federal authorities as each Cen-
valid state or territory issued drivers ter and Headquarters may make, viola-
license and vehicle registration, and
tors of such regulations may be issued
the vehicle shall display all current
a District Court Violation Notices for
and valid tags and licenses required by
offenses by security officers, including
the jurisdiction in which it is reg-
istered. contractor guards. In accordance with
this regulation, Centers are authorized
(2) Drivers who have had their privi-
to make liaison and such arrangements
lege or license to drive suspended or re-

voked by any state or territory shall for appropriate enforcement programs
not drive any vehicle in or on property with the cognizant Office(s) of the
35
1204.1101, Nt. 14 CFR Ch. V (1116 Edition)
United States Attorney. Additional in- mission, or park in any manner contrary to
formation on processing violation no- the direction of posted signs.
tices and liaison necessary is available (d) A copy of this subpart shall be posted in
at: http://www.cvb.uscourts.gov/. an appropriate place at each NASA Center or
component facility.
(f) A copy of this subpart shall be
posted in an appropriate place at each 1204.1102 Responsibilities.
NASA Center or component facility.
(a) The Center Directors of NASA in-
EFFECTIVE DATE NOTE: At 80 FR 70152, No-
vember 13, 2015, 1204.1101 was revised, effec-
stallations and the Executive Director
tive January 12, 2016. For the convenience of for Headquarters Operations over
the user, the revised text is set forth as fol- which the United States has exclusive
lows: or concurrent legislative jurisdiction,
and consistent with the foregoing, are
1204.1101 Policy.
delegated the authority to establish
(a) It is NASA policy that an effective, additional vehicular and pedestrian
standardized, and comprehensive traffic safe-
ty program be established and maintained at traffic rules and regulations for their
all NASA Centers, and component facilities, installations.
as prescribed in NASA Procedural Require- (b) All persons on a NASA Center or
ment (NPR) 8715.C, NASA General Safety component facility are responsible for
Program Requirements. A traffic safety pro- compliance with locally established ve-
gram is essential for the protection and secu-
rity of NASA laboratories, stations, bases, or
hicular and pedestrian traffic rules and
other facilities of NASAs aircraft, missiles, regulations.
spacecraft, or similar vehicles or part there- EFFECTIVE DATE NOTE: At 80 FR 70152, No-
of and of NASAs real and personal property,
vember 13, 2015, 1204.1102 was amended by
including property in the custody of NASA
revising paragraph (a), effective January 12,
contractors and subcontractors.
2016. For the convenience of the user, the re-
(b) To ensure a safe and secure workplace
vised text is set forth as follows:
and to provide better for preservation of life
and property, all persons on or in a NASA in- 1204.1102 Responsibilities.
stallation or component facility shall com-
ply with the vehicular and pedestrian traffic (a) Consistent with this subpart and appli-
requirements of the installation per this cable statutes, Center Directors of NASA in-
Subpart. stallations and the Executive Director for
(c) Vehicular and pedestrian traffic. The fol- Headquarters Operations, over which the
lowing requirements apply to the drivers or United States has exclusive or concurrent
all vehicles on or in NASA-owned, con- legislative jurisdiction, are delegated the au-
trolled, or leased property: thority to establish specific vehicular and
(1) A driver shall be in possession of a cur- pedestrian traffic rules and regulations for
rent and valid state- or territory-issued driv- their installations; to specify maximum pun-
ers license and vehicle registration, and the ishments for violating such rules and regula-
vehicle shall display all current and valid tions; and to issue citations, including Dis-
tags and licenses required by the jurisdiction trict Court Violation Notices to persons who
in which it is registered. violate such rules and regulations.
(2) A driver who has had his or her privi-
lege or license to drive suspended or revoked 1204.1103 Procedures.
by any state or territory shall not drive any
vehicle in or on such property during such The Center Directors and the Execu-
period of suspension or revocation. tive Director for Headquarters Oper-
(3) Drivers shall drive in a careful and safe ations shall issue local policies and
manner at all times and shall comply with procedural requirements, subject to
the signals and directions of security per- prior NASA Office of Protective Serv-
sonnel and other authorized individuals; all
posted traffic signs, including speed limits;
ices approval, which will implement
and all rules implemented under section this regulation for their respective
1204.1102. NASA Centers and component facili-
(4) Drivers shall not block entrances, drive- ties.
ways, walks, loading platforms, or fire hy-
drants. EFFECTIVE DATE NOTE: At 80 FR 70152, No-
(5) Drivers shall not park without author- vember 13, 2015, 1204.1103 was revised, effec-
ity, park in unauthorized locations or in lo- tive January 12, 2016. For the convenience of
cations reserved for other persons, park con- the user, the revised text is set forth as fol-
tinuously in excess of 18 hours without per- lows:
36
1204.1103 Procedures. 1204.1401 Definitions.
The Center Directors and the Executive Di-
For the purpose of this subpart, the
rector for Headquarters Operations shall
issue local policies and procedural require-
following definitions apply:
ments, which will implement this regulation (a) NASA Airfield Facility. Those aero-
for their respective NASA Centers and com- nautical facilities owned and operated
ponent facilities. by NASA that consist of the following:
(1) Shuttle Landing Facility. The aero-
1204.1104 Violations. nautical facility which is a part of the
A person found in violation, on a John F. Kennedy Space Center (KSC),
NASA installation, of any vehicular or Kennedy Space Center, Florida, and is
pedestrian traffic law, or local installa- located at 8041 west longitude and
tion vehicular or pedestrian traffic rule 2837 north latitude.
or regulation made applicable to the (2) Wallops Airport. The aeronautical
installation under the provisions of facility which is part of the Wallops
this subpart, is subject to punishment Flight Facility (WFF), Wallops Island,
as provided for by 18 U.S.C. 799 (viola- VA, and is located at 7528 west lon-
tion of regulations of NASA). gitude and 3756 north latitude in the
general vicinity of Chincoteague, Vir-
EFFECTIVE DATE NOTE: At 80 FR 70152, No- ginia.
vember 13, 2015, 1204.1104 was revised, effec- (3) Moffett Federal Airfield (MFA). The
tive January 12, 2016. For the convenience of aeronautical facility which is part of
the user, the revised text is set forth as fol-
the Ames Research Center, Moffett
lows:
Field, California, and is located at
1204.1104 Violations. 12203 west longitude and 3725 north
As authorized by and consistent with 18 latitude.
U.S.C. 799, local policies and procedural re- (4) Crows Landing Airport. The aero-
quirements issued under section 1204.1103 nautical facility which is a part of the
may provide for punishments for offenses, Crows Landing Flight Facility (CLEF)
which shall be classified in accordance with and is located at 12106 west longitude
18 U.S.C. 3559(a)(6)(9). A person found in vio- and 3725 north latitude, 45 miles east
lation, in or on a NASA installation, of any of the Ames Research Center.
vehicular or pedestrian traffic law, or local
installation vehicular or pedestrian traffic
(b) Aircraft not Operated for the Benefit
rule or regulation made applicable to the in- of the Federal Government. Aircraft
stallation under the provisions of this sub- which are not owned or leased by the
part, is subject to punishment as provided United States Government or aircraft
for by the applicable local policies and proce- carrying crew members or passengers
dural requirements that a Center Director or who do not have official business re-
the Executive Director for Headquarters Op- quiring the use of a NASA airfield fa-
erations has issued under section 1204.1102 cility in the particular circumstance in
and in accordance with section 1204.1103.
question.
(c) Official Business. Business, in the
Subparts 1213 [Reserved] interest of the U.S. Government, which
personnel aboard an aircraft must
Subpart 14Use of NASA Airfield transact with U.S. Government per-
Facilities by Aircraft Not Oper- sonnel or organizations at or near a
ated for the Benefit of the NASA facility. The use of a NASA air-
Federal Government field facility by transient aircraft to
petition for U.S. Government business
or to obtain clearance, servicing, or
AUTHORITY: 42 U.S.C. 2473(c)(1).
other items pertaining to itinerant op-
SOURCE: 56 FR 35812, July 29, 1991, unless erations is not considered official busi-
otherwise noted. ness.
(d) User. An individual partnership or
1204.1400 Scope. corporation owning, operating, or
This subpart establishes the responsi- using an aircraft not operated for the
bility and sets forth the conditions and benefit of the Federal Government in
procedures for the use of NASA airfield whose name permission to use a NASA
facilities by aircraft not operated for airfield facility is to be requested and
the benefit of the Federal Government. granted.
37
1204.1402 14 CFR Ch. V (1116 Edition)
(e) Hold Harmless Agreement. An placed upon such use; subject the air-
agreement executed by the user by craft, the user, and those accom-
which the user acknowledges aware- panying the user to any requirements
ness of the conditions of the permission imposed by NASA in the interest of se-
to use a NASA airfield facility, as- curity and safety while the aircraft or
sumes any risks connected therewith, persons are on a NASA facility; use the
and releases the U.S. Government from facilities entirely at the users own
all liability incurred by the use of such risk; hold the Federal Government
facility. harmless with respect to any and all li-
(f) Use Permit. The written permission abilities which may arise as a result of
signed by the authorized approving of- the use of the facilities; and carry in-
ficial to land, take off, and otherwise surance covering liability to others in
use a NASA airfield facility. Such use amounts not less than those listed in
permit may be issued for single or mul- the Hold Harmless Agreement.
tiple occasions. The specific terms of (d) Permission to use a NASA airfield
the use permit and the provisions of facility will be granted only in accord-
this subpart govern the use which may ance with the limitations and proce-
be made of the airport by aircraft not
dures established by an approving au-
operated for the benefit for the Federal
thority and then only when such use
Government.
will not compete with another airport
(g) Certificate of Insurance. A certifi-
in the vicinity which imposes landing
cate signed by an authorized insurance
company representative (or a facsimile fees or other user charges.
of an insurance policy) evidencing that (e) In no event, except for an in-flight
insurance is then in force with respect emergency (see 1204.1406), will permis-
to any aircraft not operated for the sion to use NASA airfield facilities be
benefit of the Federal Government, the granted to an aircraft arriving directly
user of which is requesting permission from, or destined for, any location out-
to use a NASA airfield facility (see side the continental United States un-
1204.1404(b)). less previously arranged and approved
by the authorized approving official.
[56 FR 35812, July 29, 1991, as amended at 60
(f) Permission to use NASA airfields
FR 37567, July 21, 1995]
may be granted only to those users
1204.1402 Policy. having the legal capacity to contract
and whose aircraft are in full compli-
(a) NASA airfields are not normally
ance with applicable Federal Aviation
available to the general public; hence,
Administration (FAA) or other cog-
any use of airfield facilities by aircraft
nizant regulatory agency require-
not operated for the benefit of the Fed-
ments.
eral Government shall be within the
sole discretion of the approving au- (g) Permission to use NASA airfields,
thorities. except in connection with a declared
(b) Except in the event of a declared in-flight emergency, will consist only
in-flight emergency (see 1204.1406) or of the right to land, park an aircraft,
as otherwise determined by an approv- and subsequently take off. NASA is not
ing authority, aircraft not operated for equipped to provide any other services
the benefit of the Federal Government such as maintenance or fuel and such
are not permitted to land or otherwise services will not be provided except fol-
use NASA airfield facilities. lowing an in-flight emergency.
(c) Any use of a NASA airfield facil-
1204.1403 Available airport facilities.
ity by aircraft not operated for the
benefit of the Federal Government The facilities available vary at each
shall be free of charge and no consider- NASA Installation having an airfield.
ation (monetary or otherwise) shall be The airport facilities available are:
exacted or received by NASA for such (a) Shuttle Landing Facility(1) Run-
use. However, each user, as a condition ways. Runway 1533 is 15,000 feet long
of receiving permission to use such air- and 300 feet wide with 1,000-foot over-
field facility, shall agree to become fa- runs. The first 3,500 feet at each end of
miliar with the physical condition of the runway have been modified for
the airfield; abide by the conditions smoothness. The center 8,000 feet of the
38
runway is grooved for improved brak- available as directed by the control

ing under wet conditions. tower.
(2) Parking Areas and Hangar Space. (3) Control Tower. This control tower
No hangar space is available. Limited is normally in operation from 0630 to
available concrete parking ramp space 1830 local time, Monday through Fri-
makes precoordination necessary. day, excluding Federal holidays. The
(3) Control Tower. The control tower tower may be contacted on 126.5 MHz
is normally in operation from 0800 to or 394.3 MHz. When the tower is in op-
1600 local time, Monday through Fri- eration, FAA regulations pertaining to
day. Additional hours of operation are the operation of aircraft at airports
filed with the St. Petersburg Flight with an operating tower ( 91.87 of this
Service Station (FSS). The tower may title) will apply. When the tower is not
be contacted on 128.55 MHz or 284.0 in operation, all aircraft operations
MHz. FAA regulations pertaining to will be handled by Wallops UNICOM on
the operation of aircraft at airports the tower frequency, and FAA regula-
with an operating control tower ( 91.87 tions pertaining to the operation of
of this title) will apply. When the aircraft at airports without an oper-
tower is not in operation, the FAA reg- ating control tower ( 91.89 of this title)
ulations pertaining to the operation of will apply. In addition to Federal Avia-
aircraft at airports without an oper- tion Regulations (FARs) (s 91 of this
ating control tower ( 91.89 of this title) title), Wallops requires that pilots ob-
will apply. tain clearances from the Wallops
(4) Navigation aids. A Microwave UNICOM before landings, takeoffs, and
Scanning Beam Landing System taxiing. Civil aircraft operations are
(MSBLS) and a Tactical Airborne Navi- normally confined to daylight hours.
gation System (TACAN) are installed (4) Navigation Aids. All runways, 04
at the Facility. There are two pub- 22, 1028, and 1735 are lighted. Both ac-
lished TACAN approaches and an ap- tive taxiways, parallels 0422 and 1028,
proved and published nondirectional are lighted. Airfield lighting is avail-
beacon (NDB) approach available from able upon request. All runway ap-
Titusville. Runway approach lighting proaches are equipped with operating
(similar to Category II ALSF2) and precision approach path indicator
edge lights are available by prior ar- (PAPI) systems and are available on re-
rangement. quest. All airfield obstructions are
(5) Hazards. There are towers and equipped with red obstruction lights.
buildings south, southeast, and north- (5) Hazards. Numerous towers in air-
east of the facility as high as 550 feet port vicinity up to 241 feet above
that could pose hazards to air naviga- ground level. Existing tree obstruc-
tion. All are marked with obstruction tions are located 1500 feet west of run-
lights. way 10 threshold. High shore bird popu-
(6) Emergency Equipment. Aircraft lation exists in the Wallops area. Deer
Rescue and Fire-fighting (ARFF) occasionally venture across runways.
equipment will be provided in accord- Light-controlled traffic crossovers are
ance with 14 CFR part 139. in existence. Potential radio frequency
(b) Wallops Airport(1) Runways. (RF) hazards exist from tracking ra-
There are three hard surfaced runways dars. Hazards involving aircraft and
in satisfactory condition. The runways rocket launch operations exist when
and taxiways are concrete and/or as- Restricted Area R6604 is active.
phalt. Runway 1028 is 8,000 feet long, (6) Emergency Equipment. Aircraft res-
200 feet wide with maximum wheel load cue and fire-fighting equipment is nor-
of 57,500 pounds; runway 0422 is 8,750 mally available on a continuous basis.
feet long, 150 feet wide with maximum (c) Moffett Federal Airfield(1) Run-
wheel load of 57,500 pounds; and runway ways. There are two parallel runways,
1735 is 4,820 feet long, 150 feet wide 3214, both in satisfactory to good con-
with maximum wheel load of 14,700 dition. The runways and taxiways are
pounds. concrete and/or asphalt. Runway 32R
(2) Parking Areas and Hangar Space. 14L is 9,200 feet long, 200 feet wide; 32L
No hangar space is available. However, 14R is 8,125 feet long, 200 feet wide with
limited concrete parking ramp space is a 600 foot displaced threshold on 32L.
39
1204.1403 14 CFR Ch. V (1116 Edition)
(2) Parking areas and hangar space. (d) Crows Landing Airport(1) Run-
Hangar space is not available; concrete ways. There are two concrete runways,
parking ramp space is available as di- 3517 and 3012, both in satisfactory
rected by the control tower. condition. Parallel taxiways are as-
(3) Control tower. The control tower phalt overlay or concrete. Runway 35
normally operates from 0700 to 2300 17 is 7,950 feet long, 200 feet wide; run-
local time, 7 days a week, excluding way 3012 is 6,975 feet long, 200 feet
Federal holidays. The tower fre- wide.
quencies are 126.2 Mhz, 353.2 Mhz, and (2) Parking areas and hangar space.
340.2 Mhz. When the tower is operating, Hangars/hangar space do not exist; con-
FAA regulations pertaining to the op- crete parking ramp space is available
eration of aircraft at airports with an as directed by the control tower.
operating tower ( 91.87 of this title) (3) Control tower. The control tower
will apply. When the tower is not in op- normally operates only when research
eration, all aircraft operations will be flight is scheduled by NASA-Ames. The
conducted by Moffett UNICOM on the
airfield is closed at all other times ex-
tower frequency. FAA regulations per-
cept as arranged by other Federal users
taining to the operation of aircraft at
with the Chief, Airfield Management
airports without an operating control
Office, Moffett Federal Airfield. The
tower ( 91.89 of this title) will apply.
tower frequencies are 125.05 Mhz, 126.2
(4) Navigation aids. An Instrument
Mhz, 328.1 Mhz, and 337.8 Mhz. When
Landing System (ILS) is installed. An
ILS/DME approach to runway 32R and the tower is operating, FAA regula-
an LOC/DME approach to runway 14L tions pertaining to the operation of
are published in DOD Flight Informa- aircraft at airports with an operating
tion Publication (Terminal), Low Alti- tower ( 91.87 of this title) will apply.
tude United States, Volume 2. ILS fre- When the tower is not operating, all
quency is 110.35 Mhz, identifiers are aircraft operations will be conducted
Runway 32R, I-NUQ; Runway 14L, I- with Crows Landing UNICOM on the
MNQ; Tactical Airborne Navigation primary tower frequency. FAA regula-
(TACAN) (DME) is Channel 123, identi- tions pertaining to the operation of
fier is NUQ. Precision Approach Path aircraft at airports without an oper-
Indicators (PAPI) are to be installed by ating control tower ( 91.89 of this title)
July 1, 1995, to provide visual reference will apply.
for the ILS and LOC approaches to run- (4) Navigation aids. Crows Landing
ways 32R and 14L. A TACAN with ap- Airport is a VFR facility. No certified
proved and published approaches is NAVAIDS or published approach proce-
operational at the facility (identifica- dures exist.
tion is NUQ, Channel 123). A Radio Con- (5) Hazards. Crows Landing Airport is
trolled Lighting System (RCLS) is located in an agricultural area. No ob-
operational for the runway lights on structions exist within or immediately
32R14L; 3 clicks within 5 seconds, low adjacent to the airspace. The most per-
intensity; 5 clicks, medium intensity; 7 sistent potential hazard is that of agri-
clicks, high intensity (tower frequency, cultural aircraft (crop dusters) without
126.2 Mhz). Lights automatically extin- radios which transit the airspace.
guish after 15 minutes.
(6) Emergency equipment. Aircraft Res-
(5) Hazards. Large blimp hangars (ap- cue and Fire Fighting (ARFF) equip-
proximately 200 feet high) bracket the
ment and services are provided by the
parallel runways, one on the west side,
California Air National Guard only
two on the east side. A freeway at the
during published hours of operation.
approach end of 32L displaces the
threshold 600 feet. (e) Other facilities. No facilities or
services other than those described
(6) Emergency equipment. Aircraft Res-
cue and Fire Fighting (ARFF) equip- above are available except on an indi-
ment is provided by the California Air vidual emergency basis to any user.
(f) Status of facilities. Changes to the
National Guard continuously in ac-

cordance with U.S. Air Force Regula- status of the KSC, WFF, MFA, and
tions.
40
CLFF facilities will be published in ap- (e) At the same time that the pro-
propriate current FAA or DOD aero- spective user returns the executed
nautical publications. original of the Hold Harmless Agree-
ment, the user shall forward to the des-
FR 37568, July 21, 1995]
ignated NASA official the required Cer-
tificate of Insurance and waiver of
1204.1404 Requests for use of NASA rights to subrogation. Such certificate
airfield facilities. shall evidence that during any period
for which a permit to use is being re-
(a) Request for use of a NASA air-
quested, the prospective user has in
field, whether on a one time or recur-
force a policy of insurance covering li-
ring basis, must be in writing and ad-
ability in amounts not less than those
dressed to the appropriate NASA facil-
listed in the Hold Harmless Agreement.
ity, namely:
(f) When the documents (in form and
(1) Shuttle Landing Facility. Director
substance) required by paragraphs b
of Center Support Operations, John F.
through e of this section have been re-
Kennedy Space Center, Kennedy Space
ceived, they will be forwarded with a
Center, Florida 32899.
proposed use permit to the approving
(2) Wallops Airport. Director of Sub- authority for action.
orbital Projects and Operations, God- (g) The designated NASA official will
dard Space Flight Center, Wallops forward the executed use permit or no-
Flight Facility, Wallops Island, Vir- tification of denial thereof to the pro-
ginia 23337. spective user after the approving au-
(3) Moffett Federal Airfield and Crows thority has acted.
Landing Flight Facility. Chief, Airfield
Management Office, Ames Research [56 FR 35812, July 29, 1991, as amended at 60
Center, Mail Stop 1581, Moffett Field, FR 37568, July 21, 1995]
California 940351000.
1204.1405 Approving authority.
(b) Such requests will:
(1) Fully identify the prospective The authority to establish limita-
user and aircraft. tions and procedures for use of a NASA
(2) State the purpose of the proposed airfield, as well as the authority to ap-
use and the reason why the use of the prove or disapprove the use of the
NASA airfield is proposed rather than NASA airfield facilities subject to the
a commercial airport. terms and conditions of this subpart
(3) Indicate the expected annual use, and any supplemental rules or proce-
to include number and approximate dures established for the facility is
date(s) and time(s) of such proposed vested in:
use. (a) Shuttle Landing Facility. Director
(4) State that the prospective user is of Center Support Operations, Kennedy
prepared to fully comply with the Space Center, NASA.
terms of this subpart 14 and the use (b) Wallops Airport. Director of Sub-
permit which may be issued. orbital Projects and Operations, God-
(c) Upon receipt of the written re- dard Space Flight Center, Wallops
quest for permission to use the airport, Flight Facility, NASA.
the NASA official designated by each (c) Moffett Federal Airfield and Crows
facility will request additional infor- Landing Flight Facility. Chief, Airfield
mation, if necessary, and forward both Management Office, Ames Research
this regulation and the required Hold Center, NASA.
Harmless Agreement for execution by [56 FR 35812, July 29, 1991, as amended at 60
the requestor or forward, where appro- FR 37568, July 21, 1995]
priate, a denial of the request.
(d) The signed original of the Hold 1204.1406 Procedures in the event of
Harmless Agreement shall be returned a declared in-flight emergency.
to the designated NASA official, and a (a) Any aircraft involved in a de-
copy retained in the aircraft at all clared in-flight emergency that endan-
times. Such copy shall be exhibited gers the safety of its passengers and
upon proper demand by any designated aircraft may land at a NASA airfield.
NASA official. In such situations, the requirements
41
1204.1407 14 CFR Ch. V (1116 Edition)
for this subpart for advance authoriza- ing. Violators could also be subject to
tions, do not apply. legal liability for unauthorized use.
(b) NASA personnel may use any When it appears that the violation of
method or means to clear the aircraft this subpart was deliberate or is a re-
or wreckage from the runway after a peated violation, the matter will be re-
landing following an in-flight emer- ferred to the Aircraft Management Of-
gency. Care will be taken to preclude fice, NASA Headquarters, which will
unnecessary damage in so doing. How- then grant any departure authoriza-
ever, the runway will be cleared as tion.
soon as possible for appropriate use.
(c) The emergency user will be billed Subpart 15Intergovernmental
for all costs to the Government that Review of National Aero-
result from the emergency landing. No nautics and Space Adminis-
landing fee will be charged, but the
charges will include the labor, mate- tration Programs and Activi-
rials, parts, use of equipment, and tools ties
required for any service rendered under
these circumstances. AUTHORITY: E.O. 12372, July 14, 1982, 47 FR
(d) In addition to any report required 30959, as amended April 8, 1983, 48 FR 15887;
by the Federal Aviation Administra- sec. 401 of the Intergovernmental Coopera-
tion Act of 1968, as amended (31 U.S.C. 6506).
tion, a complete report covering the
landing and the emergency will be filed SOURCE: 48 FR 29340, June 24, 1983, unless
with the airfield manager by the pilot otherwise noted.
or, if the pilot is not available, any
1204.1501 Purpose.
other crew member or passenger.
(e) Before an aircraft which has made (a) The regulations in this part im-
an emergency landing is permitted to plement Executive Order 12372, Inter-
take off (if the aircraft can and is to be governmental Review of Federal Pro-
flown out) the owner or operator there- grams, issued July 14, 1982, and
of shall make arrangements acceptable amended on April 8, 1983. These regula-
to the approving authority to pay any tions also implement applicable provi-
charges assessed for services rendered sions of section 401 of the Intergovern-
and execute a Hold Harmless Agree- mental Cooperation Act of 1968, as
ment. The owner or operator may also amended.
be required to furnish a certificate of (b) These regulations are intended to
insurance, as provided in 1204.1404, foster an intergovernmental partner-
covering such takeoff. ship and a strengthened federalism by
relying on state processes and on state,
1204.1407 Procedure in the event of areawide, regional and local coordina-
an unauthorized use. tion for review of proposed direct Fed-
Any aircraft not operated for benefit eral development.
of the Federal Government which lands (c) These regulations are intended to
at a NASA airfield facility without ob- aid the internal management of the
taining prior permission from the ap- Agency, and are not intended to create
proving authority, except in a bona any right or benefit enforceable at law
fide emergency, is in violation of this by a party against the agency or its of-
subpart. Such aircraft will experience ficers.
delays while authorization for depar-
ture is obtained pursuant to this sub- 1204.1502 Definitions.
part and may, contrary to the other Administrator means the Adminis-
provisions of this subpart, be required, trator of the U.S. National Aeronautics
at the discretion of the approving au- and Space Administration or an offi-
thority, to pay a user fee of not less cial or employee of the Agency acting
than $100. Before the aircraft is per- for the Administrator under a delega-
mitted to depart, the approving au- tion of authority.
thority will require full compliance Agency means the U.S. National Aer-
with this subpart 1204.14, including the onautics and Space Administration.
filing of a complete report explaining Order means Executive Order 12372,
the reasons for the unauthorized land- issued July 14, 1982, and amended April
42
8, 1983, and titled Intergovernmental 1204.1507 Communicating with State

Review of Federal Programs. and local officials concerning the
State means any of the 50 states, the Agencys programs and activities.
District of Columbia, the Common- (a) For those programs and activities
wealth of Puerto Rico, the Common- covered by a state process under
wealth of the Northern Mariana Is- 1204.1506 the Administrator, to the ex-
lands, Guam, American Samoa, the tent permitted by law:
U.S. Virgin Islands, or the Trust Terri- (1) Uses the official state process to
tory of the Pacific Islands. determine views of state and local
elected officials; and;
1204.1503 Programs and activities
subject to these regulations. (2) Communicates with state and
local elected officials, through the offi-
The Administrator publishes in the cial state process, as early in a pro-
FEDERAL REGISTER a description of the gram planning cycle as is reasonably
Agencys programs and activities that feasible to explain specific plans and
are subject to these regulations. actions.
(b) The Administrator provides no-
1204.1504 [Reserved]
tice to directly affected state,
1204.1505 Federal interagency co- areawide, regional, and local entities
ordination. in a state of proposed direct Federal
The Administrator to the extent development if:
practicable, consults with and seeks (1) The state has not adopted a proc-
advice from all other substantially af- ess under the Order; or
fected federal departments and agen- (2) The development involves a pro-
cies in an effort to assure full coordina- gram or activity not selected for the
tion between such agencies and the state process.
Agency regarding programs and activi- This notice may be made by publica-
ties covered under these regulations. tion in a periodical of general circula-
tion in the area likely to be affected or
1204.1506 Procedures for selecting other appropriate means, which the
programs and activities under these Agency in its discretion deems appro-
regulations. priate.
(a) A state may select any program
or activity published in the FEDERAL 1204.1508 Time limitations for receiv-
REGISTER in accordance with 1204.1503 ing comments on proposed direct
of this part for intergovernmental re- Federal development.
view under these regulations. Each (a) Except in unusual circumstances,
state, before selecting programs and the Administrator gives state processes
activities shall consult with local or state, areawide, regional and local
elected officials. officials and entities at least 60 days
(b) Each state that adopts a process from the date established by the Ad-
shall notify the Administrator of the ministrator to comment on proposed
Agencys programs and activities se- direct Federal development.
lected for that process. (b) This section also applies to com-
(c) A state may notify the Adminis- ments in cases in which the review, co-
trator of changes in its selections at ordination, and communication with
any time. For each change, the state the Agency has been delegated.
shall submit to the Administrator an
assurance that the state has consulted 1204.1509 Receiving and responding
with local elected officials regarding to comments.
the change. The Agency may establish (a) The Administrator follows the
deadlines by which states are required procedures in 1204.1510 if:
to inform the Administrator of changes (1) A state office or official is des-
in their program selections. ignated to act as a single point of con-
(d) The Administrator uses a states tact between a state process and all
process as soon as feasible, depending federal agencies; and
on individual programs and activities, (2) That office or official transmits a

after the Administrator is notified of state process recommendation for a
its selections. program selected under 1204.1506.
43
1204.1510 14 CFR Ch. V (1116 Edition)
(b)(1) The single point of contact is istrator informs the single point of
not obligated to transmit comments contact that:
from state, areawide, regional or local (1) The Agency will not implement
officials and entities where there is no its decision for a least ten days after
state process recommendation. the single point of contact receives the
(2) If a state process recommendation explanation; or
is transmitted by a single point of con- (2) The Administrator has reviewed
tact, all comments from state, the decision and determined that, be-
areawide, regional, and local officials cause of unusual circumstances, the
and entities that differ from it must
waiting period of at least ten days is
also be transmitted.
not feasible.
(c) If a state has not established a
process, or is unable to submit a state (c) For purposes of computing the
process recommendation, state, waiting period under paragraph (b)(1)
areawide, regional and local officals of this section, a single point of con-
and entities may submit comments to tact is presumed to have received writ-
the Agency. ten notification five days after the date
(d) If a program or activity is not se- of mailing of such notification.
lected for a state process, state,
areawide, regional and local officials 1204.1511 Coordination in interstate
and entities may submit comments to situations.
the Agency. In addition, if a state proc- (a) The Administrator is responsible
ess recommendation for a nonselected for
program or activity is transmitted to (1) Identifying proposed direct Fed-
the Agency by the single point of con- eral development that has an impact
tact, the Administrator follows the on interstate areas;
procedures of 1204.1510 of this part. (2) Notifying appropriate officials
(e) The Administrator considers com- and entities in states which have
ments which do not constitute a state
adopted a process and which select the
process recommendation submitted
Agencys program or activity.
under these regulations and for which
the Administrator is not required to (3) Making efforts to identify and no-
apply the procedures of 1204.1510 of tify the affected state, areawide, re-
this part, when such comments are pro- gional, and local officials and entities
vided by a single point of contact, or in those states that have not adopted a
directly to the Agency by a com- process under the Order or do not se-
menting party. lect the Agencys program or activity;
(4) Responding pursuant to 1204.1510
1204.1510 Efforts to accommodate of this part if the Administrator re-
intergovernmental concerns. ceives a recommendation from a des-
(a) If a state provides a state process ignated areawide agency transmitted
recommendation to the Agency by a single point of contact, in cases in
through its single point of contact, the which the review, coordination, and
Administrator either: communication with the Agency have
(1) Accepts the recommendation; been delegated.
(2) Reaches a mutally agreeable solu- (b) The Administrator uses the proce-
tion with the state process; or dures in 1204.1510 if a state process
(3) Provides the single point of con- provides a state process recommenda-
tact with a written explanation of its tion to the Agency through a single
decision, in such form as the Adminis-
point of contact.
trator in his or her discretion deems
appropriate. The Administrator may 1204.1512 [Reserved]
also supplement the written expla-
nation by providing the explanation to 1204.1513 Waivers of provisions of
the single point of contact by tele- these regulations.
phone, other telecommunication, or
In an emergency, the Administrator
other means.
(b) In any explanation under para- may waive any provision of these regu-
graph (a)(3) of this section, the Admin- lations.
44
National Aeronautics and Space Admin. Pt. 1206
Subpart 16Temporary Duty Trav- 2. Clearinghouses will be afforded a min-

imum time of 30 days in which to review and
elIssuance of Motor Vehicle comment on a proposed project and a max-
for Home-to-Work Transpor- imum time of 45 days in which to complete
tation such review.
3. The minimum information to be pro-
vided to the clearinghouse will consist of
AUTHORITY: 31 U.S.C. 1344 note, 40 U.S.C. project description, scope and purpose, sum-
486(c). mary technical data, maps and diagrams
where relevant, and any data which would
1204.1600 Issuance of motor vehicle show the relationship of the proposed project
for home-to-work. or action to applicable land use plans, poli-
cies, and controls for the affected area.
When a NASA employee on tem- 4. Establish procedures for notifying clear-
porary duty travel is authorized to inghouses of the actions taken on projects,
travel by Government motor vehicle such as implementation, timing, postpone-
and the official authorizing the travel ment, abandonment, and explaining, where
determines that there will be a signifi- appropriate, actions taken contrary to clear-
cant savings in time, a Government inghouse recommendations.
motor vehicle may be issued at the
close of the preceding working day and PART 1205 [RESERVED]
taken to the employees residence prior
to the commencement of official trav- PART 1206PROCEDURES FOR DIS-
el. Similarly, when a NASA employee CLOSURE OF RECORDS UNDER
is scheduled to return from temporary THE FREEDOM OF INFORMATION
duty travel after the close of working
hours and the official authorizing the
ACT (FOIA)
travel determines that there will be a
Subpart ABasic Policy
significant savings in time, the motor
vehicle may be taken to the employees Sec.
residence and returned the next regular 1206.100 Scope of part.
working day. 1206.101 General policy.
[68 FR 60847, Oct. 24, 2003] Subpart BTypes of Records To Be Made

Available
APPENDIX A TO PART 1204ITEMS TO
COVER IN MEMORANDA OF AGREEMENT 1206.200 Publishing of records.
1206.201 Proactive disclosure of Agency
The items to be covered in Memoranda of records.
Agreement between NASA Installations and 1206.202 Records that have been published.
state and areawide OMB Circular A95 clear- 1206.203 Incorporation by reference.
inghouses for coordinating NASA and civil-
ian planning: Subpart CProcedures
1. Clearinghouses will be contacted at the
1206.300 How to make a request for Agency
earliest practicable point in project plan-
records.
ning. Generally, this will be during the prep- 1206.301 Describing records sought.
aration of Preliminary Engineering Reports, 1206.302 Fee agreements.
or possibly earlier if meaningful information 1206.303 Format of records disclosed.
is available that could practically serve as 1206.304 Expedited processing.
an input in the decision-making process. It 1206.305 Responding to requests.
should be noted that clearinghouses are gen- 1206.306 Granting a request.
erally comprehensive planning agencies. As 1206.307 Denying a request.
such, they are often the best repositories of 1206.308 Referrals and consultations within
information required for development plan- NASA or other Federal agencies.
ning and constitute a resource that can often
save Federal planners substantial time and Subpart DProcedures and Time Limits for
effort, if consulted early enough. In addition Responding to Requests
to providing information necessary for pre-
liminary engineering, clearinghouses can 1206.400 Procedures for processing queues
make useful inputs to the development of en- and expedited processing.
vironmental impact statements, as well as in 1206.401 Procedures and time limits for ac-
reviewing draft statements. Thus, consulta- knowledgement letters and initial deter-
tion at the earliest stage in planning can minations.

have substantial payoffs in installation de- 1206.402 Suspending the basic time limit.
velopment. 1206.403 Time extensions.
45
1206.100 14 CFR Ch. V (1116 Edition)
Subpart EFees Associated With Centers, herein NASA Headquarters

Processing Requests and Centers, as defined in this part.
1206.500 Search. 1206.101 General policy.
1206.501 Review.
1206.502 Duplication. (a) In compliance with the Freedom
1206.503 Restrictions on charging fees. of Information Act (FOIA), as amended
1206.504 Charging fees. 5 U.S.C. 552, a positive and continuing
1206.505 Advance payments. obligation exists for NASA, herein
1206.506 Requirements for a waiver or reduc- Agency, to make available to the full-
tion of fees. est extent practicable upon request by
1206.507 Categories of requesters. members of the public, all Agency
1206.508 Aggregation of requests. records under its jurisdiction, as de-
1206.509 Form of payment.
scribed in this regulation.
1206.510 Nonpayment of fees.
1206.511 Other rights and services. (b) Part 1206 does not entitle any per-
son to any service or to the disclosure
Subpart FCommercial Information of any record that is not required
under the FOIA.
1206.600 General policy.
1206.601 Notice to submitters.
1206.602 Opportunity to object to disclosure. Subpart BTypes of Records To
1206.603 Notice of intent to disclose. Be Made Available
Subpart GAppeals 1206.200 Publishing of records.
1206.700 How to submit an appeal. (a) Records required to be published in
1206.701 Actions on appeals. the Federal Register. The following
1206.702 Litigation. records are required to be published in
the FEDERAL REGISTER, for codification
Subpart HResponsibilities in Title 14, Chapter V, of the CFR.
(1) Description of NASA Head-
1206.800 Delegation of authority.
1206.801 Chief FOIA Officer. quarters and NASA Centers and the es-
1206.802 General Counsel. tablished places at which, the employ-
1206.803 NASA Headquarters. ees from whom, and the methods
1206.804 NASA Centers and Components. whereby, the public may secure infor-
1206.805 Inspector General. mation, make submittals or requests,
or obtain decisions;
Subpart ILocation for Inspection and (2) Statements of the general course
Request of Agency Records and method by which NASAs functions
1206.900 FOIA offices and electronic librar- are channeled and determined, includ-
ies. ing the nature and requirements of all
formal and informal procedures avail-
AUTHORITY: 5 U.S.C. 552, 552a; 51 U.S.C.
able;
20113(a)
(3) Rules of procedure, descriptions of
SOURCE: 79 FR 46678, Aug. 11, 2014, unless forms available or the places at which
otherwise noted. forms may be obtained, and instruc-
tions regarding the scope and contents
Subpart ABasic Policy of all papers, reports, or examinations;
(4) Substantive rules of general appli-
1206.100 Scope of part. cability adopted as authorized by law,
This part 1206 establishes the poli- and statements of general policy or in-
cies, responsibilities, and procedures terpretations of general applicability
for the release of Agency records which formulated and adopted by NASA;
are under the jurisdiction of the Na- (5) Each amendment, revision, or re-
tional Aeronautics and Space Adminis- peal of the foregoing.
tration, hereinafter NASA, to members (b) Agency opinions, orders, statements,
of the public. This part applies to infor- and manuals. (1) Unless they are ex-
mation and Agency records located at empt from disclosure in accordance
NASA Headquarters, and NASA Cen- with the FOIA, or unless they are
ters, including Component Facilities promptly published and copies offered
and Technical and Service Support for sale, NASA shall make available
46
the following records for public inspec- public from other readily available
tion and copying or purchase: sources, i.e., books.
(i) All final opinions (including con- (2) Furthermore, at a minimum,
curring and dissenting opinions) and NASA will maintain records in its elec-
all orders made in the adjudication of tronic library that were created after
cases; November 1, 1997, under paragraphs
(ii) Those statements of NASA policy (b)(1)(iv) and a guide for requesting
and interpretations which have been records or information from NASA.
adopted by NASA and are not pub-
lished in the FEDERAL REGISTER; 1206.201 Proactive disclosure of
(iii) Administrative staff manuals (or Agency records.
similar issuances) and instructions to Records that are required by the
staff that affect a member of the pub- FOIA to be made available for public
lic; inspection and copying are accessible
(iv) Copies of all records, regardless on the Agencys Web site, http://
of form or format, that have been re- www.nasa.gov. Each Center is respon-
leased to any person under Subpart C sible for determining which of its
herein and which, because of the na- records are required to be made pub-
ture of their subject matter, the Agen- licly available, as well as identifying
cy determines have become or are like- additional records of interest to the
ly to become the subject of subsequent public that are appropriate for public
requests for substantially the same disclosure, and for posting such
records (frequently requested docu- records. Each Center has a FOIA Public
ments). Liaison who can assist individuals in
(2) A general index of records referred to locating records particular to a Center.
under paragraph (b)(1)(iv) of this section. A list of the Agencys FOIA Public Li-
(i) For records created after Novem- aisons is available at http://
ber 1, 1997, which are covered by para- www.hq.nasa.gov/office/pao/FOIA/agency/
graph (b)(l)(i) through (b)(l)(iv) of this .
section, such records shall be available
electronically, through an electronic 1206.202 Records that have been pub-
library and in electronic forms or for- lished.
mats. Publication in the FEDERAL REGISTER
(ii) In connection with all records re- is a means of making certain Agency
quired to be made available or pub- records are available to the public in
lished under this paragraph (b), identi- accordance with 5 U.S.C.552(a)(2) with-
fying details shall be deleted to the ex- out requiring the filing of a FOIA re-
tent required to prevent a clearly un- quest. NASA has a FOIA Electronic Li-
warranted invasion of personal privacy. brary Web site at NASA Headquarters
However, in each case, the justification and each of its Centers. The
for the deletion shall be explained fully FedBizOpps (FBO) (formerly Commerce
in writing. The extent of such deletion Business Daily), is also a source of in-
shall be indicated on the portion of the formation concerning Agency records
record which is made available or pub- or actions. Various other NASA publi-
lished, unless including that indication cations and documents, and indexes
would harm an interest protected by an thereto, are available from other
exemption in the FOIA. If technically sources, such as the U.S. Super-
feasible, the extent of the deletion intendent of Documents and the Earth
shall be indicated at the place in the Resources Observation and Science
record where the deletion is made. Center (Department of the Interior).
(c) Other Agency records. (1) In addi- Such publications and documents are
tion to the records made available or not required to be made available or re-
published under paragraphs (a) and (b) produced in response to a request un-
of this section, NASA shall, upon re- less they cannot be purchased readily
quest for other records made in accord- from available sources.
ance with this part, make such records
1206.203 Incorporation by reference.
promptly available to any person, un-

less they are exempt from disclosure, Records reasonably available to the
or unless they may be purchased by the members of the public affected thereby
47
1206.300 14 CFR Ch. V (1116 Edition)
shall be deemed published in the FED- likely to maintain the records that are
ERAL REGISTER when incorporated by sought.
reference in material published in the (1) It is in the interest of the re-
FEDERAL REGISTER (pursuant to the quester to send the request to the Cen-
FEDERAL REGISTER regulation on incor- ter FOIA Office they believe has re-
poration by reference, 1 CFR Part 51). sponsibility over the records being
sought. (See Appendix A for
Subpart CProcedures www.nasa.gov/foia for NASA FOIA Of-
fice locations and addresses.)
1206.300 How to make a request for (2) A misdirected request may take
Agency records.
up to ten (10) additional working
(a) A requester submitting a request (meaning all days except Saturdays,
for records must include his/her name Sundays and all Federal legal holidays)
and mailing address, a description of days to reroute to the proper FOIA of-
the record(s) sought (see 1206.301), and fice.
must address fees or provide justifica- (f) A requester who is making a re-
tion for a fee waiver (see 1206.302) as quest for records about himself or her-
well as address the fee category in ac- self (a Privacy Act request) must com-
cordance with 1206.507. It is also help- ply with the verification of identity
ful to provide a telephone number and provisions set forth in 14 CFR 1212.202.
email address in case the FOIA office (g) Where a request pertains to a
needs to contact you regarding your re- third party, a requester may receive
quest; however, this information is op- greater access by submitting either a
tional when submitting a written re- notarized authorization signed by the
quest. If a requester chooses to submit individual who is the subject of the
a request online via the NASA FOIA record requested, or a declaration by
Web site, the required information that individual made in compliance
must be completed. Do not include a with the requirements set forth in 28
social security number on any cor- U.S.C. 1746, authorizing disclosure of
respondence with the FOIA office. the records to the requester, or submit
(b) NASA does not have a central lo-
proof that the individual is deceased
cation for submitting FOIA requests
(e.g., a copy of a death certificate or a
and it does not maintain a central
verifiable obituary).
index or database of records in its pos-
(h) As an exercise of its administra-
session. Instead, Agency records are de-
tive discretion, each Center FOIA of-
centralized and maintained by various
fice may require a requester to supply
Centers and offices throughout the
additional information if necessary,
country.
(c) NASA has not yet implemented a i.e., a notarized statement from the
records management application for subject of the file, in order to verify
automated capture and control of e- that a particular individual has con-
records; therefore, official files are pri- sented to a third party disclosure. In-
marily paper files. formation will only be released on a
(d) A member of the public may re- case-by-case basis to third party re-
quest an Agency record by mail, fac- questers if they have independently
simile (FAX), electronic-mail (email), provided authorization from the indi-
or by submitting a written request in vidual who is the subject of the re-
person to the FOIA office having request.
sponsibility over the record requested
1206.301 Describing records sought.
or to the NASA Headquarters (HQ)
FOIA Office. In view of the time limits under 5
(e) When a requester is unable to de- U.S.C. 552(a)(6) for an initial deter-
termine the proper NASA FOIA Office mination on a request for an Agency
to direct a request to, the requester record, a request must meet the fol-
may send the request to the NASA HQ lowing requirements:
FOIA Office, 300 E. Street SW., Wash- (a) The request must be addressed to
ington, DC 205460001. The HQ FOIA Of- an appropriate FOIA office or other-

fice will forward the request to the wise be clearly identified in the letter
Center(s) that it determines to be most as a request for an Agency record
48
under the Freedom of Information priate for that purpose in accordance

Act. with these regulations.
(b) Requesters must describe the (g) NASA is not required to create or
records sought in sufficient detail to compile records in response to a FOIA
enable Agency personnel who are fa- request.
miliar with the subject area of the re-
quest to identify and locate the record 1206.302 Fee agreements.
with a reasonable amount of effort. To (a) A request must explicitly state a
the extent possible, requesters should
willingness to pay all fees associated
include specific information that may
with processing the request, fees up to
assist a FOIA office in identifying the
a specified amount, or a request for a
requested records, such as the date,
fee waiver, if processing fees will likely
title or name, author, recipient, sub-
exceed the statutory entitlements as
ject matter of the record, case number,
file designation, or reference number. defined in 1206.507(b) and (c).
In general, requesters should include as (b) If the FOIA office determines that
much detail as possible about the spe- fees for processing the request will ex-
cific records or the types of records ceed the agreed upon amount or the
sought. statutory entitlements, the FOIA of-
(c) If the requester fails to reason- fice will notify the requester that:
ably describe the records sought, the (1) He/she must provide assurance of
FOIA office shall inform the requester payment for all anticipated fees or pro-
of what additional information is need- vide an advance payment if estimated
ed or why the request is deficient. The fees are expected to exceed $250.00, or
FOIA office will also notify the re- (2) The FOIA office will not be able to
quester that it will not be able to com- fully comply with the FOIA request un-
ply with the FOIA request unless the less an assurance or advance payment
additional information requested is as requested has been provided.
provided within 20 working days from (3) He/she may wish to limit the
the date of the letter. If the additional scope of the request to reduce the proc-
information is not provided within that essing fees.
timeframe, the request will be closed (c) If the FOIA office does not receive
without further notification. a written response within 20 working
(d) If after being asked to clarify a days after requesting the information,
request, the requester provides addi- it will presume the requester is no
tional information to the FOIA office longer interested in the records re-
but fails to provide sufficient details or quested and will close the file on the
information to allow the FOIA office to request without further notification.
ascertain exactly what records are
(d) A commercial-use requester (as
being requested and locate them, or in
defined in 1206.507(c)(1)) must:
general to process the request, the
FOIA office will notify the requester (1) State a willingness to pay all fess
that the request has not been properly associated with processing a request;
made and the request will be closed. or
The FOIA office will advise him/her (2) State a willingness to pay fees to
that they may submit a new request cover the costs of conducting an initial
for the information; however, the research for responsive records to deter-
quester will need to provide more de- mine a fee estimate.
tailed information to allow processing (e) If a requester is only willing to
of the request. pay a limited amount for processing a
(e) NASA need not comply with a request and it is for more than one doc-
blanket or categorical request (such as ument, the requester must state the
all matters relating to a general sub- order in which he/she would like the re-
ject) where it is not reasonably feasible quest for records to be processed.
to determine what record is sought. (f) If a requester is seeking a fee
(f) NASA will in good faith attempt waiver, the request must include suffi-
to identify and locate the record(s) cient justification to substantiate a

sought and will consult with the re- waiver. (See subpart E of this part for
quester when necessary and appro- information on fee waivers.) Failure to
49
1206.303 14 CFR Ch. V (1116 Edition)
provide sufficient justification will re- records exceed the amount the re-
sult in a denial of the fee waiver requester has agreed to pay, the FOIA of-
quest. fice will notify the requester in writ-
(g) If a requester is seeking a fee ing. If the requester does not agree to
waiver, he/she may also choose to state pay the additional fees for converting
a willingness to pay fees in case the fee the records, the records may not be
waiver request is denied in order to provided in the requested format.
allow the FOIA office to begin proc-
essing the request while considering 1206.304 Expedited processing.
the fee waiver. A requester may ask for expedited
(h) If a fee is chargeable for search, processing of a request. However, infor-
review, duplication, or other costs in- mation to substantiate the request
curred in connection with a request for must be included in accordance with
an Agency record, the requester will be 1206.400, Criteria for Expedited Proc-
billed prior to releasing Agency docu- essing; otherwise, the request for expe-
ments. If the total amount of proc- dited processing will be denied and
essing fees is under $50.00, the Agency processed in the simple or complex
will release the records when final queue.
processing is complete.
(1) If the exact amount of the fee 1206.305 Responding to requests.
chargeable is not known at the time of (a) Except in the instances described
the request, the requester will be noti- in paragraphs (e) and (f) of this section,
fied in the initial determination (or in the FOIA office that first receives a re-
a final determination in the case of an quest for a record and maintains that
appeal) of the amount of fees charge- record is the FOIA office responsible
able. for responding to the request.
(2) For circumstances in which ad- (b) In determining what records are
vance payment of fees is required, the responsive to a request, a FOIA office
requester will be notified after the ordinarily will include only records in
FOIA office has obtained an estimate its possession as of the date that it be-
of associated fees. gins its search. If any other date is
(i) The FOIA office will begin proc- used, the FOIA office shall inform the
essing a request only after the request requester of that date.
has been properly described in accord- (c) A record that is excluded from the
ance with these regulations and fees requirements of the FOIA pursuant to 5
have been resolved. U.S.C. 552(c)(1)(3), shall not be consid-
(j) If the requester is required to pay ered responsive to a request.
a fee and it is later determined on ap- (d) The Head of a Center, or designee,
peal that he/she was entitled to a full is authorized to grant or to deny any
or partial fee waiver, a refund will be requests for records that are main-
sent as appropriate. tained by that Center.
(k) NASA may refuse to consider a (e) The FOIA office may refer a re-
waiver or reduction of fees for request- quest to or consult with another Cen-
ers (persons or organizations) from ter FOIA office or Federal agency in
whom unpaid fees remain owed to the accordance with 1206.308, if the FOIA
Agency for another information access office receives a request for records
request. that are in its possession that were not
created at that Center. If another Cen-
1206.303 Format of records disclosed. ter within NASA or another Federal
(a) The FOIA office will provide the agency has substantial interest in or
records in the requested format if the created the records, the request will ei-
records can readily be reproduced from ther be referred or they will consult
the original file to that specific for- with that FOIA office/agency.
mat. (f) If a request for an Agency record
(b) The FOIA office may charge di- is received by a FOIA office not having
rect costs associated with converting responsibility of the record (for exam-
the records or files into the requested ple, when a request is submitted to one
format if they are not maintained in NASA Center or Headquarters and an-
that format. If the costs to convert the other NASA Center has responsibility
50
of the record), the FOIA office receiv- by the exemption(s) used to withhold
ing the request shall promptly forward the records or information;
it to that FOIA office within 10 work- (4) A statement that the denial may
ing days from the date of receipt. The be appealed under Subpart G of this
receiving FOIA office shall acknowl- part and a description of the require-
edge the request and provide the re- ments set forth therein.
quester with a tracking number. (c) If the requested records contain
both exempt and non-exempt material,
1206.306 Granting a request.
the FOIA office will:
(a) The FOIA office will not begin (1) Segregate and release the non-ex-
processing a request until all issues re- empt material unless the non-exempt
garding scope and fees have been re- material is so intertwined with the ex-
solved. empt material that disclosure of it
(b) If fees are not expected to exceed would leave only meaningless words
the minimum threshold of $50.00, and and phrases;
the scope of the request is in accord- (2) Indicate on the released portion(s)
ance with 1206.301, the FOIA office of the records the amount of informa-
will begin processing the request. tion redacted and the FOIA exemp-
(c) If the FOIA office contacts the re- tion(s) under which the redaction was
quester regarding fees or clarification made, unless doing so would harm an
and the requester has provided a re- interest protected by the FOIA exemp-
sponse, the FOIA office will notify the tion used to withhold the information;
requester in writing of the decision to and
either grant or deny the request.
(3) If technically feasible, place the
1206.307 Denying a request. exemption at the place of excision.
(a) If the FOIA office denies records 1206.308 Referrals and consultations
in response to a request either in full within NASA or other Federal
or in part, it will advise the requester Agencies.
in writing that: (a) Referrals and consultations can
(1) The requested record(s) is exempt
occur within the Agency or outside the
in full or in part; or
Agency.
(2) Records do not exist, cannot be lo-
(b) If a FOIA office (other than the
cated, or are not in the Agencys pos-
Office of Inspector General) receives a
session; or
(3) A record is not readily reproduc- request for records in its possession
ible in the form or format requested; or that another NASA FOIA office has re-
(4) Denial is based on a procedural sponsibility over or is substantially
issue only and not access to the under- concerned with, it will either:
lying records when it makes a decision (1) Consult with the other FOIA of-
that: fice before deciding whether to release
(i) A fee waiver or another fee-related or withhold the records; or
issue will not be granted; or (2) Refer the request, along with the
(ii) Expedited processing will not be records, to that FOIA office for direct
provided. response.
(b) The denial notification must in- (c) If the FOIA office that originally
clude: received the request refers all or part
(1) The name, title, or position of the of the request to another FOIA office
person(s) responsible for the denial; within the Agency for further proc-
(2) A brief statement of the reasons essing, they will notify the requester of
for the denial, including a reference to the partial referral and provide that
any FOIA exemption(s) applied by the FOIA contact information.
FOIA office to withhold records in full (d) If while responding to a request,
or in part; the FOIA office locates records that
(3) An estimate of the volume of any originated with another Federal agen-
records or information withheld, i.e., cy, it will generally refer the request
the number of pages or a reasonable and any responsive records to that

form of estimation, unless such an esti- other agency for a release determina-
mate would harm an interest protected tion and direct response.
51
1206.400 14 CFR Ch. V (1116 Edition)
(e) If the FOIA office refers all the (b) FOIA offices use three queues for
records to another agency, it will docu- multi-track processing depending on
ment the referral and maintain a copy the complexity of the request. Once it
of the records that it refers; notify the has been determined the request meets
requester of the referral in writing, un- the criteria in accordance with subpart
less that identification will itself dis- C of this part, the FOIA office will
close a sensitive, exempt fact; and will place the request in one of the fol-
provide the contact information for the lowing tracks:
other agency and if known, the name of (1) SimpleA request that can be
a contact at the other agency. processed within 20 working days.
(f) If the FOIA office locates records (2) ComplexA request that will take
that originated with another Federal over 20 working days to process. (A
agency while responding to a request, complex request will generally require
the office will make the release deter- coordination with more than one office
mination itself (after consulting with and a legal 10 working day extension
the originating agency) when: for unusual circumstances (see
(1) The record is of primary interest 1206.403) may be taken either up front
to NASA (for example, a record may be or during the first 20 days of processing
of primary interest to NASA if it was the request.)
developed or prepared according to (3) Expedited processingA request
Agency regulations or directives, or in for expedited processing will be proc-
response to an Agency request); or essed in this track if the requester can
(2) NASA is in a better position than show exceptional need or urgency that
the originating agency to assess wheth- their request should be processed out of
er the record is exempt from disclo- turn in accordance with paragraph (c)
sure; or of this section.
(3) The originating agency is not sub- (c) Requests and appeals will be proc-
ject to the FOIA; or essed on an expedited basis whenever it
(4) It is more efficient or practical is determined that they involve one or
depending on the circumstances. more of the following:
(g) If the FOIA office receives a re- (1) Circumstances in which the lack
quest for records that another Federal of expedited treatment could reason-
agency has classified under any appli- ably be expected to pose an imminent
cable executive order concerning threat to the life or physical safety of
record classification, it must refer the an individual;
request to that agency for response. (2) Circumstances in which there is
(h) If the FOIA office receives a re- an urgency to inform the public about
quest for records that are under the an actual or alleged Federal Govern-
purview of another Federal agency, the ment activity if the FOIA request is
office will return the request to the re- made by a person primarily engaged in
quester and may advise the requester disseminating information;
to submit it directly to another agen- (i) In most situations, a person pri-
cy. The FOIA office will then close the marily engaged in disseminating infor-
request. mation will be a representative of the
(i) All consultations and referrals re- news media and therefore, will qualify
ceived by the Agency will be handled as a person primarily engaged in dis-
according to the date that the FOIA re- seminating information.
quest initially was received by the first (ii) To substantiate paragraph (c)(2)
FOIA office. of this section, the requested informa-
tion must be the type of information
Subpart DProcedures and Time which has particular value that will be
Limits for Responding to Requests lost if not disseminated quickly; this
ordinarily refers to a breaking news
1206.400 Procedures for processing story of general public interest. Infor-
queues and expedited processing. mation of historical interest only or
(a) The FOIA office will normally information sought for litigation or
process requests in the order in which commercial activities would not qual-
they are received in each of the proc- ify, nor would a news media deadline
essing tracks. unrelated to breaking news; or
52
(3) The loss of substantial due process record (or portions thereof) will be
rights. made available under this part or will
(d) A request for expedited processing be withheld from disclosure under the
must contain a statement that: FOIA.
(1) Explains in detail how the request (c) An initial determination on a re-
meets one or more of the criteria in quest for an Agency record addressed
paragraph (c) of this section; and in accordance with this regulation (to
(2) Certifies that the explanation is include one submitted in person at a
true and correct to the best of the re- FOIA office) shall be made (for exam-
questers knowledge and belief. ple, to grant, partially grant or deny a
(3) If the request is made referencing request), and the requester shall be
paragraph (c)(2) of this section, the resent an initial determination letter
quester must substantiate the public within 20 working days after receipt of
interest. the request, as required by 5 U.S.C.
(e) A request for expedited processing 552(a)(6) (unless unusual circumstances
may be made at any time. Requests exist as defined in 1206.403).
must be submitted to the FOIA office (d) The basic time limit for a mis-
responsible for processing the re- directed FOIA request (not a referral or
quested records. consultation) begins on the date on
(f) The FOIA office must notify the which the request is first received by
requester of its decision to grant or the appropriate FOIA office within the
deny expedited processing within 10 Agency, but in any event no later than
calendar days from the date of receipt. ten (10) working days after the date the
(g) If expedited processing is granted, request is first received by a FOIA of-
the request will be processed on a first- fice designated to receive FOIA re-
in, first-out basis in that queue. quests.
(h) If expedited processing is denied, (e) Any notification of an initial de-
the FOIA office will notify the re- termination that does not comply fully
quester and provide information on ap-
with the request for an Agency record,
pealing this decision in accordance
including those searches that produce
with Subpart G of this part and place
no responsive documents, shall include
the request in the appropriate proc-
a statement of the reasons for the ad-
essing queue.
verse determination, include the name
(i) If the FOIA office processing the
and title of the person making the ini-
request does not provide notification of
tial determination, and notify the re-
either granting or denying the request
quester of the right to appeal to the
for expedited processing within 10 cal-
Administrator or the Inspector Gen-
endar days from the date of receipt, the
eral, as appropriate, pursuant to sub-
requester may file an appeal for non-re-
sponse in accordance with subpart G of part G of this part.
this part. 1206.402 Suspending the basic time
limit.
1206.401 Procedures and time limits
for acknowledgement letters and (a) In accordance with 5 U.S.C.
initial determinations. 552(a)(6)(A)(ii)(I), the FOIA office may
(a) Following receipt of a request make one request to the requester for
submitted under the FOIA, the FOIA information to clarify a request and
staff will send an acknowledgement temporarily suspend (toll) the time
letter providing the case tracking num- (the 20-day period) while it is awaiting
ber and processing track within ten (10) such information that it has reason-
working days from date of receipt to ably requested from the requester. Re-
the requester. ceipt of the requesters response by the
(b) An initial determination is a deci- FOIA office to the Agencys request for
sion by a NASA official, in response to additional information or clarification
a request by a member of the public for ends the temporary time suspension.
an Agency record, on whether the (b) In accordance with 5 U.S.C.
record described in the request can be 552(a)(6)(A)(ii)(II), the FOIA office may
identified and located after a reason- temporarily suspend (toll) the 20-day
able search and, if so, whether the period as many times as is necessary to
53
1206.403 14 CFR Ch. V (1116 Edition)
clarify with the requester issues re- whether exceptional circumstances

garding fees. Receipt of the requesters exist. A delay that results from a pre-
response by the FOIA office to the dictable workload of requests does not
Agencys request for information re- constitute exceptional circumstances
garding fees ends the temporary time unless the Agency demonstrates rea-
suspension. sonable progress in reducing its back-
log of pending requests.
1206.403 Time extensions.
(a) In unusual circumstances as de- Subpart EFees Associated With
fined in this section, the time limits Processing Requests
for an initial determination and for a
final determination may be extended, 1206.500 Search.
but not to exceed a total of 10 working (a) Search includes all time spent
days in the aggregate in the processing looking for material that is responsive
of any specific request for an Agency to a request, including page-by-page or
record. The extension must be taken line-by-line identification of material
before the expiration of the 20 working within documents. A search will deter-
day time limits. The requester will be mine what specific documents, if any,
notified in writing of: are responsive to a request. A search
(1) The unusual circumstances sur- for Agency records responsive to a re-
rounding the extension of the time quest may be accomplished by manual
limit; or automated means.
(2) The date by which the FOIA office (b) Search charges, as set forth in
expects to complete the processing of this part, may be billed even when an
the request. Agency record, which has been re-
(b) Unusual circumstances are de- quested, cannot be identified or located
fined as: after a diligent search and consultation
(1) The need to search for and collect with a professional NASA employee fa-
the requested records from offices miliar with the subject area of the re-
other than the office processing the request has been conducted or if located,
quest; cannot be made available under
(2) The need to search for, collect, 1206.308.
and appropriately examine a volumi- (c) In responding to FOIA requests,
nous number of documents; FOIA offices shall charge the following
(3) The need to coordinate and/or con- fees based on the date the request is re-
sult with another NASA office or agen- ceived in the NASA FOIA Office unless
cy having a substantial subject-matter a waiver or reduction of fees has been
interest in the determination of the re- granted under 1206.506. Fees will be
quest. determined on October 1st of each year
(c) If initial processing time will ex- based on the appropriate General
ceed or is expected to exceed 30 work- Schedule (GS) base salary, plus the
ing days, the FOIA office will notify District of Columbia locality payment,
the requester of the delay in processing plus 16 percent for benefits of employ-
and: ees. Fees such as search, review, and
(1) Provide an opportunity to modify duplication will be charged in accord-
or limit the scope of the request to re- ance with the requesters fee category
duce processing time; and as defined in 1206.507.
(2) Provide appeal rights, since the (d) For each quarter hour spent by
FOIA office has exceeded the 30 work- personnel searching for requested
ing day time period. records, including electronic searches
(3) Shall make available its des- that do not require new programming,
ignated FOIA contact and its FOIA the fees will be the average hourly GS-
Public Liaison for this purpose. base salary, plus the District of Colum-
(d) The requesters refusal to reason- bia locality payment, plus 16 percent
ably modify the scope of a request or for benefits of employees in the fol-
arrange an alternative timeframe for lowing three categories, as applicable:
processing a request after being given (1) ClericalBased on a GS6, Step 5

the opportunity to do so may be con- (all employees at a GS7 and below are
sidered a factor when determining classified as clerical for this purpose).
54
(2) ProfessionalBased on a GS11, 1206.502 Duplication.

Step 7 pay (all employees at a GS8 (a) Duplication is reproducing a copy
through GS12 are classified as profes- of a record or of the information con-
sional for this purpose); tained in it, necessary to respond to a
(3) ManagerialBased on GS14, Step FOIA request. Copies can take the form
2, pay (all employees at a GS13 and of paper, audiovisual materials, or
above are classified as managerial for electronic records, among others.
this purpose). (b) FOIA offices shall honor a re-
(e) Requesters will be charged the di- questers preference for receiving a
rect costs associated with conducting record in a particular form or format
any search that requires the creation where it is readily reproducible by the
of a new program to locate the re- FOIA office in the form or format re-
quested records. quested. If the records are not readily
(f) For requests that require the re- reproducible in the requested form or
trieval of records stored by an agency format, the Agency will so inform the
at a Federal records center operated by requester. The requester may specify
the NARA, additional costs shall be an alternative form or format that is
charged in accordance with the Trans- available. If in this situation the re-
actional Billing Rate Schedule estab- quester refuses to specify an alter-
lished by NARA. native form or format, the Agency will
not process the request any further.
1206.501 Review.
(c) Where standard-sized photocopies
(a) Review means the process of ex- or scans are supplied, the FOIA office
amining a document(s) located in re- will provide one copy per request at the
sponse to a request to determine regular copy rate per page.
whether the document(s) or any por- (d) For copies of records produced on
tion thereof is disclosable. Review does tapes, disks, or other electronic media,
not include time spent resolving gen- FOIA offices will charge the direct
eral legal or policy issues regarding the costs of producing the copy, including
application of exemptions. the time spent by personnel dupli-
(b) Review fees will be assessed in cating the requested records. For each
connection with the initial review of quarter hour spent by personnel dupli-
the record, i.e., the review conducted cating the requested records, the fees
by Agency staff to determine whether will be the same as those charged for a
an exemption applies to a particular search under this subpart.
record or portion of a record. (e) If NASA staff must scan paper
(c) Review fees will be charged to documents in order to accommodate a
commercial use requesters. requesters preference to receive the
(d) No charge will be made for review records in an electronic format, the re-
at the administrative appeal stage of quester shall pay the appropriate copy
exemptions applied at the initial re- fee charge per page as well as each
view stage. However, when the appel- quarter hour spent by personnel scan-
late authority determines that a par- ning the requested records. Fees will be
ticular exemption no longer applies, the same as those charged for search
any costs associated with an additional under this subpart for each quarter
review of the records in order to con- hour spent by personnel scanning the
sider the use of other exemptions may requested records.
be assessed as review fees. (f) For other forms of duplication,
(e) Review fees will be charged at the FOIA offices will charge the direct
same rates as those charged for a costs as well as any associated per-
search under 1206.500. sonnel costs. For standard-sized copies
(f) Review fees can be charged even if of documents such as letters, memo-
the record(s) reviewed ultimately is randa, statements, reports, contracts,
not disclosed. etc., $0.15 per copy of each page;
(g) Review fees will not include costs charges for double-sided copies will be
incurred in resolving issues of law or $0.30. For copies of oversized docu-
policy that may be raised in the course ments, such as maps, charts, etc., fees
of processing a request under this sec- will be assessed as direct costs. Charges
tion. for copies (and scanning) include the
55
1206.503 14 CFR Ch. V (1116 Edition)
time spent in duplicating the docu- noncommercial scientific institution)

ments. For copies of computer disks, and (c)(3) (representative of the news
still photographs, blueprints, video- media), no duplication fees will be
tapes, engineering drawings, hard cop- charged when the FOIA office fails to
ies of aperture cards, etc., the fee comply with the statutory time limits
charged will reflect the direct cost to in response to a request if no unusual
NASA of reproducing, copying, or scan- or exceptional circumstances apply to
ning the record. the processing of the request, as those
(g) If the request for an Agency terms are defined in subpart D of this
record required to be made available part.
under this part requires a computerized (c) Fees will not be charged unless
search or printout, the charge for the they are over $50.00.
time of personnel involved shall be at (d) No search or review fees will be
the rates specified in this part or the charged for a quarter-hour period un-
direct costs assessed to the Agency. less more than half of that period is re-
The charge for computer time involved quired to fulfill processing of the re-
and for any special supplies or mate- quest.
rials used shall not exceed the direct
cost to NASA. 1206.504 Charging fees.
(h) Reasonable standard fees may be
charged for additional direct costs in- (a) When a FOIA office determines or
curred in searching for or duplicating estimates the fees to be assessed in ac-
an Agency record in response to a re- cordance with this section will exceed
quest under this part. Charges made $50.00, the FOIA office shall notify the
under this paragraph include, but are requester unless the requester has indi-
not limited to, the transportation of cated a willingness to pay fees as high
NASA personnel to places of record as those anticipated. If a portion of the
storage for search purposes or freight fees can be readily estimated, the FOIA
charges for transporting records to the office shall advise the requester ac-
personnel searching for or duplicating cordingly.
a requested record. (b) In cases in which a requester has
(i) Complying with requests for spe- been notified that actual or estimated
cial services such as those listed in this fees are in excess of $50.00, the request
section is entirely at the discretion of shall be placed on hold and further
NASA. To the extent that NASA elects work will not be completed until the
to provide the following services, it requester commits in writing to pay
will levy a charge equivalent to the the actual or estimated fees. Such a
full cost of the service provided: commitment must be made by the re-
(1) Certifying that records are true quester in writing, must indicate a
copies. given dollar amount or a willingness to
(2) Sending records by special meth- pay all processing fees, and must be re-
ods such as express mail. ceived by the FOIA office within 20
(3) Packaging and mailing bulky working days from the date of the let-
records that will not fit into the larg- ter providing notification of the fee es-
est envelope carried in the supply in- timate. If a commitment is not re-
ventory. ceived within this period, the request
shall be closed without further notifi-
1206.503 Restrictions on charging cation.
fees. (c) After the FOIA office begins proc-
(a) No search fees will be charged essing a request, if it finds that the ac-
when the FOIA office fails to comply tual cost will exceed the amount the
with the statutory time limits in re- requester previously agreed to pay, the
sponse to a request if no unusual or ex- FOIA office will: Stop processing the
ceptional circumstances apply to the request; and promptly notify the re-
processing of the request, as those quester of the higher amount. The re-
terms are defined in Subpart D of this quest will be placed on hold until the
regulation. fee issue has been resolved. If the issue

(b) In the case of a requester as de- is not resolved within 20 working days
fined in 1206.507(c)(2) (education and from the date of the notification letter,
56
the request shall be closed without fur- (b) When a FOIA office determines or
ther notification. estimates that a total fee to be charged
(d) Direct costs, meaning those ex- under this section will exceed $250.00, it
penditures that NASA actually incurs may require that the requester make
in searching for, duplicating, and an advance payment up to the amount
downloading computer files and docu- of the entire anticipated fee before be-
ments in response to a FOIA request, ginning to process the request. A FOIA
will be included on the invoice as ap- office may elect to process the request
propriate. Direct costs include, for ex- prior to collecting fees when it receives
ample, the salary of the employee who a satisfactory assurance of full pay-
would ordinarily perform the work (the ment from a requester.
basic rate of pay for the employee plus (c) Where a requester has previously
16 percent of that rate to cover bene- failed to pay a properly charged FOIA
fits), the cost of operating computers fee assessed by any FOIA office in the
and other electronic equipment, such agency within 30 calendar days of the
as photocopiers and scanners, the costs billing date, a FOIA office may require
associated with retrieving records the requester to pay the full amount
stored at a Federal records center oper- due, plus any applicable interest due on
ated by the NARA, as well as costs for the outstanding debt, before the FOIA
CDs and other media tools. office begins to process a new request
(e) NASA may charge interest on any or continues to process a pending re-
unpaid bill starting on the 31st day fol- quest or any pending remand of an ap-
lowing the date of billing the repeal. Once the outstanding bill has
quester. Interest charges will be as- been paid, the FOIA office may also re-
sessed at the rate provided in 31 U.S.C. quire the requester to make an advance
3717 and will accrue from the billing payment of the full amount of any an-
date until payment is received by the ticipated fee before processing the new
request.
FOIA office. NASA will follow the pro-
(d) Where a FOIA office has a reason-
visions of the Debt Collection Act of
able basis to believe that a requester
1982 (Pub. L. 97365, 96 Stat. 1749), as
has misrepresented his or her identity
amended, and its administrative proce-
in order to avoid paying outstanding
dures, including the use of consumer
fees, it may require that the requester
reporting agencies, collection agencies,
provide further proof of identity.
and offset.
(e) In cases in which a FOIA office re-
(f) If processing fees are less than quires advance payment, the request
$50.00, NASA will send all releaseable shall be placed on hold and further
documents (or portions thereof) fol- work will not be completed until the
lowing the completion of the initial de- required payment is received. If the re-
termination. If fees are greater than quester does not pay the advance pay-
$50.00, the documents will not be re- ment within 20 working days after the
leased until the invoice has been paid date of the FOIA offices letter, the re-
and verified by the FOIA office. quest will be closed without further no-
(g) Final billing will be sent when the tification.
initial determination has been com- (f) When advance payment is required
pleted. At that time the case will be in order to initiate processing, after a
closed. fee estimate has been determined, the
FOIA office will require payment be-
1206.505 Advance payments. fore continuing to process the request.
(a) For requests other than those de- (g) The fee schedule of this section
scribed in paragraphs (b), (c), and (f) of does not apply to fees charged under
this section, a FOIA office shall not re- any statute that specifically requires
quire the requester to make an advance an agency to set and collect fees for
payment before work is commenced or particular types of records. In in-
continued on a request. Payment owed stances where records responsive to a
for work already completed (i.e., pay- request are subject to a statutorily-
ment for search, review and/or before based fee schedule program, the FOIA
records are released to a requester) is office will inform the requester of the
not an advance payment. contact information for that source.
57
1206.506 14 CFR Ch. V (1116 Edition)
1206.506 Requirements for a waiver his/her editorial skills to turn raw ma-
or reduction of fees. terials into a distinct work.)
(a) The burden is on the requester to (4) If there is likely to be a contribu-
justify an entitlement to a fee waiver. tion to public understanding, will that
(See 1206.507 for a discussion on fee contribution be significant? A con-
categories.) tribution to public understanding will
(b) Requests for a waiver or reduction be significant if the information dis-
of fees shall be considered on a case-by- closed is new, clearly supports public
case basis using the criteria in this sec- oversight of Agency operations, includ-
tion. These statutory requirements ing the quality of Agency activities
must be satisfied by the requester be- and the effect of policy and regulations
fore properly assessable fees are waived on public health and safety, or other-
or reduced under the statutory stand- wise confirms or clarifies data on past
ard. or present operations of the Agency.
(c) Records shall be furnished with- (e) In deciding whether the fee waiver
out charge or at a reduced rate if the meets the requirements in
requester has demonstrated, based on 1206.506(c)(2), the FOIA office will con-
all available information, that disclo- sider any commercial interest of the
sure of the information is in the public requester that would be furthered by
interest because it: the requested disclosure.
(1) Is likely to contribute signifi- (1) Requesters are encouraged to pro-
cantly to public understanding of the vide explanatory information regard-
operations or activities of the Govern- ing this consideration.
ment; and (2) A waiver or reduction of fees is
(2) Is not primarily in the commer- justified where the public interest is
cial interest of the requester. greater than any identified commercial
(d) In deciding whether a request for interest in disclosure.
a fee waiver meets the requirements in (3) If the requester is a representative
1206.506(c)(1), the FOIA office will use of a news media organization seeking
the following factors, which must be information as part of a news gath-
addressed by the requester: ering process, the FOIA office will pre-
(1) Does the subject of the request sume that the public interest out-
specifically concern identifiable oper- weighs the requesters commercial in-
ations or activities of the Agency with terest.
a connection that is direct and clear, (4) If the requester represents a busi-
not remote or attenuated? For exam- ness, corporation, or is an attorney
ple, is the information requested clear- representing such an organization, the
ly associated to current events? FOIA office will presume that the com-
(2) If the record(s) concern the oper- mercial interest outweighs the public
ations or activities of the Government, interest unless otherwise dem-
is disclosure likely to contribute to an onstrated.
increased public understanding of those (f) Where only some of the records to
operations or activities? For example, be released satisfy the requirements for
are the disclosable contents of the a waiver of fees, a partial waiver shall
record(s) meaningfully informative in be granted for those records.
relation to the subject matter of the (g) Requests for a waiver or reduction
request? of fees should be made when the re-
(3) Is the focus of the requester on quest is first submitted to the Agency
contributing to public understanding, and should address the criteria ref-
rather than on the individual under- erenced above. A requester may submit
standing of the requester or a narrow a fee waiver request at a later time so
segment of interested persons? The re- long as the underlying record request
quester must demonstrate how he/she is pending or on administrative appeal.
plans to disseminate the information. (h) When a requester who has com-
The dissemination of information must mitted to pay fees subsequently asks
be to the general public or a reasonably for a waiver of those fees and that
broad audience. (Dissemination to a waiver is denied, the requester will be

wide audience is not merely posting required to pay any costs incurred up
the documents on a Web site, but using to the date the fee waiver request was
58
received by the office processing the 1206.507 Categories of requesters.

original request.
(a) A request should indicate the fee
(i) When deciding whether to waive
category. If the requester does not in-
or reduce fees, the FOIA office will rely
dicate a fee category, or it is unclear to
on the fee waiver justification sub-
mitted in the request letter. If the re- the FOIA office, the FOIA office will
quest letter does not include sufficient make a determination of the fee cat-
justification, the FOIA office will ei- egory based on the request. If the re-
ther deny the fee waiver request or at quester does not agree with their deter-
its discretion, ask for additional jus- mination, he/she will be afforded the
tification from the requester. opportunity to provide information to
(j) FOIA offices may make available support a different fee category.
their FOIA Public Liaison or other (b) If the request is submitted on be-
FOIA professional to assist any re- half of another person or organization
quester in reformulating a request in (e.g., if an attorney is submitting a re-
an effort to reduce fees; however, the quest on behalf of a client), the fee cat-
FOIA staff may not assist a requester egory will be determined by consid-
in composing a request, advising what ering the underlying requesters iden-
specific records to request, or how to tity and intended use of the informa-
write a request to qualify for a fee tion. The following table outlines the
waiver. basic fee categories and applicable fees:
59
VerDate Sep<11>2014
Requester category Search fees Review fees Duplication fees
Commercial use requester ............................................. Yes ............................................................ Yes ............................................................ Yes.
11:24 Feb 19, 2016

Educational and non-commercial scientific institutions No .............................................................. No .............................................................. Yes (first 100 pages, or equivalent vol-
ume, without charge).
1206.507
Representative of news media requester ...................... No .............................................................. No .............................................................. Yes (first 100 pages, or equivalent vol-
All other requesters ........................................................ Yes (first 2 hours without charge) ............. No .............................................................. Yes (first 100 pages, or equivalent vol-
Jkt 238050
PO 00000
Frm 00070
Fmt 8010
60
Sfmt 8010
Y:\SGML\238050.XXX
238050
14 CFR Ch. V (1116 Edition)
(c) The FOIA provides for three cat- (ii) For the purposes of a non-com-
egories of requesters. However, for mercial scientific institution, it must
clarity purposes, NASA has broken be solely for the purpose of conducting
them down to four for the purposes of scientific research, the results of which
determining fees. These four categories are not intended to promote any par-
of FOIA requesters are: Commercial ticular product or industry. Requests
use requesters; educational and non- must be sent on the letterhead of the
commercial scientific institutions; rep- scientific institution and signed by the
resentatives of the news media; and all responsible official in charge of the
other requesters. The Act prescribes project/program associated with the
specific levels of fees for each of these subject of the documents that are
categories, which is indicated in the being requested.
FOIA fee table above. (3) Representative of the news media. (i)
(1) Commercial use requesters. When NASA shall provide documents to re-
NASA receives a request for documents questers in this category for the cost of
appearing to be for commercial use, duplication alone, excluding charges
meaning a request from or on behalf of for the first 100 pages when the re-
one whom seeks information for a use quester demonstrates the following:
or purpose that furthers the commer- (A) The requesters intended dissemi-
cial, trade, or profit interests of either nation,
the requester or the person on whose
(B) Whether the information is cur-
behalf the request is made, it will as-
rent news and/or of public interest, and
sess charges to recover the full direct
(C) Whether the information sought
costs of searching for, reviewing for re-
lease, and duplicating the records will shed new light on agency statu-
sought. NASA will not consider a com- tory operations.
mercial-use request for a waiver or re- (ii) A representative of the news
duction of fees based upon an assertion media is any person or entity organized
that disclosure would be in the public and operated to publish or broadcast
interest. A request from a corporation news to the public that actively gath-
(not a news media corporation) may be ers information of potential interest to
presumed to be for commercial use un- a segment of the public, uses its edi-
less the requester demonstrates that it torial skills to turn the raw materials
qualifies for a different fee category. into a distinct work, and distributes
Commercial use requesters are not en- that work to an audience. Examples of
titled to two (2) hours of search time or news media entities include television
to 100 pages of duplication of docu- or radio stations that broadcast
ments without charge. news to the public at large and pub-
(2) Education and non-commercial sci- lishers of periodicals that disseminate
entific institution requesters. (i) To be el- news and make their products avail-
igible for inclusion in this category, re- able through a variety of means to the
questers must show that the request general public. A request for records
being made is authorized by and under that supports the news-dissemination
the auspices of a qualifying institution function of the requester shall not be
and that the records are not being considered to be for a commercial use.
sought for a commercial use (not oper- Freelance journalists who dem-
ated for commerce, trade or profit), but onstrate a solid basis for expecting
are being sought in furtherance of publication through a news media enti-
scholarly (if the request is from an edu- ty shall be considered as working for
cational institution) or scientific (if that entity. A publishing contract
the request is from a noncommercial would provide the clearest evidence
scientific institution) research. A re- that publication is expected; however,
quest for educational purposes must be NASA shall also consider a requesters
sent on the Institutions letterhead and past publication record in making this
signed by the Dean of the School or De- determination. NASAs decision to
partment. Records requested for the in- grant a requester news media status
tention of fulfilling credit require- for the purposes of assessing fees will
ments are not considered to be sought be made on a case-by-case basis based
for a scholarly purpose. upon the requesters intended use.
61
1206.508 14 CFR Ch. V (1116 Edition)
(iii) Requesters seeking this fee cat- billing was sent. Interest will be at the
egory who do not articulate sufficient rate prescribed in 31 U.S.C. 3717.
information to support their request (b) Applicability of Debt Collection Act
will not be included in this fee cat- of 1982 (Pub. L. 97365). Requesters are
egory. Additionally, FOIA staff may advised that if full payment is not re-
grant a partial fee waiver if the received within 60 days after the billing
quester can articulate the information was sent, the procedures of the Debt
above for some of the documents. Collection Act may be invoked (14 CFR
(4) All other requesters. NASA shall 1261.4071261.409). These procedures in-
charge requesters who do not fit into clude three written demand letters at
any of the categories mentioned in this not more than 30-day intervals, disclo-
section fees in accordance with the fee sure to a consumer reporting agency,
table above. and the use of a collection agency,
where appropriate.
1206.508 Aggregation of requests.
1206.511 Other rights and services.
(a) A requester may not file multiple
requests at the same time, each seek- Nothing in this subpart shall be con-
ing portions of a document or docu- strued to entitle any person to any
ments, solely in order to avoid pay- service or to the disclosure of any
ment of fees. record that is not required under the
FOIA.
(b) When NASA has reason to believe
that a requester or a group of request-
ers acting in concert is attempting to Subpart FCommercial
divide a request into a series of re- Information
quests on a single subject or related
subjects for the purpose of avoiding the
assessment of fees, NASA will aggre- (a) Notice shall be given to a sub-
gate any such requests and charge ac- mitter whenever the information re-
cordingly. quested is commercial information and
(c) NASA will consider that multiple has been designated by the submitter
requests made within a 30-day period as information deemed protected from
were so intended submitted as such to disclosure under Exemption 4 of the
avoid fees, unless there is evidence to Act, or the Agency otherwise has rea-
the contrary. son to believe that the information
(d) NASA will aggregate requests sep- may be protected from disclosure under
arated by a longer period of time only Exemption 4. For the purpose of apply-
when there is a reasonable basis for de- ing the notice requirements, commer-
termining that aggregation is war- cial information is information pro-
ranted in view of all the circumstances vided by a submitter and in the posses-
involved. sion of NASA, that may arguably be
exempt from disclosure under the pro-
(e) NASA will not aggregate multiple
visions of Exemption 4 of the FOIA (5
requests on unrelated subjects from
U.S.C. 552(b)(4)). The meaning ascribed
one requester or organization.
to this term for the purpose of this no-
1206.509 Form of payment. tice requirement is separate and should
not be confused with use of this or
Payment shall be made by check or similar terms in determining whether
money order payable to the Treasury information satisfies one of the ele-
of the United States, or by credit card ments of Exemption 4.
per instructions in the initial deter- (b) A submitter is a person or entity
mination or billing invoice and sent to outside the Federal Government from
NASA. whom the Agency directly or indirectly
obtains commercial or financial infor-
1206.510 Nonpayment of fees. mation. The term submitter includes,
(a) Requesters are advised that but is not limited to corporations,
should they fail to pay the fees as- state governments, individuals, and
sessed, they may be charged interest foreign governments.

on the amount billed starting on the (c) The notice requirements of
31st day following the day on which the 1206.601 will not apply if:
62
(1) The information has been lawfully (1) The exact language of the request
published or officially made available or an accurate description of the re-
to the public; or quest;
(2) Disclosure of the information is (2) Access to or a description of the
required by a statute (other than this responsive records or portions thereof
part); or containing the commercial informa-
(3) The submitter has received notice tion to the submitter;
of a previous FOIA request which en- (3) A description of the procedures for
compassed information requested in objecting to the release of the possibly
the later request, and the Agency in- confidential information under
tends to withhold and/or release infor- 1206.602;
mation in the same manner as in the (4) A time limit for responding to the
previous FOIA request. Agency that shall not exceed 10 work-
(d) An additional limited exception ing days from the date of the letter
to the notice requirements of 1206.601, sent to the submitter by the FOIA Of-
to be used only when all of the fol- fice or publication of the notice (as set
lowing exceptional circumstances are forth in 1206.603(b)) to object to the re-
found to be present, authorizes the lease and to explain the basis for the
Agency to withhold information that is objection;
the subject of a FOIA request, based on (5) Notice that the information con-
Exemption 4 (5 U.S.C. 552(b)(4)), with- tained in the submitters objections
out providing the submitter individual may itself be subject to disclosure
notice when: under the FOIA;
(1) The Agency would be required to (6) Notice that the Agency, not the
provide notice to over ten (10) submit- submitter, is responsible for deciding
ters, in which case, notification may be whether the information shall be re-
accomplished by posting or publishing leased or withheld;
the notice in a place reasonably cal- (7) Notice that failing to respond
culated to accomplish notification. within the timeframe specified under
1206.601(b)(4) will create a presump-
(2) Absent any response to the pub-
tion that the submitter has no objec-
lished notice, the Agency determines
tion to the disclosure of the informa-
that if it provided notice as is other-
tion in question.
wise required by 1206.601, it is reason-
(c) Whenever the Agency provides no-
able to assume that the submitter
tice pursuant to this section, the Agen-
would object to disclosure of the infor-
cy shall advise the requester that no-
mation based on Exemption 4; and,
tice and opportunity to comment are
(3) If the submitter expressed the an-
being provided to the submitter.
ticipated objections, the Agency would
uphold those objections. 1206.602 Opportunity to object to dis-
(e) The exception shall be used only closure.
with the approval of the Chief Counsel (a) If a submitter has any objections
of the Center, the Counsel to the In- to the disclosure of commercial infor-
spector General, or the Associate Gen- mation, the submitter must provide a
eral Counsel responsible for providing detailed written statement to the FOIA
advice on the request. This exception office that specifies all factual and/or
shall not be used for a class of docu- legal grounds for withholding the par-
ments or requests, but only as war- ticular information under any FOIA
ranted by an individual FOIA request. exemptions.
(b) The submitter must include a
1206.601 Notice to submitters.
daytime telephone number, an email
(a) Except as provided in 1206.603(b) and mailing address, and a fax number
and 1206.603(c), the Agency shall pro- if available on a response to the FOIA
vide a submitter with prompt written office.
notice of a FOIA request that seeks its (c) A submitter who does not respond
commercial information whenever re- within the time period specified under
quired under 1206.600(a). this subpart will be considered to have

(b) A notice to a submitter must in- no objection to disclosure of the infor-
clude: mation.
63
1206.603 14 CFR Ch. V (1116 Edition)
(d) Responses received by the FOIA (b) The appeal must:

office after the time period specified in (1) Be in writing;
1206.601(b)(4) will not be considered by (2) Be addressed to the Adminis-
the FOIA office. An extension of time trator, NASA Headquarters, Executive
to respond may be granted provided the Secretariat, Washington, DC 20546, or,
submitter provides an explanation jus- for records as specified in 1206.805, to
tifying additional time within the time the Inspector General, NASA Head-
period specified in 1206.601(b)(4). quarters, Washington, DC 20546;
1206.603 Notice of intent to disclose. (3) Be identified clearly on the enve-
lope and in the letter as an Appeal
(a) The Agency shall carefully con- under the Freedom of Information
sider any objections of the submitter in Act;
the course of determining whether to (4) Include a copy of the initial re-
disclose commercial information. The quest for the Agency record and a copy
Agency, not the submitter, is respon- of the adverse initial determination
sible for deciding whether the informa- along with any other correspondence
tion will be released or withheld. with the FOIA office;
(b) Whenever the Agency decides to
(5) To the extent possible, state the
disclose commercial information over
reasons the adverse initial determina-
the objection of a submitter, the Agen-
tion should be reversed; and
cy shall forward to the submitter a
written statement which shall include (6) Be sent to the Administrator or
the following: the Inspector General, as appropriate,
(1) A brief explanation as to why the within 30 days of the date of the initial
Agency did not agree with any objec- determination.
tions; (c) An official authorized to make a
(2) A description of the commercial final determination may waive any of
information to be disclosed, sufficient the requirements of paragraph (b) of
to identify information to the sub- this section, in which case the time
mitter; and limit for the final determination (see
(3) A date after which disclosure is 1206.701(a)) shall run from the date of
expected, which shall be no less than 10 such waiver.
working days from the date of the let-
ter providing notification to the sub- 1206.701 Actions on appeals.
mitter by the FOIA Office ( 1206.601). (a) Except as provided in 1206.403,
(c) The FOIA office will provide noti- the Administrator or designee, or in
fication regarding a FOIA lawsuit: the case of records as specified in
(1) To a submitter, when a requester 1206.805, the Inspector General or des-
brings suit seeking to compel disclo- ignee, shall make a final determination
sure of commercial information; or on an appeal and notify the appellant
(2) To a requester, when a submitter thereof, within 20 working days after
brings suit against the Agency in order the receipt of the appeal by the Admin-
to prevent disclosure of commercial in- istrators Office.
formation. (b) In unusual circumstances as de-
fined in 1206.403, the time limit for a
Subpart GAppeals final determination may be extended,
but not to exceed a total of 10 working
1206.700 How to submit an appeal. days in the aggregate in the processing
(a) A member of the public who has of any specific appeal for an Agency
requested an Agency record in accord- record. The extension must be taken
ance with subpart C of this part, and before the expiration of the 20 working
who has received an initial determina- day time limit. The appellant will be
tion which does not comply fully with notified in writing in accordance with
the request, may appeal such an ad- 1206.403.
verse initial determination to the Ad- (c) If processing time will exceed or
ministrator, or, for records as specified is expected to exceed 30 working days,
in 1206.805, to the Inspector General the appellant will be notified of the

within 30 days from the date of the ini- delay in processing and the reason for
tial determination letter. the delay.
64
(d) If the final determination re- authority for administering the FOIA
verses in whole or in part the initial and all related laws and regulations
determination, the record requested (or within the Agency. The Associate Ad-
portions thereof) shall be made avail- ministrator has delegated the day-to-
able promptly to the requester, as pro- day oversight of the Agency FOIA Pro-
vided in the final determination. gram to the Deputy Associate Adminis-
(e) If a reversal in whole or in part of trator for Communications.
the initial determination requires addi- (b) The Deputy Associate Adminis-
tional document search or production, trator for Communications has dele-
associated fees will be applicable in ac- gated the overall responsibility for de-
cordance with fee guidance in this reg- veloping and administering the FOIA
ulation. program within NASA to the Principal
(f) If the final determination sustains Agency FOIA Officer, located in the Of-
in whole or in part an adverse initial fice of Communications. This includes:
determination, the notification of the (1) Developing regulations, guide-
final determination shall: lines, procedures, and standards for the
(1) Explain the basis on which the Agencys FOIA program;
record (or portions thereof) will not be
(2) Overseeing all FOIA offices and
made available;
programs and ensuring they are in
(2) Include the name and title of the
compliance with FOIA laws and regula-
person making the final determination;
tions;
(3) Include a statement that the final
determination is subject to judicial re- (3) Ensuring implementation of the
view under 5 U.S.C. 552(a)(4); FOIA Programs throughout the Agency
(4) Provide a statement regarding the and keeping the Chief FOIA Officer and
mediation services of the Office of Gov- the Deputy Associate Administrator
ernment Information Services (OGIS) for Communications informed of the
as a non-exclusive alternative to litiga- Agencys FOIA performance;
tion; and (4) Providing program oversight,
(5) Enclose a copy of 5 U.S.C. technical assistance, and training to
552(a)(4). employees to ensure compliance with
(g) Before seeking a review by a court the Act;
of a FOIA offices adverse initial deter- (5) Preparing the Agencys FOIA An-
mination, a requester must generally nual Report to the Department of Jus-
submit a timely administrative appeal tice (DOJ) and Congress, as well as the
in accordance with this part. Chief FOIA Officers Report;
(6) Preparing all other reports as re-
1206.702 Litigation. quired to DOJ/Congress or within the
In any instance in which a requester Agency;
brings suit concerning a request for an (7) Developing, conducting, and re-
Agency record under this part, the viewing all internal Agency FOIA
matter shall promptly be referred to training for NASA FOIA staff;
the General Counsel with a report on (8) Directly supervising the Head-
the details and status of the request. quarters FOIA Office.
(c) The Chief FOIA Officer is respon-
Subpart HResponsibilities sible for ensuring NASA has appointed
a FOIA Public Liaison, who is respon-
1206.800 Delegation of authority. sible for assisting in reducing delays,
Authority necessary to carry out the increasing transparency and under-
responsibilities specified in this sub- standing of the status of requests, and
part is delegated from the Adminis- assisting in the resolution of disputes
trator to the officials named in this at each Center or Component.
subpart.
1206.802 General Counsel.
1206.801 Chief FOIA Officer. The General Counsel is responsible
(a) The Associate Administrator, Of- for the interpretation of 5 U.S.C. 552
fice of Communications, is designated and of this part, as well as providing

as the Chief FOIA Officer for the Agen- legal guidance with regard to disclo-
cy. The Chief FOIA Officer is delegated sure of Agency records. The General
65
1206.803 14 CFR Ch. V (1116 Edition)
Counsel is also responsible for the han- in the Office of the Inspector General
dling of appeals and litigation in con- records from outside the Government
nection with a request for an Agency related to an audit, inspection or inves-
record under this part. tigation, records prepared in response
to a request from or addressed to the
1206.803 NASA Headquarters. Office of the Inspector General, or
Except as otherwise provided under other records originating within the
this subpart, the Deputy Associate Ad- Office of the Inspector General, after
ministrator for Communications is re- consultation with the General Counsel
sponsible for the following: or designee on an appeal of an initial
(a) Delegating the authority for di- determination to the Inspector Gen-
rect oversight of the Headquarters eral.
FOIA Office to the Principal Agency (b) The Assistant Inspectors General
FOIA Officer. or their designees are responsible for
(b) When denying records in whole or making initial determinations under
in part, ensuring the Headquarters subpart C concerning Office of Inspec-
FOIA Office consults with the General tor General records originating in the
Counsel charged with providing legal Office of the Inspector General, records
advice to Headquarters before releasing from outside the Government related
an initial determination under to Office of Inspector General records
1206.307. prepared in response to a request from
or addressed to the Office of the Inspec-
1206.804 NASA Centers and Compo- tor General, or other records origi-
nents. nating with the Office of the Inspector
Except as otherwise provided in this General, after consultation with the
subpart, in coordination with the Dep- Counsel to the Inspector General or
uty Associate Administrator for Com- designee.
munications, the Director of each (c) The Inspector General or designee
NASA Center or the Official-in-Charge is responsible for ensuring that re-
of each Center, is responsible for ensur- quests for Agency records as specified
ing the following: in paragraphs (a) and (b) of this section
(a) The Director of Public Affairs or are processed and initial determina-
the Head of the Public Affairs Office at tions are made within the time limits
the Center has delegated authority to specified in subpart D of this part.
process all FOIA requests at their re- (d) The Inspector General or designee
spective Center. is responsible for determining whether
(b) This delegated authority has fur- unusual circumstances exist under
ther been delegated to the FOIA Officer 1206.403 that would justify extending
at their Center or in the absence of a the time limit for an initial or final de-
FOIA Officer, the FOIA Specialist, both termination, for records as specified in
of whom must report to and be super- paragraphs (a) and (b) of this section.
vised by their Director of Public Af- (e) Records as specified in paragraphs
fairs or the Head of the Public Affairs (a) and (b) of this section include any
Office. records located at Regional and field
(c) When denying records in whole or Inspector General Offices, as well as
in part, the FOIA Officer at the Center records located at the Headquarters Of-
will consult with the Chief Counsel or fice of the Inspector General.
the Counsel charged with providing
legal advice to that FOIA office before Subpart ILocation for Inspection
releasing an initial determination and Request of Agency Records
under 1206.307.
1206.900 FOIA offices and electronic
1206.805 Inspector General. libraries.
(a) The Inspector General or designee (a) NASA Headquarters and each
is responsible for making final deter- NASA Center have a FOIA Electronic
minations under 1206.701, within the Library on the Internet. The Elec-
time limits specified in subpart G of tronic library addresses are located on

this part, concerning audit, inspection the NASA FOIA homepage http://
and investigative records originating www.hq.nasa.gov/office/pao/FOIA/agency/
66
(b) In addition, a requester may sub- ity in any particular matter in which,
mit a FOIA request electronically. The to their knowledge, they, or any person
addresses are located on the NASA whose interests are imputed to them
FOIA homepage under each Center under the statute, have a financial in-
link. terest, if the particular matter will
have a direct and predictable effect on
PART 1207STANDARDS OF that interest.
CONDUCT (b) Specific waiver available. A NASA
employee may request a waiver of this
Subpart AGeneral Provisions prohibition. NASA may grant a specific
waiver of the prohibition only if the
Sec. Agency determines that the employees
1207.101 Cross-references to ethical conduct, financial interest is not so substantial
financial disclosure, and other applicable as to be deemed likely to affect the in-
regulations.
1207.102 Waiver of prohibition in 18 U.S.C.
tegrity of the employees services. The
208. waiver must be obtained before the em-
1207.103 Designations of responsible offi- ployee participates in the matter.
cials. (c) Officials authorized to make waiver
determinations. (1) For the employees
Subpart BPost-Employment Regulations listed below, waivers must be approved
1207.201 Scope of subpart. by the Administrator or Deputy Ad-
1207.202 Exemption for scientific and tech- ministrator. No further delegation is
nological communications. authorized.
(i) Employees who are required by 5
AUTHORITY: 5 U.S.C. 7301; 18 U.S.C. 207208;
42 U.S.C. 2473(c)(1); 5 CFR 2635.102(b); 5 CFR CFR 2634.202 to file Public Financial
part 2637; 5 CFR part 2640. Disclosure Reports;
(ii) Employees who are appointed
SOURCE: 52 FR 22755, June 16, 1987, unless
under authority of section 203(c)(2)
otherwise noted.
(NASA Excepted Positions) or sec-
tion 203(c)(10) (Alien Scientists) of
Subpart AGeneral Provisions the National Aeronautics and Space
Act of 1958, as amended (42 U.S.C.
1207.101 Cross-references to ethical
conduct, financial disclosure, and 2473(c)(2) and 2473(c)(10));
other applicable regulations. (iii) Astronauts and astronaut can-
didates;
Employees of the National Aero- (iv) Chief Counsel; and
nautics and Space Administration (v) Procurement Officers.
(NASA) should refer to the executive (2) For all other Headquarters em-
branch-wide Standards of Ethnical ployees, the Associate Administrator
Conduct at 5 CFR part 2635, the NASA for Headquarters Operations may ap-
regulation at 5 CFR part 6901 which prove waivers of 18 U.S.C. 208. This au-
supplements the executive branch-wide thority may not be redelegated.
standards with respect to prohibitions (3) For all other Center employees,
and prior approval requirements appli- the Center Director or Deputy Center
cable to certain outside employment Director may approve waivers of 18
activities, the Office of Personnel Man- U.S.C. 208. This authority may not be
agement provisions on employee re- redelegated.
sponsibilities and conduct at 5 CFR (d) Procedures for specific waiver. The
part 735, and the executive branch-wide employees request for a waiver must
financial disclosure regulation at 5 be in writing. The request must de-
CFR part 2634. scribe the particular matter involved,
[59 FR 49338, Sept. 28, 1994] the relevant duties of the employee,
and the exact nature and amount of
1207.102 Waiver of prohibition in 18 the disqualifying financial interest.
U.S.C. 208. (1) Headquarters employees. (i) Those
(a) Prohibition. Employees are prohib- Headquarters employees described in
ited by criminal statute, 18 U.S.C. paragraph (c)(1) of this section must

208(a), from participating personally submit their requests to the Official-
and substantially in an official capac- in-Charge of the Headquarters office in
67
1207.103 14 CFR Ch. V (1116 Edition)
which they are employed and to the (3) The Senior Ethics Attorney as-
General Counsel for concurrence. The signed to the Associate General Coun-
Official-in-Charge will then submit the sel (General); and
request to the Administrator with rec- (4) The Chief Counsel at each NASA
ommendations on the proposed waiver. Center and Component Facility.
(ii) Other Headquarters employees (d) Agency Designee. As used in 5 CFR
must submit their requests to the As- part 2635, the term Agency Designee
sociate General Counsel (General) for refers to the following:
concurrence, and to the Associate Ad- (1) For employees at NASA Head-
ministrator for Headquarters Oper- quarters, or for matters affecting em-
ations for approval. ployees Agencywide, the Associate
(2) Center employees. (i) Those Center Deputy Administrator, the Designated
employees described in paragraph (c)(1) Agency Ethics Official, the Alternate
of this section must submit their re- Designated Agency Ethics Official, or
quests to the Center Chief Counsel for the Chief of Staff; and
concurrence and then to the Director (2) For Center employees, the Center
of the Center where they are employed. Director, who may delegate specific re-
The Center Director will provide the sponsibilities of the Agency Designee
request, with recommendations, to the to the Center Chief Counsel or to an-
appropriate Enterprise Associate Ad- other official who reports directly to
ministrator and to the General Counsel the Center Director.
for review and submission to the Ad- (e) Cross-references. For regulations
ministrator. on the appointment, responsibilities,
(ii) Other Center employees must and authority of the Designated Agen-
cy Ethics Official, Alternate Des-
submit their requests to the Center
ignated Agency Ethics Official, and
Chief Counsel for concurrence, and
Deputy Ethics Officials, see 5 CFR part
then to their Center Director or Dep-
2638. For the responsibilities of the
uty Center Director for approval.
Agency Designee, see 5 CFR part 2635.
(3) Copies of approved waivers must
be forwarded to the Associate Adminis- [66 FR 59138, Nov. 27, 2001]
trator for Human Resources and Edu-
cation, the General Counsel, and the Subpart BPost-Employment
Office of Government Ethics. Regulations
(e) Cross-references. For regulations
concerning general waiver guidance SOURCE: 54 FR 4003, Jan. 27, 1989; 55 FR
and exemptions under 18 U.S.C. 208, see 9250, Mar. 12, 1990, unless otherwise noted.
5 CFR part 2640. Redesignated at 59 FR 49338, Sept. 28, 1994.
[66 FR 59137, Nov. 27, 2001] 1207.201 Scope of subpart.
1207.103 Designations of responsible This subpart provides guidance to
officials. former NASA government employees
who are subject to the restrictions of
(a) Designated Agency Ethics Official.
Title V of the Ethics of Government
The General Counsel of NASA is the
Act of 1978, as amended, and who want
Designated Agency Ethics Official and
to communicate scientific or technical
is delegated the authority to coordi- information to NASA.
nate and manage NASAs ethics pro-
gram as set forth in 5 CFR 2638.203. 1207.202 Exemption for scientific and
(b) Alternate Designated Agency Ethics technological communications.
Official. The Associate General Counsel (a) Whenever a former government
(General) is the Alternate Designated employee who is subject to the con-
Agency Ethics Official. straints of post-employment conflict of
(c) Deputy Ethics Officials. The fol- interest, 18 U.S.C. 207, wishes to com-
lowing officials are designated as Dep- municate with NASA under the exemp-
uty Ethics Officials: tion in section 207(j)(5) for the making
(1) The Deputy General Counsel; of a communication solely for the pur-
(2) The Associate General Counsel pose of furnishing scientific or techno-
(General); logical information, he or she shall
68
state to the NASA employee con- Subpart 3Contract Adjustment Board

tracted, the following information:
Sec.
(1) That he or she is a former govern- 1209.300 Scope.
ment employee subject to the post em- 1209.301 Authority.
ployment restrictions of 18 U.S.C. 207 1209.302 Establishment of Board.
(a), (c), or (d)specify which; 1209.303 Functions of Board.
1209.304 Membership.
(2) That he or she worked on certain
1209.305 Legal advice and assistance.
NASA programsenumerate which;
and Subpart 4Inventions and Contributions
(3) That the communication is solely Board
for the purpose of furnishing scientific
1209.400 Scope.
or technological information.
(b) If the former government em- 1209.402 Responsibilities.
ployee has questions as to whether the 1209.403 Organizational location.
communication comes within the sci- 1209.404 Membership.
entific and technological exemption, he 1209.405 Supporting services.
or she should contact the General
Counsel, the designated agency ethics Subparts 12 [Reserved]
official.
[54 FR 4003, Jan. 27, 1989; 55 FR 9250, Mar. 12,
Subpart 3Contract Adjustment
1990. Redesignated and amended at 59 FR Board
49338, Sept. 28, 1994]
AUTHORITY: Pub. L. 85804 and 51 U.S.C.
20113.
PART 1208UNIFORM RELOCA-
TION ASSISTANCE AND REAL SOURCE: 51 FR 28924, Aug. 13, 1986, unless
otherwise noted.
PROPERTY ACQUISITION FOR
FEDERAL AND FEDERALLY AS- 1209.300 Scope.
SISTED PROGRAMS This subpart continues in effect the
Contract Adjustment Board (herein-
AUTHORITY: Sec. 213, Uniform Relocation after referred to as the Board) to
Assistance and Real Property Acquisition consider and dispose of requests for ex-
Policies Act of 1970, Pub. L. 91646, 84 Stat. traordinary contractual adjustments
1894 (42 U.S.C. 4601) as amended by the Sur- by contractors of the National Aero-
face Transportation and Uniform Relocation nautics and Space Administration
Assistance Act of 1987, Title IV of Pub. L. (hereinafter referred to as NASA).
10017, 101 Stat. 246256 (42 U.S.C. 4601 note).
1209.301 Authority.
1208.1 Uniform Relocation Assistance
and Real Property Acquisition. (a) The Act of August 28, 1958 (50
U.S.C. 143135) (hereinafter referred to
Regulations and procedures for com- as the Act), empowers the President
plying with the Uniform Relocation to authorize departments and agencies
Assistance and Real Property Acquisi- exercising functions in connection with
tion Policies Act of 1970 (Pub. L. 91646, the national defense to enter into con-
84 Stat. 1894, 42 U.S.C. 4601), as amend- tracts or into amendments or modifica-
ed by the Surface Transportation and tions of contracts and to make advance
Uniform Relocation Assistance Act of payments, without regard to other pro-
1987 (Title IV of Pub. L. 10017, 101 Stat. visions of law relating to the making,
246255, 42 U.S.C. 4601 note) are set performance, amendment, or modifica-
forth in 24 CFR part 24. tion of contracts, whenever the Presi-
dent deems that such action would fa-
[52 FR 48017, Dec. 17, 1987; 54 FR 8912, Mar. 2,
1989]
cilitate the national defense.
(b) Executive Order No. 10789, dated
November 14, 1958 (23 FR 8897), author-
PART 1209BOARDS AND izes the Administrator, NASA, to exer-
COMMITTEES
cise the authority conferred by the Act

and to prescribe regulations for the
Subparts 12 [Reserved] carrying out of such authority.
69
1209.302 14 CFR Ch. V (1116 Edition)
(c) Federal Acquisition Regulation SOURCE: 51 FR 3945, Jan. 31, 1986, unless
(FAR), part 50, April 1, 1985, and NASA/ otherwise noted.
FAR Supplement 842, part 1850, Octo-
ber 19, 1984, establishes standards and 1209.400 Scope.
procedures for the disposition of re- This subpart describes the functions,
quests for extraordinary contractual authority, and membership of the
adjustments by NASA contractors. NASA Inventions and Contributions
Board (hereafter referred to as the
1209.302 Establishment of Board.
Board).
The Board was established on May 15,
1961, and is continued in effect by this 1209.401 Establishment.
regulation.
Pursuant to the authority of the Na-
[51 FR 28924, Aug. 13, 1986, as amended at 78 tional Aeronautics and Space Act of
FR 20423, Apr. 5, 2013] 1958 as amended (42 U.S.C. 2457(f) and
1209.303 Functions of Board. 2458) and the Government Employees
Incentive Awards Act of 1954 (5 U.S.C.
(a) The Board is authorized to act for 45016), the Board was established on
and exercise the authority of the Ad-
December 4, 1958, and is further contin-
ministrator in cases involving request
ued in effect by this subpart 4.
by NASA contractors for extraordinary
contractual adjustments under the 1209.402 Responsibilities.
Act. Such authority will be exercised
in accordance with the standards and (a) Waiver of rights in inventions.
procedures established by the Adminis- Under the authority of 51 U.S.C.
trator, subject to such limitations as 20135(g) and pursuant to 14 CFR part
the Administrator may prescribe. 1245 subpart 1, the Board will receive
(b) The Board shall have the power to and evaluate petitions for waiver of
approve, authorize or direct any ac- rights of the United States to inven-
tion, including the modification or re- tions, accord each interested party an
lease of any obligations, and to make opportunity for a hearing, and trans-
determinations and findings which are mit to the Administrator its findings
necessary or appropriate for the con- of fact as to such petitions and its rec-
duct of its functions, and may adopt ommendations for action to be taken
such rules of procedure as it considers with respect thereto.
desirable. (b) Monetary awards for scientific and
(c) The concurring vote of a majority
technical contributions. (1) Under the au-
of the total Board membership shall
thority of 51 U.S.C. 20136 and pursuant
constitute an action of the Board. De-
to 14 CFR part 1240, the Board will re-
cisions of the Board shall be final but
the Board may reconsider and modify, ceive and evaluate each application for
correct or reverse any Board decision award for any scientific or technical
previously made. contribution to the Administration
which is determined to have significant
1209.304 Membership. value in the conduct of aeronautical
The Board will consist of a chair- and space activities, will accord each
person and four other members, all of applicant an opportunity for a hearing
whom shall be appointed by the Admin- upon such application, and will then
istrator. transmit to the Administrator its rec-
ommendation as to the amount of the
1209.305 Legal advice and assistance. monetary award and the terms of the
The General Counsel of NASA shall award, if any, to be made for such con-
provide the Board with all necessary tribution.
advice and assistance. (2) If the contribution is made by a
Government employee, the Board is
Subpart 4Inventions and also authorized to consider such con-
Contributions Board tribution for award under the Incentive
Awards Program and to make an

AUTHORITY: 51 U.S.C. 20135(g) and 20136. award, if any, on its own cognizance,
70
up to the amount of $10,000, in accord- 1209.405 Supporting services.

ance with NASA supplements to Chap-
(a) The staff of the Board is estab-
ter 451 of the Federal Personnel Man-
lished to assist the Board in dis-
ual covering this subject.
charging its functions and responsibil-
[76 FR 44462, July 26, 2011] ities. The staff will:
(1) Prepare analyses of petitions for
1209.403 Organizational location. waiver of rights to inventions for the
The Board shall be established within consideration of the Board;
an office or department of NASA as (2) Prepare evaluation of proposed
designated by the Administrator. awards;
(3) Document Board actions; and
[76 FR 44462, July 26, 2011]
(4) Perform such other functions as
1209.404 Membership. may be required.
(b) A full-time director of the staff
(a) The Board will consist of a full-
will serve as a nonvoting member of
time Chairperson and at least six mem-
the Board, and will direct the activities
bers appointed by the Administrator
of the staff of the Board.
from within NASA. One of the mem-
(c) The director of the staff of the
bers will be designated by the Chair-
Board will report to the Chairperson of
person as Vice-Chairperson. The Chair-
the Board.
person is responsible directly to the
Administrator.
(b) The Chairperson of the Board is PARTS 12101211 [RESERVED]
appointed for an unlimited period. All
other Board members normally will be PART 1212PRIVACY ACTNASA
appointed initially for a period of 3 REGULATIONS
years. The Chairperson is authorized to
extend the initial appointment of any Subpart 1212.1Basic Policy
Board member for an additional period
Sec.
of service. If a member resigns or is
1212.100 Scope and purpose.
otherwise unable to participate in the 1212.101 Definitions.
Boards activities, a replacement may
be appointed for the remainder of the Subpart 1212.2Requests for Access to
uncompleted term and, with the ap- Records
proval of the Chairperson, may be ap-
pointed for a full 3-year term upon the 1212.200 Procedures for requesting records
expiration of the original term. This subject to the Privacy Act.
1212.201 Requesting a record.
procedure will provide the Board with a
1212.202 Identification procedures.
continual infusion of new members
1212.203 Disclosures.
with a variety of professional back- 1212.204 Fees.
grounds and interests. Duties per- 1212.205 Exceptions to individuals rights of
formed by the members of the Board access.
will be in addition to their regular du-
ties. Subpart 1212.3Amendments to Privacy
(c) The Chairperson is authorized to: Act Records
(1) Assemble the Board as required to
1212.300 Requesting amendment.
discharge the duties and responsibil- 1212.301 Processing the request to amend.
ities of the Board; 1212.302 Granting the request to amend.
(2) Establish such panels as may be
considered necessary to discharge the Subpart 1212.4Appeals and Related
responsibilities and perform the func- Matters
tions of the Board; and
1212.400 Appeals.
(3) Issue implementing rules and pro-
1212.401 Filing statements of dispute.
cedures, and take such other actions as 1212.402 Disclosure to third parties of dis-
are necessary to perform the Boards puted records.
functions.
71
1212.100 14 CFR Ch. V (1116 Edition)
Subpart 1212.5Exemptions to Individuals Installations, as defined in part 1201 of

Rights of Access this chapter.
1212.500 Exemptions under 5 U.S.C. 552a (j) [57 FR 4928, Feb. 11, 1992, as amended at 77
and (k). FR 60621, Oct. 4, 2012]
1212.501 Record systems determined to be
exempt. 1212.101 Definitions.
Subpart 1212.6Instructions for NASA For the purposes of this part, the fol-
Employees lowing definitions shall apply in addi-
tion to definitions contained in the
1212.600 General policy. Privacy Act of 1974, as amended (5
1212.601 Maintenance and publication re- U.S.C. 552a):
quirements for systems of records.
1212.602 Requirements for collecting infor-
(a) The term individual means a liv-
mation. ing person who is either a citizen of the
1212.603 Mailing lists. United States or an alien lawfully ad-
1212.604 Social security numbers. mitted for permanent residence.
1212.605 Safeguarding information in sys- (b) The term maintain includes main-
tems of records. tain, collect, use or disseminate.
1212.606 Duplicate copies of records or por-
(c) The term record means any item,
tions of records.
collection, or grouping of information
Subpart 1212.7NASA Authority and about an individual including, but not
Responsibilities limited to, education, financial trans-
actions, medical history, and criminal
1212.700 NASA employees. or employment history, and that con-
1212.701 Associate Deputy Administrator.
tains a name, or the identifying num-
1212.702 The Inspector General.
1212.703 NASA Chief Information Officer. ber, symbol, or other identifying par-
1212.704 Headquarters and Field Centers or ticular assigned to the individual, such
Component Facilities. as a finger or voice print or a photo-
1212.705 System manager. graph.
1212.706 Assistant Administrator for Pro- (d) The term system of records means
curement. a group of any records from which in-
formation is retrieved by the name of
Subpart 1212.8Failure To Comply With the individual or by some identifying
Requirements of This Part number, symbol or other identifying
particular assigned to the individual.
1212.800 Civil remedies. (e) The term system manager means
1212.801 Criminal penalties. the NASA official who is responsible
AUTHORITY: The National Aeronautics and for a system of records as designated in
Space Act, as amended, 51 U.S.C. 20101 et seq.; the system notice of that system of
the Privacy Act of 1974, as amended, 88 Stat. records published in the FEDERAL REG-
1896, 5 U.S.C. 552a.
ISTER. When a system of records in-
SOURCE: 57 FR 4928, Feb. 11, 1992, unless cludes portions located at more than
otherwise noted. one NASA Center, the term system man-
ager includes any subsystem manager
Subpart 1212.1Basic Policy designated in the system notice as
being responsible for that portion of
1212.100 Scope and purpose. the system of records located at the re-
This part 1212 implements the Pri- spective Center.
vacy Act of 1974, as amended (5 U.S.C. (f) The term systems notice means,
552a). It establishes procedures for indi- with respect to a system of records the
viduals to access their Privacy Act publication of information in the FED-
records and to request amendment of ERAL REGISTER upon establishment or
information in records concerning revision of the existence and character
them. It also provides procedures for of the system of records. The notice
administrative appeals and other rem- shall include that information as re-
edies. This part applies to systems of quired by 5 U.S.C. 552a(e)(4).
records located at or under the cog- (g) The term routine use means, with
nizance of NASA Headquarters, NASA respect to the disclosure of a record,
Field Centers, and NASA Component the use of the record for a purpose
72
which is compatible with the purpose on the letter as a Request Under the
for which it was collected. Privacy Act.
(h) The term NASA employee or NASA (2) Where possible, requests should
official, particularly for the purpose of contain the following information to
1212.203(g) relates to the disclosure of ensure timely processing:
a record to those who have a need for (i) Name and address of subject.
the record in the performance of their (ii) Identity of the system of records.
official duties, includes employees of a (iii) Nature of the request.
NASA contractor which operates or (iv) Identifying information specified
maintains a NASA system of records in the applicable system notice to as-
for or on behalf of NASA. sist in identifying the request, such as
location of the record, if known, full
FR 60621, Oct. 4, 2012] name, birth date, time periods in which
the records are believed to have been
compiled, etc.
Subpart 1212.2Requests for (d) NASA has no obligation to com-
Access to Records ply with a nonspecific request for ac-
1212.200 Procedures for requesting cess to information concerning an indi-
records subject to the Privacy Act. vidual, e.g., a request to provide copies
of all information contained in your
The procedures outlined in this sub- files concerning me, although a good
part 1212.2 apply to the following types faith effort will be made to locate
of requests made by individuals under records if there is reason to believe
the Privacy Act concerning records NASA has records on the individual. If
about themselves: the request is so incomplete or incom-
(a) To determine if information on prehensible that the requested record
the requester is included in a system of cannot be identified, additional infor-
records; mation or clarification will be re-
(b) For access to a record under 5 quested in the acknowledgement, and
U.S.C. 552a(d)(1); and assistance to the individual will be of-
(c) For an accounting of disclosures fered as appropriate.
of the individuals Privacy Act records (e) If the Center Privacy Manager re-
under 5 U.S.C. 552a(c)(3). ceives a request for access, the Privacy
[57 FR 4928, Feb. 11, 1992, as amended at 77 Manager will record the date of receipt
FR 60621, Oct. 4, 2012] and immediately forward the request
to the responsible system manager for
1212.201 Requesting a record. handling.
(a) Individuals may request access to (f) If the Center FOIA Office receives
their Privacy Act records, either in a first party request for records or ac-
person or in writing. cess, the FOIA Office will process the
(b) Individuals may also authorize a request under the Privacy Act pursu-
third party to have access to their Pri- ant to this part.
vacy Act records. This authorization (g) Normally, the system manager
shall be in writing, signed by the indi- shall respond to a request for access
vidual and contain the individuals ad- within 10 work days of receipt of the
dress as well as the name and address request and the access shall be pro-
of the representative being authorized vided within 30 work days of receipt.
access. The identities of both the sub- (1) In response to a request for ac-
ject individual and the representative cess, the system manager shall:
must be verified in accordance with the (i) Notify the requester that there is
procedures set forth in 1212.202 of this no record on the individual in the sys-
part. tem of records and inform the re-
(c)(1) Requests must be directed to quester of the procedures to follow for
the appropriate system manager, or, if appeal (See 1212.4);
unknown, to the Center Privacy Man- (ii) Notify the requester that the
ager or Freedom of Information Act record is exempt from disclosure, cite
(FOIA) Office at NASA Headquarters or the appropriate exemption, and inform

Field Center. The request should be the requester of the procedures to fol-
identified clearly on the envelope and low for appeal (See 1212.4);
73
1212.202 14 CFR Ch. V (1116 Edition)
(iii) Upon request, promptly provide records disclosed pursuant to computer

copies of the record, subject to the fee matching programs.
requirements ( 1212.204); or (b) Disclosure accountings are not re-
(iv) Make the individuals record quired but are recommended for disclo-
available for personal inspection in the sures made:
presence of a NASA representative. (1) With the subject individuals con-
(2) Unless the system manager agrees sent; or
to another location, personal inspec- (2) In accordance with 1212.203(f) (1)
tion of the record shall be at the loca- and (2), below.
tion of the record as identified in the (c) The disclosure accounting re-
system notice. quired by paragraph (a) of this section
(3) When an individual requests shall include:
records in a system of records main- (1) The date, nature, and purpose of
tained on a third party, the request the disclosure; and
shall be processed as a Freedom of In- (2) The name and address of the re-
formation Act (FOIA) request under 14 cipient person or Agency.
CFR part 1206. If the records requested (d) The disclosure accounting shall be
are subject to release under FOIA (5 retained for at least 5 years after the
U.S.C. 552(b)), then a Privacy Act ex- disclosure or for the life of the record,
emption may not be invoked to deny whichever is longer.
access. (e) The disclosure accounting main-
(4) When an individual requests tained under the requirements of this
records in a system of records main- section is not itself a system of
tained on the individual, the request records.
shall be processed under this part. (f) Records in a NASA system of
NASA will not rely on exemptions con- records may not be disclosed to third
tained in FOIA to withhold any record parties without the consent of the sub-
which is otherwise accessible to the in- ject individual. However, in con-
dividual under this part. sonance with 5 U.S.C. 552a(b), disclo-
[57 FR 4928, Feb. 11, 1992, as amended at 77 sure may be authorized without con-
FR 60621, Oct. 4, 2012; 78 FR 8963, Feb. 7, 2013] sent, if disclosure would be:
(1) To an officer or employee of
1212.202 Identification procedures. NASA who has a need for the record in
(a) The system manager will release the performance of official duties;
records to the requester or representa- (2) Required under the Freedom of In-
tive in person only upon production of formation Act (5 U.S.C. 552) and part
satisfactory identification which in- 1206 of this chapter;
cludes the individuals name, signa- (3) For a routine use described in the
ture, and photograph or physical de- system notice for the system of
scription. records;
(b) The system manager will release (4) To the Bureau of the Census for
copies of records by mail only when the purposes of planning or carrying out a
circumstances indicate that the re- census or survey or related activity
quester and the subject of the record pursuant to the provisions of Title 13,
are the same. The system manager U.S. Code;
may require that the requesters signa- (5) To a recipient who has provided
ture be notarized or witnessed by two NASA with advance adequate written
individuals unrelated to the requester. assurance that the record will be used
(c) Identity procedures more strin- solely as a statistical research or re-
gent than those required in this section porting record, and the record is to be
may be prescribed in the system notice transferred in a form that is not indi-
when the records are medical or other- vidually identifiable;
wise sensitive. (6) To the National Archives and
Records Administration as a record
1212.203 Disclosures. which has sufficient historical or other
(a) The system manager shall keep a value to warrant its continued preser-
disclosure accounting for each disclo- vation by the United States Govern-
sure to a third party of a record from a ment or for evaluation by the Archivist
system of records. This includes of the United States or the Archivists
74
designee to determine whether the vided an estimate of the fees before

record has such value; copies are made. Where possible, the
(7) To another agency or to an instru- requester will be afforded the oppor-
mentality of any governmental juris- tunity to confer with Agency personnel
diction within or under the control of in a manner which will reduce the fees,
the United States for a civil or crimi- yet still meet the needs of the re-
nal law enforcement activity, if the ac- quester.
tivity is authorized by law and if the (d) Where the anticipated fee charge-
head of the agency or instrumentality able under this section exceeds $25, an
has made a written request to NASA advance deposit of part or all of the an-
specifying the particular portion de- ticipated fee may be required.
sired and the law enforcement activity
for which the record is sought; 1212.205 Exceptions to individuals
(8) To a person pursuant to a showing rights of access.
of compelling circumstances affecting (a) The NASA Administrator has de-
the health or safety of an individual if termined that the systems of records
upon such disclosure notification is set forth in 1212.501 are exempt from
transmitted to the last known address disclosure to the extent provided there-
of such individual; in.
(9) To either House of Congress or, to (b) Medical records. Normally, an indi-
the extent the matter is within its ju- viduals medical record shall be dis-
risdiction, any committee or sub- closed to the individual, unless the sys-
committee, or any joint committee of tem manages, in consultation with a
Congress or subcommittee of any such medical doctor, determines that access
joint committee; to the record could have an adverse ef-
(10) To the Comptroller General, or fect upon the individual. In this case,
any of the Comptrollers authorized NASA shall allow access to the record
representative(s), in the course of the by a medical doctor designated in writ-
performance of the duties of the Gen- ing by the requesting individual.
eral Accounting Office; (c) Test and qualification materials.
(11) Pursuant to the order of a court Testing or examination material used
of competent jurisdiction; or solely to determine individual quali-
(12) To a consumer reporting agency fications for appointment or promotion
in accordance with section 3711(f) of in the Federal service the disclosure of
Title 31. which would compromise the objec-
tivity or fairness of the testing or ex-
amination process and copies of certifi-
FR 60621, Oct. 4, 2012]
cates of eligibles and other lists of eli-
1212.204 Fees. gibles, the disclosure of which is pro-
scribed by 5 CFR 300.201, shall be re-
(a) Fees will not be charged for:
moved from an individuals record con-
(1) Search for a retrieval of the re-
taining such information before grant-
questing individuals records;
ing access.
(2) Review of the records;
(d) Information compiled for civil ac-
(3) Making a copy of a record when it
tions or proceedings. Nothing in this
is a necessary part of the process of
part shall allow an individual access to
making the record available for review;
any information compiled in reason-
(4) Transportation of the record(s);
able anticipation of a civil action or
(5) Making a copy of an amended
proceeding.
record to provide evidence of the
amendment; or
(6) Copies of records if this is deter- Subpart 1212.3Amendments to
mined to be in the best interest of the Privacy Act Records
Government.
(b) Fees for the duplication of records 1212.300 Requesting amendment.
will be assessed in accordance with Individuals may request that NASA
1206.700(a) of this chapter. amend their records maintained in a
(c) Where it appears that duplication NASA system of records under the pro-
fees chargeable under this section will visions of 5 U.S.C. 552a(d)(2). This re-
exceed $25, the requester shall be pro- quest shall be in writing, addressed to
75
1212.301 14 CFR Ch. V (1116 Edition)
the appropriate system manager, and Subpart 1212.4Appeals and

shall contain the following: Related Matters
(a) A notation on the envelope and on
the letter that it is a Request for 1212.400 Appeals.
Amendment of Individual Record under (a) Individuals may appeal when
the Privacy Act; they:
(b) The name of the system of (1) Have requested amendment of a
records; record and have received an adverse
(c) Any information necessary to re- initial determination;
trieve the record, as specified in the (2) Have been denied access to a
system notice for the system of records record; or,
(See 1212.201(c)(2)); (3) Have not been granted access
(d) A description of that information within 30 work days of their request.
in the record which is alleged to be in- (b) The Associate Deputy Adminis-
accurate, irrelevant, untimely, or in- trator or designee is responsible for
complete; and, making final determinations of appeals
as specified in paragraphs (a)(1)
(e) Any documentary evidence or ma-
through (3) of this section for all Agen-
terial available to support the request.
cy records, with the exception of those
[57 FR 4928, Feb. 11, 1992, as amended at 77 records originating in the Office of the
FR 60621, Oct. 4, 2012] Inspector General for which the Inspec-
tor General is responsible for making
1212.301 Processing the request to final determinations of appeals.
amend. (c) An appeal shall:
(a) Within 10 work days of receipt by (1) Be in writing and addressed to the
NASA of a request to amend a record, Associate Deputy Administrator,
the system manager shall provide the NASA, Washington, DC 20546 or to the
requester with a written determination Inspector General, NASA Head-
or acknowledgement advising when ac- quarters, Washington, DC 20546, for
tion may be taken. records as specified in paragraph (b) of
(b) When necessary, NASA may uti- this section;
lize up to 30 work days after receipt to (2) Be identified clearly on the enve-
provide the determination on a request lope and in the letter as an Appeal
to amend a record. under the Privacy Act;
(3) Include a copy of any pertinent
(c) If the request for amendment is
documents; and
denied, the determination shall explain (4) State the reasons for the appeal.
the reasons for the denial and inform (d) Appeals from adverse initial de-
the requester of the procedures to fol- terminations or denials of access must
low for appeal (See 1212.4)). be submitted within 30 work days of
the date of the requesters receipt of
1212.302 Granting the request to
amend. the initial determination. Appeals in-
volving failure to grant access may be
NASA shall make the requested submitted any time after the 30 work
amendment clearly on the record itself day period has expired (See
and all information deemed to be inac- 1212.201(f)).
curate, irrelevant, or untimely shall be (e) A final determination on an ap-
deleted and destroyed. Incomplete in- peal shall be made within 30 work days
formation shall either be amended or after its receipt by the Associate Dep-
deleted and destroyed. The individual uty Administrator or Inspector Gen-
shall then be informed in writing that eral for appeals concerning records
the amendment has been made. If the originating in the Office of the Inspec-
inaccurate, irrelevant, untimely, or in- tor General, unless, for good cause
complete portion of the record has pre- shown, the Associate Deputy Adminis-
viously been disclosed, then the system trator or Inspector General extends
manager shall notify those persons or such 30 work day period. Prior to the
agencies of the amended information, expiration of the 30 work day period,

referencing the prior disclosures (See the requester shall be notified of any
1212.402). such extension.
76
(f) If a denial of a request to amend a and shall be accompanied by a copy of

record is upheld, the final determina- the statement of dispute and adden-
tion shall: dum.
(1) Explain the basis for the detail;
(2) Include information as to how the Subpart 1212.5Exemptions to
requester goes about filing a statement
of dispute under the procedures of
Individuals Rights of Access
1212.401; and, 1212.500 Exemptions under 5 U.S.C.
(3) Include a statement that the final 552a (j) and (k).
determination is subject to judicial re-
view under 5 U.S.C. 552a(g). (a) These provisions authorize the
Administrator of NASA to exempt cer-
tain NASA Privacy Act systems of
FR 60621, Oct. 4, 2012]
records from portions of the require-
1212.401 Filing statements of dispute. ments of this regulation.
(b) The Administrator has delegated
(a) A statement of dispute shall:
(1) Be in writing; this authority to the Associate Deputy
(2) Set forth reasons for the individ- Administrator (See 1212.701).
uals disagreement with NASAs re- (c) For those NASA systems of
fusal to amend the record; records that are determined to be ex-
(3) Be concise; empt, the system notice shall describe
(4) Be addressed to the system man- the exemption and the reasons.
ager; and, [57 FR 4928, Feb. 11, 1992, as amended at 77
(5) Be identified on the envelope and FR 60621, Oct. 4, 2012]
in the letter as a Statement of Dis-
pute under the Privacy Act. 1212.501 Record systems determined
(b) The system manager shall prepare to be exempt.
an addendum to the statement explain-
The Administrator has determined
ing the basis for NASAs refusal to
that the following systems of records
amend the disputed record. A copy of
are exempt to the extent provided here-
the addendum shall be provided to the
inafter.
individual.
(c) The system manager shall ensure (a) Inspector General Investigations
that the statement of dispute and ad- Case Files(1) Sections of the Act from
dendum are either filed with the dis- which exempted. (i) The Inspector Gen-
puted record or that a notation appears eral Investigations Case Files system
in the record clearly referencing the of records is exempt from all sections
statement of dispute and addendum so of the Privacy Act (5 U.S.C. 552a) ex-
that they may be readily retrieved. cept the following sections: (b) relating
to conditions of disclosure; (c) (1) and
1212.402 Disclosure to third parties (2) relating to keeping and maintaining
of disputed records. a disclosure accounting; (e)(4) (A)
(a) The system manager shall through (F) relating to publishing a
promptly provide persons or agencies system notice setting forth name, loca-
to whom the disputed portion of a tion, categories of individuals and
record was previously disclosed and for records, routine uses, and policies re-
which an accounting of the disclosure garding storage, retrievability, access
exists under the requirements of controls, retention and disposal of the
1212.203 of this part, with a copy of the records; (e) (6), (7), (9), (10), and (11) re-
statement of dispute and addendum, lating to dissemination and mainte-
along with a statement referencing the nance of records, and (i) relating to
prior disclosure. The subject individual criminal penalties. This exemption ap-
shall be notified as to those individuals plies to those records and information
or agencies which are provided with contained in the system of records per-
the statement of dispute and adden- taining to the enforcement of criminal
dum. laws.
(b) Any subsequent disclosure of a (ii) To the extent that noncriminal

disputed record shall clearly note the investigative files may exist within
portion of the record which is disputed this system of records, the Inspector
77
1212.501 14 CFR Ch. V (1116 Edition)
General Investigations Case Files sys- vided, however, That if any individual is
tem of records is exempt from the fol- denied any right, privilege, or benefit
lowing sections of the Privacy Act (5 that they would otherwise be entitled
U.S.C. 552a): (c)(3) relating to access to by Federal law, or for which they
the disclosure accounting, (d) relating would otherwise be eligible, as a result
to access to records, (e)(1) relating to of the maintenance of such material,
the type of information maintained in such material shall be provided to such
the records; (e)(4) (G), (H), and (I) relat- individual, except to the extent that
ing to publishing the system notice in- the disclosure of such material would
formation as to agency procedures for reveal the identity of a source who fur-
access and amendment and information nished information to the Government
as to the categories of sources or under an express promise that the iden-
records, and (f) relating to developing tity of the source would be held in con-
agency rules for gaining access and fidence, or, prior to January 1, 1975,
making corrections. under an implied promise that the
(2) Reason for exemptions. (i) The Of- identity of the sources would be held in
fice of Inspector General is an office of confidence. This system of records is
NASA, a component of which performs exempt for one or more of the following
as its principal function activity per- reasons:
taining to the enforcement of criminal (A) To prevent interference with law
laws, within the meaning of 5 U.S.C. enforcement proceedings.
552a(j)(2). This exemption applies only (B) To protect investigatory material
to those records and information con- compiled for law enforcement purposes.
tained in the system of records per- (C) To avoid unwarranted invasion of
taining to criminal investigations. personal privacy, by disclosure of infor-
This system of records is exempt for mation about third parties, including
one or more of the following reasons: other subjects of investigation, law en-
(A) To prevent interference with law forcement personnel, and sources of in-
enforcement proceedings. formation.
(B) To avoid unwarranted invasion of (D) To fulfill commitments made to
personal privacy, by disclosure of infor- protect the confidentiality of sources.
mation about third parties, including (E) To protect the identity of Federal
other subjects of investigation, inves- employees who furnish a complaint or
tigators, and witnesses. information to the OIG, consistent
(C) To protect the identity of Federal with section 7(b) of the Inspector Gen-
employees who furnish a complaint or eral Act of 1978, as amended, 5 U.S.C.
information to the OIG, consistent App.
with section 7(b) of the Inspector Gen- (F) To assure access to sources of
eral Act of 1978, as amended, 5 U.S.C. confidential information, including
App. that contained in Federal, State, and
(D) To protect the confidentiality of local criminal law enforcement infor-
non-Federal employee sources of information systems.
mation. (G) To prevent disclosure of law en-
(E) To assure access to sources of forcement techniques and procedures.
confidential information, including (H) To avoid endangering the life or
that contained in Federal, State, and physical safety of confidential sources
local criminal law enforcement infor- and law enforcement personnel.
mation systems. (iii) Records within this system of
(F) To prevent disclosure of law en- records comprised of investigatory ma-
forcement techniques and procedures. terial compiled solely for the purpose
(G) To avoid endangering the life or of determining suitability or eligibility
physical safety of confidential sources for Federal civilian employment or ac-
and law enforcement personnel. cess to classified information, are ex-
(ii) Investigative records within this empt under the provisions of 5 U.S.C.
system of records which are compiled 552a(k)(5), but only to the extent that
for law enforcement purposes, other disclosure would reveal the identity of
than material within the scope of sub- a source who furnished information to
section (j)(2), are exempt under the the Government under an express
provisions of 5 U.S.C. 552a(k)(2): Pro- promise that the identity of the source
78
would be held in confidence, or prior to 552a(k)(2): Provided, however, That if

January 1, 1975, under an implied prom- any individual is denied any right,
ise that the identity of the source privilege, or benefit that they would
would be held in confidence. This sys- otherwise be entitled by Federal law,
tem of records is exempt for one or or for which they would otherwise be
more of the following reasons: eligible, as a result of the maintenance
(A) To fulfill commitments made to of such material, such material shall
protect the confidentiality of sources. be provided to such individual, except
(B) To assure access to sources of to the extent that the disclosure of
confidential information, including such material would reveal the iden-
that contained in Federal, State, and tity of a source who furnished informa-
local criminal law enforcement infor-
tion to the Government under an ex-
mation systems.
press promise that the identity of the
(b) Security Records System(1) Sec-
tions of the Act from which exempted. source would be held in confidence, or,
The Security Records System is ex- prior to January 1, 1975, under an im-
empted from the following sections of plied promise that the identity of the
the Privacy Act (5 U.S.C. 552a): (c)(3) sources would be held in confidence.
relating to access to the disclosure ac- This system of records is exempt for
counting; (d) relating to access to the one or more of the following reasons:
records; (e)(1) relating to the type of (A) To prevent interference with law
information maintained in the records; enforcement proceedings.
(e)(4) (G), (H), and (I) relating to pub- (B) To protect investigatory material
lishing the system notice information compiled for law enforcement purposes.
as to agency procedures for access and (C) To avoid unwarranted invasion of
amendment, and information as to the personal privacy, by disclosure of infor-
categories of sources of records; and (f) mation about third parties, including
relating to developing Agency rules for other subjects of investigation, law en-
gaining access and making corrections. forcement personnel, and sources of in-
(2) Reason for exemption. (i) Personnel formation.
Security Records contained in the sys-
(D) To fulfill commitments made to
tem of records which are compiled sole-
protect the confidentiality of sources.
ly for the purpose of determining suit-
ability, eligibility, or qualifications for (E) To assure access to sources of
Federal civilian employment, Federal confidential information, including
contracts, or access to classified infor- that contained in Federal, State, and
mation are exempt under the provi- local criminal law enforcement infor-
sions of 5 U.S.C. 552a(k)(5), but only to mation systems.
the extent that the disclosure of such (F) To prevent disclosure of law en-
material would reveal the identity of forcement techniques and procedures.
the source who furnished information (G) To avoid endangering the life or
to the Government under an express physical safety of confidential sources
promise that the identity of the source and law enforcement personnel.
would be held in confidence, or, prior (iii) The system of records includes
to January 1, 1975, under an implied records subject to the provisions of 5
promise that the identity of the U.S.C. 552(b)(1) (required by Executive
sources would be held in confidence. order to be kept secret in the interest
This system of records is exempt for of national defense or foreign policy),
one or more of the following reasons: and such records are exempt under 5
(A) To fulfill commitments made to U.S.C. 552a(k)(1).
protect the confidentiality of sources.
(B) To assure access to sources of [57 FR 4928, Feb. 11, 1992, as amended at 77
confidential information, including FR 60621, Oct. 4, 2012]
that contained in Federal, State, and
local criminal law enforcement infor-
mation systems.
(ii) Criminal Matter Records are con-

tained in the system of records and are
exempt under the provisions of 5 U.S.C.
79
1212.600 14 CFR Ch. V (1116 Edition)
Subpart 1212.6Instructions for (b) Any system of records maintained

NASA Employees by NASA which is in addition to or
substantially different from a Govern-
1212.600 General policy. mentwide systems of records described
In compliance with the Privacy Act in a systems notice published by an-
and in accordance with the require- other agency shall be regarded as a
ments and procedures of this regula- NASA system of records subject to the
tion, NASA has an obligation to: requirements of this part.
(a) Advise individuals, when re- (c) NASA shall provide adequate ad-
quested, as to whether any specific sys- vance notice to Congress and OMB of
tem of records maintained by NASA any proposal to establish a new system
contains records pertaining to them; of records or alter any existing system
(b) Prevent records being maintained of records as prescribed by OMB Cir-
by NASA in a system of records for a cular No. A130, appendix I.
specific purpose from being used or [57 FR 4928, Feb. 11, 1992, as amended at 77
made available for another purpose FR 60621, Oct. 4, 2012]
without the individuals consent; and,
(c) Permit individuals to have access 1212.602 Requirements for collecting
to information about themselves in a information.
NASA system of records, to have a In collecting information for systems
copy made, and, if appropriate under of records, the following requirements
subpart 1212.3 of this part, to amend shall be met:
the records. (a) Information shall be collected to
the greatest extent practicable directly
1212.601 Maintenance and publica- from the subject individual when the
tion requirements for systems of information may result in adverse de-
records. terminations about an individuals
(a) In maintaining systems of rights, benefits, and privileges under
records, NASA shall: Federal programs. Exceptions to this
(1) Maintain any record in a system policy may be made under certain cir-
of records for necessary and lawful pur- cumstances, such as one of the fol-
poses only, assure that the information lowing:
is current and accurate for its intended (1) There is a need to verify the accu-
use, and provide adequate safeguards to racy of the information supplied by an
prevent misuse of the information. individual.
(2) Maintain only information about (2) The information can only be ob-
an individual relevant and necessary to tained from a third party.
accomplish a purpose or to carry out a (3) There is no risk that information
function of NASA authorized by law or collected from third parties, if inac-
by Executive order of the President. curate, could result in an adverse de-
(3) Maintain records used by NASA termination to the individual con-
officials in making any determination cerned.
about any individual with such accu- (4) Provisions are made to verify with
racy, relevance, timeliness, and com- the individual information collected
pleteness reasonably necessary to as- from a third party.
sure fairness to the individual in mak- (b) Each individual who is asked to
ing the determination. supply information shall be informed
(4) Maintain no record describing how of the following:
an individual exercises rights guaran- (1) The authority (whether granted
teed by the First Amendment unless by statute, or by Executive order of the
expressly authorized by statute, by the President) for requesting the informa-
individual about whom the record is tion;
maintained or unless pertinent to and (2) Whether disclosure is mandatory
within the scope of an authorized law or voluntary;
enforcement activity. (3) The intended official use of the in-
(5) Maintain and provide access to formation;
records of other agencies under NASAs (4) The routine uses which may be
control consistent with the regulations made of the information, as published
of this part. in the system notices;
80
(5) The effects, if any, on the indi- protected under the Privacy Act and
vidual of not providing all or any part shall be subject to the same safeguard,
of the requested information. retention, and disposition require-
ments applicable to the system of
1212.603 Mailing lists. records.
NASA will not sell, rent, or other- (c) When records or copies of records
wise disclose an individuals name and are distributed to other Federal agen-
address to anyone, unless otherwise cies, other than those having custody
specifically authorized by law. This is of the systems of records, they shall be
not to be construed to require the prominently identified as records pro-
withholding of names and addresses tected under the Privacy Act.
otherwise permitted to be made public. (d) Records that are otherwise re-
[57 FR 4928, Feb. 11, 1992, as amended at 77 quired by law to be released to the pub-
FR 60621, Oct. 4, 2012] lic need not be safeguarded or identi-
fied as Privacy Act records.
1212.604 Social security numbers.
(a) It is unlawful for NASA to deny to FR 60621, Oct. 4, 2012]
individuals any rights, benefits, or
privileges provided by law because of 1212.606 Duplicate copies of records
the individuals refusal to disclose or portions of records.
their social security numbers, except (a) NASA officials may maintain and
where: use, for official purposes, duplicate
(1) The disclosure is required by law; copies of records or portions of records
or from a system of records maintained
(2) The disclosure is from a system of by their own organizational unit. This
records in existence and operating be- practice should occur only where there
fore January 1, 1975, and was required are justifiable organizational needs for
under statute or regulation adopted be- it, e.g., where geographic distances
fore that date to verify the identity of make use of the system of records time
the individual(s). consuming or inconvenient. These du-
(b) Any time individuals are re- plicate copies shall not be considered a
quested to disclose their social security separate NASA system of records. For
numbers, NASA shall indicate whether example, an office head or designee
that disclosure is mandatory or vol- may keep duplicate copies of per-
untary, by what authority the numbers sonnel, training, or similar records on
are requested, and what uses will be employees within the organization for
made of them. administrative convenience purposes.
1212.605 Safeguarding information in (b) No disclosure shall be made from
systems of records. duplicate copies outside of the organi-
zational unit. Any outside request for
(a) Safeguards appropriate for a disclosure shall be referred to the ap-
NASA system of records shall be devel- propriate system manager for response.
oped by the system manager in a writ-
(c) Duplicate copies are subject to
ten plan approved by the Center Secu-
the same safeguard requirements appli-
rity Officer or Center Information
cable to the system of records.
Technology Security Officer for elec-
tronic records maintained in auto-
mated systems. Safeguards must insure Subpart 1212.7NASA Authority
the security and confidentiality of and Responsibilities
records and protect against any antici-
pated threats or hazards to their secu- 1212.700 NASA employees.
rity or integrity which could result in (a) Each NASA employee is respon-
substantial harm, embarrassment, in- sible for adhering to the requirements
convenience, or unfairness to any indi- of the Privacy Act and this regulation.
vidual on whom information is main- (b) An employee shall not seek or ob-
tained. tain access to a record in a NASA sys-
(b) When records or copies of records tem of records or to copies of any por-
are distributed within NASA they shall tion of such records under false pre-
be prominently identified as records tenses. Only those employees with an
81
1212.701 14 CFR Ch. V (1116 Edition)
official need to know may seek and (2) Approving system notices for pub-
obtain access to records pertaining to lication in the FEDERAL REGISTER;
others. (3) Assuring that NASA employees
(c) Employees shall refrain from dis- and officials are informed of their re-
cussing or disclosing personal informa- sponsibilities and that they receive ap-
tion about others which they have ob- propriate training for the implementa-
tained because of their official need to tion of these requirments; and,
know such information in the perform- (4) Preparing and submitting the bi-
ance of official duties. ennial report on implementation of the
(d) To the extent included in a con- Privacy Act to OMB and special re-
tract which provides for the mainte- ports required under this regulation,
nance by or on behalf of NASA of a sys- including establishing appropriate re-
tem of records to accomplish a func- porting procedures in accordance with
tion of NASA, the requirements of this OMB Circular No. A130.
section shall apply to contractor em- (b) The Chief Information Officer
ployees who work under the contract. may establish a position of NASA Pri-
vacy Act Officer,designate someone to
1212.701 Associate Deputy Adminis- function as such an officer, and dele-
trator. gate to that officer any of the func-
The Associate Deputy Administrator tions described in paragraph (a) of this
is responsible for: section.
(a) Making final Agency determina- [57 FR 4928, Feb. 11, 1992. Redesignated and
tions on appeals ( 1212.400), except on amended at 77 FR 60622, Oct. 4, 2012]
those related to records originating in
the Office of the Inspector General; 1212.704 Headquarters and Field
(b) Authorizing exemptions from one Centers or Component Facilities.
or more provisions of the Privacy Act (a) Officials-in-Charge of Head-
for NASA systems of records (See quarters Offices, Directors of NASA
1212.500); and, Field Centers and Officials-in-Charge of
(c) Authorizing an extension for mak- Component Facilities are responsible
ing a final determination on an appeal for the following with respect to those
( 1212.400(d)), except for an appeal re- systems of records maintained in their
lated to records originating in the Of- organization:
fice of the Inspector General. (1) Avoiding the establishment of new
systems of records or new routine uses
[57 FR 4928, Feb. 11, 1992, as amended at 77 of a system of records without first
FR 60621, Oct. 4, 2012]
complying with the requirements of
1212.702 The Inspector General. this regulation;
(2) Ensuring that the requirements of
The Inspector General is responsible this regulation and the Privacy Act are
for: followed by employees;
(a) Making final Agency determina- (3) Ensuring that there is appropriate
tions on appeals related to records coordination within NASA before a de-
originating with the Office of the In- termination is made to disclose infor-
spector General ( 1212.400), and mation without the individuals con-
(b) Authorizing an extension for sent under authority of 5 U.S.C. 552a(b)
making a final determination on an ap- (See 1212.203(f)); and
peal related to records originating with (4) Providing appropriate oversight
the Office of the Inspector General for responsibilities and authorities ex-
( 1212.400(e)). ercised by system managers under
[77 FR 60622, Oct. 4, 2012] their jurisdiction ( 1212.705).
(5) Establish a position of Center Pri-
1212.703 NASA Chief Information Of- vacy Manager to assist in carrying out
ficer. the responsibilities listed in this sec-
(a) The NASA Chief Information Offi- tion.
cer is responsible for the following: (b) [Reserved]
(1) Providing overall supervision and [57 FR 4928, Feb. 11, 1992. Redesignated and
coordination of NASAs policies and amended at 77 FR 60622, Oct. 4, 2012; 78 FR
procedures under this regulation; 8964, Feb. 7, 2013]
82
1212.705 System manager. filed in the individuals records, in ac-

cordance with 1212.401;
(a) Each system manager is respon-
(12) Maintaining disclosure account-
sible for the following with regard to
ings in accordance with 5 U.S.C. 552a(c)
the system of records over which the
and 1212.203 of this part. This includes
system manager has cognizance:
records disclosed pursuant to any com-
(1) Overall compliance with this part,
puter matching programs;
NASA Policy Directive (NPD) 1382.17
(13) Notifying persons to whom a
and NASA Procedural Requirements
record has been disclosed and for which
(NPR) 1382.1.
an accounting was made as to disputes
(2) Ensuring that each person in- and corrections involving the record;
volved in the design, development, op- and
eration, or maintenance of the system
(14) Developing appropriate safe-
of records is instructed with respect to
guards for the system of records in ac-
the requirements of this regulation and
cordance with 1212.605(a).
the possible penalties for noncompli-
(b) Where a system of records has
ance;
subsystems described in the system no-
(3) Submitting a request to the Asso- tice, the subsystem manager will have
ciate Deputy Administrator for an ex- the responsibilities outlined in para-
emption of the system under subpart graph (a) of this section. Although the
1212.5 of this part, setting forth in pro- system manager has no line authority
posed rulemaking form the reasons for over subsystem managers, the system
the exemption and citing the specific manager does have overall functional
provision of the Privacy Act which is responsibility for the total system, and
believed to authorize the exemption; may issue guidance to subsystem man-
(4) After consultation with the Office agers on implementation of this part.
of the General Counsel or the Chief When furnishing information for re-
Counsel, making reasonable efforts to quired reports, the system manager
serve notice on an individual when any will be responsible for reporting the en-
record on such individual is made tire system of records, including any
available to any person under compul- subsystems.
sory legal process when such process (c) Exercise of the responsibilities
becomes a matter of public record; and authorities in paragraph (a) of this
(5) Making an initial determination section by any system or subsystem
on an individuals request to correct or managers at a NASA Center shall be
amend a record, in accordance with subject to any conditions or limita-
1212.302; tions imposed in accordance with
(6) Prior to disclosure of any record 1212.704(a)(4) and (5).
about an individual, assuring that the
record is first reviewed for accuracy, [57 FR 4928, Feb. 11, 1992. Redesignated and
completeness, timeliness, and rel- amended at 77 FR 60622, Oct. 4, 2012]
evance;
1212.706 Assistant Administrator for
(7) Authorizing disclosures of a Procurement.
record without the individuals consent
under 1212.203(f)(1) through (12); The Assistant Administrator for Pro-
(8) Responding within the require- curement is responsible for developing
ments of 1212.200 to an individuals re- appropriate procurement regulations
quest for information as to whether the and procedures under which NASA con-
system contains a record pertaining to tracts requiring the maintenance of a
the individual; system of records in order to accom-
(9) Responding to an individuals re- plish a NASA function are made sub-
quest for access and copying of a ject to the requirements of this part.
record, in accordance with subpart [57 FR 4928, Feb. 11, 1992. Redesignated at 77
1212.2 of this part; FR 60622, Oct. 4, 2012]
(10) Amending a record under subpart
1212.3 of this part, or filing in an indi- 1212.707 Delegation of authority.
viduals record a statement of dispute; Authority necessary to carry out the

(11) Preparing an addendum to an in- responsibilities specified in this regula-
dividuals statement of dispute to be tion is delegated to the officials
83
1212.800 14 CFR Ch. V (1116 Edition)
named, subject to any conditions or PART 1213RELEASE OF INFORMA-

limitations imposed in accordance with TION TO NEWS AND INFORMA-
this subpart 1212.7. TION MEDIA
[57 FR 4928, Feb. 11, 1992. Redesignated at 77
FR 60622, Oct. 4, 2012] Sec.
1213.100 Scope.
1213.101 Applicability.
Subpart 1212.8Failure To Com- 1213.102 Policy.
ply With Requirements of This 1213.103 Responsibilities.
1213.104 Public information coordination
Part and concurrence.
1213.105 Interviews.
1212.800 Civil remedies. 1213.106 Preventing release of classified in-
Failure to comply with the require- formation to the media.
1213.107 Preventing unauthorized release of
ments of the Privacy Act and this part
sensitive but unclassified (SBU) informa-
could subject NASA to civil suit under tion/material to the news media.
the provisions of 5 U.S.C. 552a(g). 1213.108 Multimedia materials.
1213.109 News releases concerning inter-
1212.801 Criminal penalties. national activities.
(a) A NASA officer or employee may AUTHORITY: 42 U.S.C. 2473(a)(3).
be subject to criminal penalties under SOURCE: 71 FR 49989, Aug. 24, 2006, unless
the provisions of 5 U.S.C. 552a(i) (1) and otherwise noted.
(2).
(1) Section 552a(i)(1). Any officer or 1213.100 Scope.
employee of an agency, who by virtue This part sets forth policy governing
of employment or official position, has the release of public information,
possession of, or access to, agency which is defined as information in any
records which contain individually form provided to news and information
identifiable information the disclosure media, especially information that has
of which is prohibited by this section the potential to generate significant
media or public interest or inquiry. Ex-
or by rules or regulations established
amples include, but are not limited to,
thereunder, and who knowing that dis-
press releases, media advisories, news
closure of the specific material is so features, and Web postings. Not in-
prohibited, willfully discloses the ma- cluded under this definition are sci-
terial in any manner to any person or entific and technical reports, Web post-
agency not entitled to receive it, shall ings designed for technical or scientific
be guilty of a misdemeanor and fined interchange, and technical information
not more than $5,000. presented at professional meetings or
(2) Section 552a(i)(2). Any officer or in professional journals.
employee of any agency who willfully
maintains a system of records without 1213.101 Applicability.
meeting the notice requirements of (a) This policy applies to NASA
subsection (e)(4) of this section shall be Headquarters, NASA Centers, and Com-
guilty of a misdemeanor and fined not ponent Facilities.
more than $5,000. (b) In the event of any conflict be-
(3) These two provisions apply to tween this policy and any other NASA
NASA civil service employees as well policy, directive, or regulation, this
as those employees of a NASA con- policy shall govern and supersede any
tractor with responsibilities for main- previous issuance or directive.
taining a Privacy Act system of (c) The requirements of this part do
not apply to the Office of Inspector
records.
General regarding its activities.
(b) Section 552a(i)(3). Any person who
knowingly and willfully requests or ob- 1213.102 Policy.
tains any record concerning an indi- (a) NASA, a scientific and technical
vidual from an agency under false pre-
Agency, is committed to a culture of

tenses shall be guilty of a misdemeanor openness with the media and public
and fined not more than $5,000. that values the free exchange of ideas,
84
data, and information as part of sci- lic information nationwide by NASA

entific and technical inquiry. Sci- Headquarters will be made by the As-
entific and technical information from sistant Administrator for Public Af-
or about Agency programs and projects fairs or his/her designee.
will be accurate and unfiltered. (b) NASAs Mission Directorate Asso-
(b) Consistent with NASA statutory ciate Administrators and Mission Sup-
responsibility, NASA will provide for port Office heads have ultimate respon-
the widest practicable and appropriate sibility for the technical, scientific,
dissemination of information con- and programmatic accuracy of all in-
cerning its activities and the results formation that is related to their re-
thereof. Release of public information spective programs and released by
concerning NASA activities and the re- NASA.
sults of NASA activities will be made (c) Under the direction of the Assist-
in a timely, equitable, accurate, and ant Administrator for Public Affairs,
complete manner. Public Affairs Officers assigned to Mis-
(c) To ensure timely release of infor- sion Directorates are responsible for
mation, NASA will endeavor to ensure the timely and efficient coordination
cooperation and coordination among of public information covering their re-
the Agencys scientific, engineering, spective programs. This coordination
and public affairs communities. includes review by appropriate Mission
(d) In keeping with the desire for a Directorate officials. It also includes
culture of openness, NASA employees editing by public affairs staff to ensure
may, consistent with this policy, speak that public information products are
to the press and the public about their well written and appropriate for the in-
work. tended audience. However, such editing
(e) This policy does not authorize or shall not change scientific or technical
require disclosure of information that data or the meaning of programmatic
is exempt from disclosure under the content.
Freedom of Information Act (5 U.S.C. (d) Center Public Affairs Directors
552) or otherwise restricted by statute, are responsible for implementing their
regulation, Executive Order, or other portion of the Agencys communica-
Executive Branch policy or NASA pol- tions program, adhering to Agency
icy (e.g., OMB Circulars, NASA Policy policies, procedures, and priorities, and
Directives). Examples of information coordinating their activities with
not releasable under this policy in- Headquarters (and others where appro-
clude, without limitation, information priate). They are responsible for the
that is, or is marked as, classified in- quality of public information prepared
formation, procurement sensitive in- by Center Public Affairs Officers. They
formation, information subject to the also are responsible for the day-to-day
Privacy Act, other sensitive but un- production of public information cov-
classified information, and information ering their respective Center activities,
subject to privilege, such as pre- which includes obtaining the necessary
decisional information or attorney-cli- Center concurrences and coordinating,
ent communications. as necessary, with the appropriate
Headquarters Public Affairs Officers.
1213.103 Responsibilities. (e) Center Directors have ultimate
(a) The Assistant Administrator for responsibility for the accuracy of pub-
Public Affairs is responsible for devel- lic information that does not require
oping and administering an integrated the concurrence of Headquarters. See
Agency-wide communications program, 1213.104(d).
establishing Agency public affairs poli- (f) All NASA employees are required
cies and priorities, and coordinating to coordinate, in a timely manner,
and reviewing the performance of all with the appropriate Public Affairs Of-
Agency public affairs activities. The ficers prior to releasing information
Assistant Administrator will develop that has the potential to generate sig-
criteria to identify which news releases nificant media or public interest or in-
and other types of public information quiry.

will be issued nationwide by NASA (g) All NASA Public Affairs Officers
Headquarters. Decisions to release pub- are required to notify the appropriate
85
1213.104 14 CFR Ch. V (1116 Edition)
Headquarters Public Affairs Officers, in (c) All public information shall be co-
a timely manner, about activities or ordinated through the appropriate
events that have the potential to gen- Headquarters offices, including review
erate significant media or public inter- by the appropriate Mission Directorate
est or inquiry. Associate Administrator and Mission
(h) All NASA public affairs employ- Support Office head, or their designees,
ees are expected to adhere to the fol- to ensure scientific, technical, and pro-
lowing code of conduct: grammatic accuracy, and review by the
(1) Be honest and accurate in all com- Assistant Administrator for Public Af-
munications. fairs or his/her designee to ensure that
(2) Honor publication embargoes. public information products are well
(3) Respond promptly to media re- written and appropriate for the in-
quests, and respect media deadlines. tended audience.
(4) Act promptly to notify the public (d) Centers may, however, without
of, and correct, erroneous information, the full coordination of Headquarters,
either internally or externally. issue public information that is insti-
(5) Promote the free flow of scientific tutional in nature, of local interest, or
and technical information. has been deemed not to be a Head-
(6) Protect non-public information. quarters release. These releases must
(i) All NASA employees are respon- be coordinated through the appropriate
sible for adhering to plans (including Center offices and approved by the Cen-
schedules) for activities established by ter Director and Center Public Affairs
public affairs offices and senior man- Director. The Center Public Affairs Di-
agement for the coordinated release of rector is required to provide proper no-
public information. tification to the Office of Public Af-
(j) All NASA-funded missions will fairs, NASA Headquarters, prior to re-
have a public affairs plan, approved by lease. The Assistant Administrator for
the Assistant Administrator for Public Public Affairs or his/her designee will
Affairs, which will be managed by determine which public information
Headquarters and/or a designated will be issued nationwide by NASA
NASA Center. Headquarters and shall publish guide-
(k) Public affairs activities for lines for the release of public informa-
NASA-funded missions will not be tion that may be issued by Centers
managed by non-NASA institutions, without clearance from Headquarters
unless authorized by the Assistant Ad- offices.
ministrator for Public Affairs. (e) Dispute Resolution. Any dispute
arising from a decision to proceed or
1213.104 Public information coordi- not proceed with the issuance of a news
nation and concurrence. release or other type of public informa-
(a) General. All NASA employees in- tion will be addressed and resolved by
volved in preparing and issuing NASA the Assistant Administrator for Public
public information are responsible for Affairs with the appropriate Mission
proper coordination among Head- Directorate Associate Administrator,
quarters and Center offices to include Mission Support Office head, Center
review and clearance by appropriate of- Director, and others, such as Center
ficials prior to issuance. Such coordi- Public Affairs Directors, as necessary.
nation will be accomplished through However, the appropriate Mission Di-
procedures developed and published by rectorate Associate Administrator
the NASA Assistant Administrator for shall be the arbiter of disputes about
Public Affairs. the accuracy or characterization of
(b) Coordination. To ensure timely re- programmatic, technical, or scientific
lease of public information, Head- information. Additional appeals may
quarters and Center Public Affairs Offi- be made to the Chief of Strategic Com-
cers are required to coordinate to ob- munications and to the Office of the
tain review and clearance by appro- Administrator. When requested by a
priate officials, keep each other in- Center Public Affairs Director, an ex-
formed of changes, delays, or cancella- planation of the resolution will be pro-

tion of releases, and provide advance vided in writing to all interested Agen-
notification of the actual release. cy parties.
86
1213.105 Interviews. interviewee is authorized to do other-

(a) Only spokespersons designated by wise by the Assistant Administrator
the Assistant Administrator for Public for Public Affairs or Center Public Af-
Affairs, or his/her designee, are author- fairs Director, or their designees. Any
ized to speak for the Agency in an offi- NASA employee providing material to
cial capacity regarding NASA policy, the press will identify himself/herself
programmatic, and budget issues. as the source.
(b) In response to media interview re- (g) Audio recordings may be made by
quests, NASA will offer articulate and NASA with consent of the interviewee.
knowledgeable spokespersons who can (h) NASA employees are not required
best serve the needs of the media and to speak to the media.
the American public. However, journal- (i) Public information volunteered by
ists may have access to the NASA offi- a NASA official will not be considered
cials they seek to interview, provided exclusive to any one media source and
those NASA officials agree to be inter-
will be made available to other
viewed.
(c) NASA employees may speak to sources, if requested.
the media and the public about their
1213.106 Preventing release of classi-
work. When doing so, employees shall fied information to the media.
notify their immediate supervisor and
coordinate with their public affairs of- (a) Release of classified information
fice in advance of interviews whenever in any form (e.g., documents, through
possible, or immediately thereafter, interviews, audio/visual) to the news
and are encouraged, to the maximum media is prohibited. The disclosure of
extent practicable, to have a Public Af- classified information to unauthorized
fairs Officer present during interviews. individuals may be cause for prosecu-
If Public Affairs Officers are present, tion and/or disciplinary action against
their role will be to attest to the con- the NASA employee involved. Igno-
tent of the interview, support the rance of NASA policy and procedures
interviewee, and provide post-interview regarding classified information does
follow up with the media, as necessary. not release a NASA employee from re-
(d) NASA, as an Agency, does not
sponsibility for preventing any unau-
take a position on any scientific con-
thorized release. See NPR 1600.1, Chap-
clusions. That is the role of the broad
ter 5, Section 5.23 for internal NASA
scientific community and the nature of
the scientific process. NASA scientists guidance on management of classified
may draw conclusions and may, con- information. For further guidance that
sistent with this policy, communicate applies to all agencies, see Executive
those conclusions to the media. How- Order 12958, as amended, Classified
ever, NASA employees who present National Security Information, and
personal views outside their official its implementing directive at 32 CFR
area of expertise or responsibility must parts 2001 and 2004.
make clear that they are presenting (b) Any attempt by news media rep-
their individual viewsnot the views of resentatives to obtain classified infor-
the Agencyand ask that they be mation will be reported through the
sourced as such. Headquarters Office of Public Affairs
(e) Appropriated funds may only be or Installation Public Affairs Office to
used to support Agency missions and the Installation Security Office and Of-
objectives consistent with legislative fice of Security and Program Protec-
or presidential direction. Government tion.
funds shall not be used for media inter- (c) For classified operations and/or
views or other communication activi- programs managed under the auspices
ties that go beyond the scope of Agen-
of a DD Form 254, Contract Security
cy responsibilities and/or an employ-
Classification Specification, all inquir-
ees official area of expertise or respon-
ies concerning this activity will be re-
sibility.
sponded to by the appropriate PAO of-
(f) Media interviews will be on-the-

record and attributable to the person ficial designated in Item 12 on the DD
making the remarks, unless the Form 254.
87
1213.107 14 CFR Ch. V (1116 Edition)
(d) For classified operations and/or other office responsible for handling
information owned by other Govern- the information as SBU.
ment agencies (e.g., DOD, DOE), all in-
quiries will be referred to the appro- 1213.108 Multimedia materials.
priate Agency Public Affairs Officer as (a) NASAs multimedia material,
established in written agreements. from all sources, will be made available
to the information media, the public,
1213.107 Preventing unauthorized re-
lease of sensitive but unclassified and to all Agency Centers and con-
(SBU) information/material to the tractor installations utilizing contem-
news media. porary delivery methods and emerging
digital technology.
(a) All NASA SBU information re-
(b) Centers will provide the media,
quires accountability and approval for
release. Release of SBU information to the public, and as necessary, NASA
unauthorized personnel is prohibited. Headquarters with:
Unauthorized release of SBU informa- (1) Selected prints and original or du-
tion may result in prosecution and/or plicate files of news-oriented imagery
disciplinary action. Ignorance of NASA and other digital multimedia material
policy and procedures regarding SBU generated within their respective
information does not release a NASA areas.
employee from responsibility for unau- (2) Selected video material in the
thorized release. See NPR 1600.1, Chap- highest quality format practical,
ter 5, Section 5.24 for guidance on iden- which, in the opinion of the installa-
tification, marking, accountability and tions, would be appropriate for use as
release of NASA SBU information. news feed material or features in pre-
(b) Examples of SBU information in- produced programs and other presen-
clude: proprietary information of oth- tations.
ers provided to NASA under nondisclo- (3) Audio and/or video files of signifi-
sure or confidentiality agreement; cant news developments and other
source selection and bid and proposal events of historic or public interest.
information; information subject to ex- (4) Interactive multimedia features
port control under the International that can be incorporated into the
Traffic in Arms Regulations (ITAR) or Agencys Internet portal for use by in-
the Export Administration Regulations ternal and external audiences, includ-
(EAR); information subject to the Pri- ing the media and the general public.
vacy Act of 1974; predecisional mate- (5) To the extent practicable, these
rials such as national space policy not products will be in forms and media ac-
yet publicly released; pending reorga- cessible to the public at large, as well
nization plans or sensitive travel as to specific user groups requesting
itineraries; and information that could
them, if any.
constitute an indicator of U.S. Govern-
ment intentions, capabilities, oper- 1213.109 News releases concerning
ations, or activities or otherwise international activities.
threaten operations security.
(c) Upon request for access to infor- (a) Releases of information involving
mation/material deemed SBU, coordi- NASA activities, views, programs, or
nation must be made with the informa- projects involving another country or
tion/material owner to determine if the an international organization require
information/material may be released. prior coordination and approval by the
Other organizations that play a part in Headquarters offices of External Rela-
SBU information identification, actions and Public Affairs.
countability, and release (e.g., General (b) NASA Centers and Headquarters
Counsel, External Relations, Procure- offices will report all visits proposed by
ment) must be consulted for assistance representatives of foreign news media
and/or concurrence prior to release. to the Public Affairs Officer of the Of-
(d) Requests for SBU information fice of External Relations for appro-
from other Government agencies must priate handling consistent with all
be referred to the NASA program or NASA policies and procedures.
88
PART 1214SPACE FLIGHT 1214.306 Payload specialist relationship with

sponsoring institutions.
Subpart 1214.1General Provisions Re-
Subpart 1214.4International Space
garding Space Shuttle Flights of Pay-
Station Crew
loads for Non-U.S. Government, Reim-
bursable Customers 1214.400 Scope.
Sec.
1214.100 Scope. 1214.402 International Space Station crew-
1214.101 Eligibility for flight of a non-U.S. member responsibilities.
government reimbursable payload on the 1214.403 Code of Conduct for the Inter-
Space Shuttle. national Space Station Crew.
1214.102 Definitions. 1214.404 Violations.
1214.103 Reimbursement for standard serv-
ices. Subpart 1214.5 [Reserved]
1214.104 Reimbursement for optional serv-
ices. Subpart 1214.6Mementos Aboard Space
1214.105 Apportionment and/or assignment Shuttle Flights
of services.
1214.106 Minor delays. 1214.600 Scope.
1214.107 Postponement. 1214.601 Definitions.
1214.108 Termination.
1214.602 Policy.
1214.109 Scheduling.
1214.110 Reflight. 1214.603 Official Flight Kit (OFK).
1214.111 Rendezvous services. 1214.604 Personal Preference Kit (PPK).
1214.112 Patent, data and information mat- 1214.605 Preflight packing and storing.
ters. 1214.606 Postflight disposition.
1214.113 Allocation of risk. 1214.607 Media and public inquiries.
1214.114 Provision of services. 1214.608 Safety requirements.
1214.115 Standard services. 1214.609 Loss or theft.
1214.116 Typical optional services.
1214.610 Violations.
1214.117 Launch and orbit parameters for a
standard launch.
1214.118 Special criteria for deployable pay- Subpart 1214.7The Authority of the
loads. Space Shuttle Commander
1214.119 Spacelab payloads.
1214.700 Scope.
Subpart 1214.2Reimbursement for Shuttle 1214.701 Definitions.
Services Provided to Civil U.S. Govern- 1214.702 Authority and responsibility of the
ment Users and Foreign Users Who Space Shuttle commander.
Have Made Substantial Investment in 1214.703 Chain of command.
the STS Program 1214.704 Violations.
1214.200 Scope. Subpart 1214.8Reimbursement for

1214.201 Definition. Spacelab Services
1214.202 Reimbursement policy.
1214.203 Optional reflight guarantee. 1214.800 Scope.
1214.204 Patent and data rights. 1214.801 Definitions.
1214.205 Revisit and/or retrieval services. 1214.802 Relationship to Shuttle policy.
1214.206 Damage to payload. 1214.803 Reimbursement policy.
1214.207 Responsibilities. 1214.804 Services, pricing basis, and other
APPENDIX A TO SUBPART 1214.2 OF PART 1214 considerations.
COSTS FOR WHICH NASA SHALL BE REIM- 1214.805 Unforeseen customer delay.
BURSED
1214.806 Premature termination of Spacelab
APPENDIX B TO SUBPART 1214.2 OF PART 1214
flights.
OCCUPANCY FEE SCHEDULE
1214.807 Exceptional payloads.
Subpart 1214.3Payload Specialists for 1214.808 Standby payloads.
Space Transportation System (STS) Missions 1214.809 Short-term call-up and accelerated
launch.
1214.300 Scope. 1214.810 Integration of payloads.
1214.301 Definitions. 1214.811 Reflight guarantee.
1214.302 Background. 1214.812 Payload specialists.
1214.303 Policy.
1214.813 Computation of sharing and pricing
1214.304 Process.
parameters.
1214.305 Payload specialist responsibilities.
89
1214.100 14 CFR Ch. V (1116 Edition)
Subparts 1214.91214.10 [Reserved] U.S. law and public policy. The NASA
Administrator will determine and/or
Subpart 1214.11NASA Astronaut Can- certify the compliance of the payload
didate Recruitment and Selection Pro- with these criteria. To qualify for
gram flight on the Space Shuttle, non-U.S.
1214.1100 Scope. government, reimbursable payloads
1214.1101 Announcement. must require the unique capabilities of
1214.1102 Evaluation of applications. the Shuttle, or be important for either
1214.1103 Application cutoff date. national security or foreign policy pur-
1214.1104 Evaluation and ranking of highly
qualified candidates.
poses.
1214.1105 Final ranking.
1214.1106 Selection of astronaut candidates. 1214.102 Definitions.
1214.1107 Notification. (a) Customer. Any non-U.S. govern-
ment person or entity who, by virtue of
Subparts 1214.121214.16 [Reserved]
a contract or other arrangement with
Subpart 1214.17Space Flight Participants NASA, arranges for or otherwise pro-
vides payloads to be flown on the Shut-
1214.1700 Scope. tle on a reimbursable basis.
1214.1702 Relation to other part 1214 mate- (b) Dedicated flight. A shuttle flight
rial. flown for a single customer.
1214.1703 Definitions. (c) Dedicated flight price. The price es-
1214.1704 Policy. tablished by NASA for a dedicated
1214.1705 Selection of space flight partici- flight that provides the standard serv-
pants.
1214.1706 Program management. ices listed in 1214.115 for 1 day of sin-
1214.1707 Media and public inquiries. gle-shift, on-orbit mission operations.
AUTHORITY: 51 U.S.C. 20113.
(d) Jettison. To physically separate all
or a portion of a payload from the
Shuttle after liftoff of the Shuttle
Subpart 1214.1General Provi- without the intent of fulfilling the pay-
sions Regarding Space Shuttle load operations requirements agreed to
Flights of Payloads for Non- by NASA and the customer.
U.S. Government, Reimburs- (e) Launch agreement. The primary
able Customers document between NASA and the non-
U.S. government, reimbursable cus-
AUTHORITY: Sec. 203, Pub. L. 85568, 72 Stat. tomer, containing the detailed terms,
429, as amended (42 U.S.C. 2473); Sec. 201(b) conditions, requirements and con-
Pub. L. 87624, 76 Stat. 421 (47 U.S.C. 721(b)). straints under which NASA commits to
SOURCE: 57 FR 4545, Feb. 6, 1992, unless oth- provide launch services.
erwise noted. (f) Marginal cost. Solely for the pur-
poses of determining the cost of a re-
1214.100 Scope.
flight launch, marginal cost is defined
This subpart 1214.1 sets forth general as the cost to the U.S. Government, as
provisions regarding flight of Space determined by NASAs normal ac-
Shuttle cargo bay payloads for non- counting procedures, associated with
U.S. government, reimbursable cus- the addition or reduction of one flight
tomers. It does not apply to Small Self- in a given U.S. government fiscal year.
Contained Payloads flown under the
(g) Non-U.S. government reimbursable
provision of subpart 1214.9 or payloads
customers are:
flown on a space-available basis on
NASA-provided Hitchiker carriers. (1) All non-U.S. Government persons
or entities paying NASA for Shuttle
1214.101 Eligibility for flight of a services under this subpart 1214.1; or
non-U.S. government reimbursable (2) U.S. Government agencies obtain-
payload on the Space Shuttle. ing reimbursable Shuttle services for
To be eligible for flight on the Space those persons or entities cited in para-
Shuttle, non-U.S. government, reim- graph (g)(1) of this section; e.g., the De-
bursable payloads must meet criteria partment of Defense under a Foreign
for use of the Shuttle established by Military sales case.
90
(h) Optional services. Those non- the standard flight price under this
standard services provided at the cus- 1214.1.
tomers request and with the concur- (b) Advance pricing. NASA normally
rence of NASA. The price for optional will agree to a standard flight price no
services is not included in the standard later than 3 years in advance of launch.
flight price. (c) Price stability. The standard flight
(i) Payload integration documentation. price will be fixed, subject to the terms
Documentation developed to reflect of the launch agreement, and subject
NASA/customer agreements on payload to escalation pursuant to 1214.103(d),
requirements, payload/Shuttle inter- and will be the price set by NASA as of
faces, and ground and flight implemen- the time of signing a launch agree-
tation of the mission. Includes the ment.
Payload Integration Plan, its Annexes (d) Escalation of payments. With the
and all related documentation. exception of payments for earnest
(j) Payload length. The maximum money, all payments will be escalated
length of the payload in the Space according to the U.S. Bureau of Labor
Shuttle cargo bay at any time during Statistics Index, Private Business
launch, landing, operations, deploy- Sector, All Persons: Productivity,
ment, servicing or retrieval. It includes Hourly Compensation, Unit Labor Cost
any clearance length necessary for and Prices Seasonally Adjusted table,
items such as dynamic envelope con- Compensation, Per Hour, column
siderations, deployment, retrieval, published in the U.S. Department of
servicing and use of the remote manip- Labor, Bureau of Labor Statistics,
ulator system. news release entitled Productivity
(k) Payload weight. The maximum and Costs.
weight of the payload in the Space (e) Independence of pricing and mani-
Shuttle cargo bay, including the festing. The standard flight price for a
weight of the payload itself and a pro shared flight payload as computed from
rata share of the weight of any special 1214.103(g) will be independent from the
equipment or materials needed for the actual payload manifest for a specific
mission. shared flight.
(l) Scheduled launch date. NASAs of- (f) Allocation of services. (1) Customers
ficial then-best-estimate of the data of contracting for a dedicated flight are
launch. This will be the date of record eligible for the full standard services,
for all scheduling and reimbursement as defined in 1214.115, available on the
procedures. flight.
(m) Shared flight. A flight that may (2) Customers contracting for a
be shared by more than one customer. standard shared flight meeting the cri-
(n) Shuttle standard flight price. The teria of 1214.117 are eligible for a por-
price for Shuttle standard services pro- tion of the standard services, as defined
vided to the customer. in 1214.115, available on the flight. The
(o) Standard launch. A launch meet- basis of apportionment will be deter-
ing all the launch and orbit criteria de- mined by NASA and will be a function
fined in 1214.117. of the payload load factor.
(p) Standard services. Those services (g) Computation of prices. (1) The
which are generally made available for Shuttle standard flight price for a dedi-
all customers, which for Space Shuttle cated flight is the dedicated flight
are generically defined in NASA docu- price as defined in 1214.102(c).
ment NSTS 07700, Volume XIV, and (2) The Shuttle standard flight price
which are included in the standard for a standard shared flight is the prod-
flight price. If the payload uses only a uct of the payloads charge factor and
portion of the standard services, the the dedicated flight price as defined in
standard flight price will not be af- 1214.102(c).
fected. (3) The computed charge factor for a
payload is defined as:
1214.103 Reimbursement for stand-
ard services.
Load Factor
(a) Establishment of price. NASA will
establish, and update as appropriate, 0.75
91
EC14NO91.003</MATH>
1214.104 14 CFR Ch. V (1116 Edition)
If the computed charge factor ex- date of publication in FEDERAL REG-

ceeds 1.0, the charge factor will be 1.0. ISTER), the Shuttle lift capability for a
If the computed charge factor is less shared flight, standard launch will be
than 0.067, the charge factor will be 29,478 kg. For all other payloads, the
0.067. lift capability for a shared flight,
(4) The load factor is defined as the standard launch will be 21,542 kg.
maximum of: (h) Payment schedule(1) Earnest
money. Earnest money in the amount
Payload Payload of $100,000 per payload will be paid to
length, m, weight, kg NASA by the customer. The earnest
or
18.29 m Shuttle lift money will be paid at the time of sub-
capability, kg mission of a NASA Form 1628, and will
where: be applied to the first payment made
(i) Payload length is as defined in by the customer toward the standard
1214.102(j); flight price, or will be retained by
(ii) Payload weight is as defined in NASA unless NASA determines that
1214.102(k); the payload does not meet the eligi-
(iii) For those payloads for which bility criteria referenced in 1214.101.
NASA has reviewed and accepted a (2) Payment schedule for standard serv-
NASA Form 1628 (Request for Flight ices. (i) Payment for standard services
Assignment) and received earnest will be made in accordance with the
money (if required) prior to (insert following schedule:
Percent of price due
Number of months before launch flight is scheduled Months prior to scheduled launch date
At time of
scheduling 33 24 18 12 6 3 Total
33 or more .................................................................. .................... 10 10 15 25 25 15 100

2432 .......................................................................... 11 .......... 10 15 25 25 15 101
1823 .......................................................................... 23 .......... .......... 15 25 25 15 103
1217 .......................................................................... 42 .......... .......... .......... 25 25 15 107
611* ........................................................................... 73 .......... .......... .......... .......... 25 15 113
35* ............................................................................. 107 .......... .......... .......... .......... .......... 15 122
Less than 3* ................................................................ 122 .......... .......... .......... .......... .......... .......... 122
*Additional charges pursuant to 1214.103(h)(2)(ii) also may apply.
(ii) Unless otherwise agreed to by providing standard services on such a

NASA, for purposes of the payment shortened schedule.
schedule of 1214.103(h)(2)(i), the per- (iv) Normally no charges for standard
cent of price due at the time of sched- services will be made after the flight,
uling will be the cumulative amount except for a final adjustment for esca-
due at the time of: lation.
(A) NASAs initial commitment to (i) Late payment fees. Customers who
the schedule of a newly scheduled pay- do not meet the payment schedule de-
load; fined in 1214.103(h) will be subject to a
(B) A customers requested resched- late payment fee established by NASA
uling of a payload such that it will be in the launch agreement.
launched at an earlier date; or
(C) Rescheduling of a payload post- 1214.104 Reimbursement for optional
poned at the request of the customer or services.
caused by the customer. (a) Pricing basis. To the extent prac-
(iii) If the time from a customers re- tical, optional services will be provided
quest for initial scheduling or resched- on a fixed-price or fixed-rate basis. If
uling of a payload is less than 1 year this is not practical, the price will be
from the launch date being requested, on a governmental cost basis; i.e., the
and NASA can accommodate the re- actual cost or in certain cases the esti-
quest, NASA may also charge the cus- mated actual costs.
tomer any estimated additional cost of
92
EC14NO91.004</MATH>
(b) Escalation of payments. All pay- as a percentage of the customers Shut-

ments for optional services subject to tle standard flight price and will be
escalation will be escalated in accord- based on the table below.
ance with the provisions of 1214.103(d).
Postponement fee, per-
(c) Schedules of payments. NASA will cent of standard flight
establish payment schedules for op- Months before scheduled launch price
date when postponement occurs
tional services and will incorporate Dedicated Shared
those schedules in the launch agree- flights flights
ment at the time a particular optional More than 33 ................................. 0 0
service is agreed to between the cus- 18 or more but less than or equal
tomer and NASA. to 33
1st postponement ........ 0 0
(d) Late payment fees. Customers who 2nd and subsequent .... 5 5
do not make payments by the due 17 or more but less than 18 .......... 6 9
dates defined by NASA will be subject 16 or more but less than 17 .......... 7 13
15 or more but less than 16 .......... 8 17
to a late payment fee established by 14 or more but less than 15 .......... 10 20
NASA in the launch agreement. 13 or more but less than 14 .......... 11 24
12 or more but less than 13 .......... 12 28
1214.105 Apportionment and/or as- 11 or more but less than 12 .......... 13 32
signment of services. 10 or more but less than 11 .......... 14 36
9 or more but less than 10 ............ 15 40
(a) Subject to NASA approval, a cus- 8 or more but less than 9 .............. 17 43
tomer may apportion and/or assign 7 or more but less than 8 .............. 18 47
6 or more but less than 7 .............. 19 51
Shuttle services to third parties within Less than 6 .................................... 20 55
the payload. No apportionment and/or
assignment of Shuttle services may (c) If at any point, a customer post-
take place outside the payload. ponement results in a launch date
(b) Integration of apportioned/as- more than 12 months later than the
signed payload elements within the original scheduled launch date, the
payload is the responsibility of the cus- standard flight price for the customers
tomer. Any NASA assistance in such payload may be adjusted by NASA to
integration will be provided as an op- reflect any new standard flight price
tional service. applicable at the time of the postponed
(c) Customers intending to apportion launch, if such new price is higher than
and/or assign services will so designate the originally contracted price.
at the time the launch agreement is (d) The payment schedule for post-
signed. poned flights will be as defined in
1214.103(h)(2).
1214.106 Minor delays. (e) Customers postponing the flight
NASA will attempt to accommodate of a payload may also be subject to new
customer requested minor launch or additional charges for optional serv-
delays. Such delays will normally be ices.
requested just prior to launch. Except
for potential optional service charges, 1214.108 Termination.
delays up to 72 hours can normally be (a) Customers terminating the
accommodated at no charge. This 72- launch of a payload will pay a termi-
hour period is shared by all customers nation fee for standard services to
on a particular flight. The basis of pro- NASA.
ration will be established in the launch (1) The termination fee for dedicated
agreement. Delays beyond 72 hours will flights will be computed as a percent-
require NASAs approval and will re- age of the Shuttle standard flight price
sult in an additional charge as estab- and will be based on the table below.
lished in the launch agreement.
Termination fee,
Months before scheduled launch date percent of Shuttle
1214.107 Postponement. when termination occurs standard flight price
(a) Provisions of this paragraph apply 18 or more ............................................. 10
to postponements requested or caused 17 or more but less than 18 .................. 11
by the customer. 16 or more but less than 17 .................. 12
15 or more but less than 16 .................. 13

(b) A customer postponing the flight 14 or more but less than 15 .................. 15
of a payload will pay a postponement 13 or more but less than 14 .................. 16
fee to NASA. The fee will be computed 12 or more but less than 13 .................. 17
93
1214.109 14 CFR Ch. V (1116 Edition)
Months before scheduled launch date Termination fee, (d) Reflight scheduling. NASA will at-
percent of Shuttle tempt to schedule a payload reflight at
when termination occurs standard flight price
the earliest opportunity, but normally
11 or more but less than 12 .................. 18 no earlier than 14 months after a deter-
10 or more but less than 11 .................. 19
mination is made that a customer is
9 or more but less than 10 .................... 20
8 or more but less than 9 ...................... 22 entitled to, and in fact requests a re-
7 or more but less than 8 ...................... 23 flight.
6 or more but less than 7 ...................... 24
Less than 6 ............................................ 25 1214.110 Reflight.
(a) NASA will provide a reflight of a
(2) The termination fee for shared customers payload under conditions
flights will be the sum of all payments defined in the launch agreement. The
previously paid or due for the standard standard flight price for reflights will
flight price, as defined in be based on NASAs marginal cost as
1214.103(h)(2), at the time of termi- defined in 1214.102(f). Reflights only
nation. apply to dedicated flights and those
(b) NASA may establish, in the shared-flight payloads that can be ac-
launch agreement, certain conditions commodated on a standard launch as
under which the customer may termi- defined in 1214.117.
nate a payload launch with reduced (b) Reflights as defined in this
termination fees if NASA delays the 1214.110 apply only to the same pay-
launch of the customers payload for an load involved in the launch that neces-
extended period. sitated the reflight, or to an essen-
(c) Customers terminating the flight tially identical payload with essen-
of a payload may also be subject to new tially identical integration and flight
or additional charges for optional serv- operations requirements.
ices.
1214.111 Rendezvous services.
1214.109 Scheduling.
(a) A rendezvous mission involves the
(a) Establishment of a launch date. (1) rendezvous of the Space Shuttle orbiter
NASA will assign a tentative launch with an orbiting spacecraft for one or
date for a payload only after NASAs more of the following purposes:
receipt, review and acceptance of a cus- (1) Retrieval and return to Earth of
tomer-submitted NASA Form 1628 re- the orbiting spacecraft (or part there-
questing flight assignment and NASAs of), including a spacecraft deployed
receipt of the customers earnest earlier on the same Space Shuttle
money. flight.
(2) NASAs confirmation of a par- (2) Exchange of a spacecraft (or part
ticular launch date will be at the time thereof) delivered to orbit on a par-
a launch services agreement is signed, ticular Space Shuttle mission for an al-
normally not later than 36 months ready orbiting spacecraft (or part
prior to the desired launch date. thereof) and return of already orbiting
(b) NASA changes to launch date. spacecraft to Earth.
NASA will attempt to maintain the (3) Revisit of an orbiting spacecraft
customers launch date as long as the for purposes such as resupply, repair,
customers obligations, as established reboost or inspection.
by NASA, are met. However, NASA (b) Mission operational requirements
may revise the launch date under those and associated optional service charges
circumstances contained in the launch and conditions for both dedicated and
agreement. If practical, NASA launch shared flight rendezvous services will
date changes will be in consultation be negotiated on a case-by-case basis.
with the customer; however, NASA re-
serves the unilateral right to make de- 1214.112 Patent, data and informa-
cisions with regard to launch sched- tion matters.
ules. (a) Patent and data rights. NASA will
(c) Payload delivery. NASA, in con- not acquire rights to inventions, pat-
sultation with the customer, will es- ents or proprietary data which may be
tablish a date for payload delivery to used in, or arise from, activities for
the launch site. which a customer has reimbursed
94
NASA under the policies set forth here- (c) One day of single-shift, on-orbit
in. However, in certain instances in mission operations.
which the NASA Administrator has de- (d) A five-person flight crew: com-
termined that activities may have a mander, pilot and three mission spe-
significant impact on the public cialists.
health, safety or welfare, NASA may (e) Orbiter flight planning services.
obtain assurances from the customer (f) One day of transmission of pay-
that the results will be made available load data to compatible receiving sta-
to the public on terms and conditions tions via an Independent Payload Data
reasonable under the circumstances. Stream. (Subject to availability, NASA
(b) Information. All customers will be may make excess orbiter instrumenta-
required to furnish NASA with suffi- tion downlink capability available to
cient information to ensure Shuttle payloads at no additional charge.)
safety and NASAs and the U.S. Gov- (g) Deployment of a free flyer, pro-
ernments continued compliance with vided the payload meets all the condi-
law, published policy and the U.S. Gov- tions stated in 1214.118.
ernments obligations. (h) NASA support of selected payload
design reviews.
1214.113 Allocation of risk. (i) Prelaunch payload installation,
The U.S. Government will assume no verification and orbiter compatibility
risk for damages to the customer re- testing.
sulting from certain activities con- (j) NASA payload safety reviews.
ducted under the launch agreement or
to third parties resulting from launch 1214.116 Typical optional services.
related activities or on-orbit oper- Typical optional services that may
ations. The customer will be required be provided by NASA include the fol-
to agree to be bound by a cross-waiver lowing, and will be further defined and
of liability among the customer, other limited in payload integration docu-
customers, related entities and NASA mentation agreed upon by NASA and
for all activities under the launch the customer.
agreement. The customer will also be (a) Use of Extended Duration Orbiter
required to purchase third-party liabil- (EDO) capability or other mission kits
ity insurance covering launch and on- to extend basic orbiter capability.
orbit operations in an amount deemed (b) Extravehicular activity (EVA)
appropriate by NASA. services.
(c) Transportation to orbit of all or a
1214.114 Provision of services. part of the customers payload in other
NASA will provide, solely at its dis- than the orbiter cargo bay.
cretion, services to the extent con- (d) Unique payload/orbiter integra-
sistent with U.S. obligations, law, pol- tion and test.
icy and capability. (e) Payload mission planning serv-
ices, other than for launch, deployment
1214.115 Standard services. and entry phases.
Standard services for the Space Shut- (f) Additional time on orbit.
tle are generically defined in NASA (g) Payload data processing.
document NSTS 07700, Volume XIV. (h) Flight of payload specialists.
The standard services to be provided (i) Transmission of payload data via
for a specific payload will be agreed to an Independent Payload Data Stream
between NASA and the customer in the during additional time on orbit.
launch agreement and associated pay- (j) Transmission of payload data via
load integration documentation. Typ- a Direct Data Stream.
ical standard services include the fol-
lowing for each customer. 1214.117 Launch and orbit param-
(a) A standard launch that meets the eters for a standard launch.
criteria established in 1214.117. To qualify for the standard flight
(b) Transportation of the customers price, all payloads must meet the fol-
payload in the orbiter cargo bay in a lowing launch criteria:
location selected by NASA. (a) For dedicated flights:
95
1214.118 14 CFR Ch. V (1116 Edition)
(1) Launch from Kennedy Space Cen- (b) Definitions(1) Spacelab elements.
ter (KSC) into the customers choice of Pallets (3-meter segments), pressurized
two standard mission orbits: 160 NM modules (long or short), and the
circular orbit, 28.5 inclination (nomi- FMDM/MPESS (1-meter cross-bay
nal), or 160 NM circular orbit, 57 incli- structure), all as maintained in the
nation (nominal). NASA-approved Spacelab configura-
(2) Launch on a date selected by tion.
NASA within the scheduling con- (2) Spacelab standard flight price. The
straints specified in the launch agree- price for standard services provided to
ment. Spacelab customers. If a customer
(3) Launch at a time, selected by elects not to use a portion of the stand-
NASA, from a launch window of not ard services, the Spacelab standard
less than 1 hour (a more restrictive flight price will not be affected. The
launch window may be provided as an Spacelab standard flight price is a pro
optional service). rata share of:
(b) For shared flights from KSC to (i) The dedicated flight price as de-
the standard mission orbit of 160 NM fined in 1214.102(c);
circular orbit, 28.5 inclination (nomi- (ii) The standard price for use of the
nal): selected Spacelab elements; and
(1) Launch on a date selected by (iii) For complete-pallet and shared-
NASA within the scheduling con- element flights:
straints specified in the launch agree- (A) The price for 6 extra days on
ment. orbit; and
(2) Launch at any time of day, se- (B) The price for 7 days of second-
lected by NASA. shift operation.
(c) Mandatory use of dedicated-Shuttle
1214.118 Special criteria for Spacelab flight. (1) The customer will be
deployable payloads. required to fly under the provisions of
1214.119(d)(3), if the customer requires
To qualify for the standard flight
exclusive use of any of the following:
price, deployable payloads must meet
(i) Pressurized module (long or
certain criteria in terms of time of day
short).
of launch, and other factors. These cri-
(ii) Three pallets in the 1+1+1 con-
teria will be specified in the launch
figuration.
agreement and associated payload inte-
(iii) Four pallets in the 2+2 con-
gration documentation.
figuration.
1214.119 Spacelab payloads. (2) In the cases cited in paragraph
(1)(i) of this section, if the customer re-
(a) Special provisions. This 1214.119 quests, NASA will attempt to find com-
establishes the special provisions for patible sharees to fly with the cus-
Spacelab services provided to Space tomers payload. If NASA is successful,
Shuttle customers. Where designated, the customers Shuttle standard flight
provisions of this 1214.119 supersede price will be the greater of:
those of other portions of this docu- (i) The dedicated flight price less re-
ment. The following five types of imbursements from sharees actually
Spacelab flights are available to ac- flown; or
commodate payload requirements: (ii) The computed Shuttle shared-
(1) Dedicated-Shuttle Spacelab flight flight price for the customers Spacelab
(Ref. 1214.119(d)(3)). payload.
(2) Dedicated-pallet flight (Ref. (d) Reimbursement for standard serv-
1214.119(d)(4)). ices. (1) Customers will reimburse
(3) Dedicated-FMDM/MPESS (flexible NASA an amount equal to the Spacelab
multiplexer-demultiplexer/multipur- standard flight price computed accord-
pose experiment support structure) ing to the following provisions:
flight (Ref. 1214.119(d)(4)). (2) Earnest money. For those cus-
(4) Complete-pallet flight (Ref. tomers required to pay earnest money
1214.119(d)(5)). in accordance with 1214.103(h)(1), the

(5) Shared-element flight (Ref. total earnest money payment per pay-
1214.119(d)(6)). load for Spacelab payloads (including
96
Shuttle services) will be either $150,000 Shuttle load factor as defined in

or 10 percent of the customers esti- 1214.119(l)(4)(i) for dedicated pallets
mated Spacelab standard flight price, and in 1214.119(l)(5)(ii) for a dedicated
whichever is less. FMDM/MPESS.
(3) Dedicated-Shuttle Spacelab flight. (B) The exclusive services of the pal-
(i) A dedicated-Shuttle Spacelab flight let (or FMDM/MPESS) and all Spacelab
is a Shuttle flight flown for a single hardware provided to support the pal-
customer who is entitled to select the let (or FMDM/MPESS).
Spacelab elements used on the flight. (C) One day of one-shift on-orbit op-
(ii) In addition to the standard serv- erations.
ices listed in 1214.119(j), the following (D) Launch on a shared standard
standard services are provided to cus- Shuttle flight as defined in 1214.117.
tomers of dedicated-Shuttle Spacelab (E) A pro rata share of the on-orbit
flights and form the basis for the payload operations time of two NASA-
Spacelab standard flight price: furnished mission specialists, where
(A) Use of the full standard services the basis of proration will be the cus-
of the Shuttle and the Spacelab ele- tomers Shuttle load factor.
ments selected. (iii) Customers contracting for a
(B) One day of one-shift on-orbit op- dedicated-pallet (or FMDM/MPESS)
erations. flight will reimburse NASA for stand-
(C) Standard mission destinations ard services an amount that is the sum
consistent with launch criteria as de- of:
fined in 1214.117. (A) The product of the customers
(D) The available payload operations Shuttle charge factor and the dedi-
time of two NASA-furnished mission cated flight price as defined in
specialists. 1214.102(c); and
(iii) Customers contracting for a (B) The price for the use of the pallet
dedicated-Shuttle Spacelab flight will (or FMDM/MPESS) selected (including
reimburse NASA for standard services all necessary mission-independent
an amount that is the sum of: Spacelab equipment).
(A) The dedicated flight price as de- (5) Complete pallet. (i) A complete
fined in 1214.102(c); and Spacelab pallet is one that is flown for
(B) The price for the use of all Space- a single customer, but flies with other
lab elements used (including all nec- Spacelab elements on a NASA or
essary mission-independent Spacelab NASA-designated Spacelab flight and
equipment). shares the common standard Spacelab
(4) Dedicated 3-meter pallets and dedi- services (e.g., shares an igloo with
cated FMDM/MPESS. (i) A dedicated other pallets).
pallet (or a dedicated FMDM/MPESS) (ii) In addition to a pro rata share of
is one that is flown for a single cus- the standard services listed in
tomer and includes all Spacelab hard- 1214.119(j), the following standard
ware necessary to permit it to be flown services are provided to customers of
on any shared flight as an autonomous complete pallets and form the basis for
payload (e.g., a dedicated 3-meter pal- the Spacelab standard flight price:
let may either be supplied with its own (A) The pallets pro rata share of
exclusive igloo or be flown without an standard services listed in 1214.115,
igloo, if it requires only standard Shut- where the basis of proration will be the
tle services). customers Shuttle load factor as de-
(ii) In addition to a pro rata share of fined in 1214.119(l)(6)(i).
the standard services listed in (B) A pro rata share of 7 days of two-
1214.119(j), the following standard shift on-orbit operations, where the
services are provided to customers of basis of proration will be the cus-
dedicated pallets (or dedicated FMDM/ tomers Shuttle load factor.
MPESS) and form the basis for estab- (C) Mission destination selected by
lishing the Spacelab standard flight NASA in consultation with the cus-
price: tomer.
(A) A pro rata share of the standard (D) Assignment, with the customers
services listed in 1214.115, where the concurrence, to a Spacelab flight des-
basis for proration is the customers ignated by NASA.
97
1214.119 14 CFR Ch. V (1116 Edition)
(E) Launch date established by (C) A pro rata share of the elements
NASA. share of standard services listed in
(F) A pro rata share of the on-orbit 1214.115, where the basis for proration
payload operations time of two NASA- will be the customers Spacelab load
furnished mission specialists and two fraction.
payload specialists, where the basis of (D) A pro rata share of 7 days of two-
proration will be the customers Shut- shift on-orbit operations, where the
tle load factor. basis of proration will be the cus-
(G) Use of the entire volume above a tomers Shuttle load factor as defined
pallet. in 1214.119(l)(7)(i).
(iii) Customers contracting for com- (E) Mission destination selected by
plete-pallet flights will reimburse NASA in consultation with the cus-
NASA for standard services an amount tomer.
which is the sum of: (F) Assignment, with the customers
(A) The product of the customers concurrence, to a Spacelab flight des-
Shuttle charge factor and the sum of: ignated by NASA.
(1) The dedicated flight price as de- (G) Launch date established by
fined in 1214.102(c). NASA.
(2) The charge for 6 extra days of one- (H) A pro rata share of the on-orbit
shift on-orbit operations. operations time of two NASA-furnished
(3) The standard price for additional mission specialists, where the basis of
services required to support a second proration will be the customers Shut-
shift of on-orbit operations for 7 days. tle load factor.
(B) The price for the use of a com- (iii) Customers contracting for
plete pallet, including all necessary shared-element flights will reimburse
mission-independent Spacelab equip- NASA for Standard services an amount
ment. that is the sum of:
(6) Shared element. (i) A shared ele- (A) The product of the customers
ment is a Spacelab pallet, FMDM/ Shuttle charge factor and the sum of:
MPESS, or module that: (1) The dedicated flight price as de-
(A) May be shared by two or more fined in 1214.102(c);
customers on a NASA-designated (2) The charge for 6 extra days of one-
Spacelab flight; and shift on-orbit operations; and
(B) Shares common standard services (3) The standard price for additional
with other Spacelab elements on the services required to support a second
same flight. shift of on-orbit operations for 7 days.
(ii) In addition to a pro rata share of (B) The product of the customers
the standard services listed in element charge factor and the price for
1214.119(j), the following standard the use of the Spacelab element being
services are provided to customers of used, including all necessary mission-
shared elements and form the basis for independent Spacelab equipment.
the Spacelab standard flight price: (e) Minor delays. The minor delay pro-
(A) For shared pallets, a pro rata visions of 1214.106 will apply only to
share of the standard services provided those Spacelab payloads whose Shuttle
by a pallet. The basis of proration will load factor is equal to or greater than
be the customers Spacelab load frac- 0.05.
tion as defined in 1214.119(l)(7)(i)(A). (f) Postponement and termination. (1) A
(B) For shared modules, a pro rata customer may postpone the flight of a
share of the standard services provided Spacelab payload one time with no ad-
by a long module flown on a dedicated- ditional charge if postponement occurs
Shuttle Spacelab flight. The basis of more than 18 months before the sched-
proration will be the customers Space- uled launch date.
lab load fraction as defined in (2) Postponement or termination fees
1214.119(l)(7)(i)(B). The type of pressur- for Spacelab payloads will consist of
ized module actually used to meet a the sum of:
customers requirement for a shared (i) A fee for postponement or termi-
module will be determined by NASA nation of the Shuttle launch.

subsequent to launch agreement nego- (ii) A fee for use of the Spacelab ele-
tiations. ments.
98
(3) For Shuttle launch postponement orbit. If a complete-pallet or shared-

and termination fee customers will be element flight is prematurely termi-
governed by the provisions of 1214.107 nated, NASA will refund a pro rata
or 1214.108, as appropriate. share of the charges for planned, but
(4) The postponement and termi- unused, extra days on orbit to cus-
nation fees for use of the Spacelab ele- tomers whose payload operations are,
ments are computed as a percentage of in NASAs judgment, adversely af-
the customers price for use of the fected by such premature termination.
Spacelab elements and will be based on The basis for proration will be the cus-
the table below. When postponement or tomers Shuttle load factor.
termination occurs less than 18 months (i) Integration of payloads. (1) The cus-
before launch, the fees will be com- tomer will bear the cost of the fol-
puted by linear interpolation using the lowing typical Spacelab-payload mis-
points provided. sion management functions:
Fee for use of (i) Performing analytical design of
Spacelab ele- the mission.
ment(s), percent
Months before scheduled launch date of price for use (ii) Generating mission requirements
of element(s)
when postponement or termination occurs and their documentation in the Pay-
Post- Termi- load Integration Plan (PIP).
pone- nation (iii) Providing mission-unique train-
ment
ing and payload specialists (if appro-
Dedicated Flights, Dedicated Elements, and Dedicated
FMDM/MPESS
priate).
(iv) Physically integrating experi-
18 or more ................................................. 5 10 ments into racks and/or onto pallets.
12 ............................................................... 14 20
3 ................................................................. 60 85 (v) Providing payload-unique soft-
0 ................................................................. 75 100 ware for use during ground processing,
Complete Pallets and Shared Elements
on orbit or in POCC operations.
(vi) Providing operation support.
18 or more ................................................. 5 10
12 ............................................................... 18 80
(vii) Ensuring the mission is safe.
9 ................................................................. 32 95 (2) All physical integration (and de-
8 or less ..................................................... 95 100 integration) of payloads into racks and/
or onto pallets will normally be per-
(5) At the time of signing of the formed at KSC by NASA. When the
launch agreement, NASA will define a customer provides Spacelab elements,
payload removal cutoff date (relative these physical integration activities
to the launch date) for each Spacelab may be done by the customer at a loca-
payload to be flown on a shared flight. tion chosen by the customer.
A customer may still postpone or ter-
(3) Except for the restrictions noted
minate a flight after the payloads cut-
in paragraph (i)(2) of this section, and
off date; however, NASA will not be re-
quired to remove the payload before the implementation of paragraph
flight. (i)(1)(vii), customers contracting for
(6) Customers postponing or termi- dedicated-Shuttle and dedicated-pallet
nating the flight of a payload may also flights may perform the Spacelab-pay-
be subject to new or additional charges load mission management functions
for optional services associated with defined in paragraph (i)(1) of this sec-
Shuttle or Spacelab support provided tion. NASA will assist customers in the
by NASA. performance of these functions, if re-
(g) Spacelab reflight. (1) For Spacelab quested. Charges for this service will be
payloads, the provisions of 1214.110 based on estimated actual costs, or ac-
apply. tual costs where appropriate, and will
(h) Premature termination of Spacelab be in addition to the price for standard
flights. If a dedicated-Shuttle Spacelab services.
flight, a dedicated-pallet flight or dedi- (4) For complete pallets or shared
cated-FMDM/MPESS flight is pre- elements, NASA will normally perform
maturely terminated, NASA will re- the Spacelab-payload mission manage-

fund the optional services charges for ment functions listed in paragraph
planned, but unused, extra days on (i)(1) of this section. Charges for this
99
1214.119 14 CFR Ch. V (1116 Edition)
service will be based on estimated ac- (12) Voice communications between

tual costs, or actual costs where appro- on-orbit flight personnel operating the
priate, and will be in addition to the customers payload and a NASA-des-
price for standard services. ignated payload monitoring and con-
(5) Integration of payload entities trol facility.
mentioned in paragraphs (i)(2) through (13) NASA payload safety review. 1
(i)(4) of this section with NASA-fur- (14) NASA support of payload design
nished Spacelab support systems and reviews. 1
with the Shuttle will be performed by (k) Typical optional services for Space-
NASA as a standard service for all pay- lab payloads. The following are typical
loads flown on customer-furnished optional Spacelab services.
Spacelab elements. Customers will be (1) Use of special payload support
available to participate as required by equipment, e.g., instrument pointing
NASA in these levels of integration. system.
Customer equipment will be operated
(2) Nonstandard mission destination.
only to the extent necessary for inter-
face verification. Customers requiring (3) Additional time on orbit.
additional payload operation after de- (4) Mission-independent training, use
livery of the payload to NASA will ne- of, and accommodations for all flight
gotiate such operation as an optional personnel in excess of five.
service. (5) Mission-dependent training of all
(j) Common standard services for Space- NASA-furnished personnel and
lab payloads. The following standard backups.
services are common to all Spacelab (6) Analytical and/or hands-on inte-
flights: gration (and de-integration) of the cus-
(1) Use of Shuttle 1 and Spacelab tomers payload into racks and/or onto
hardware. pallets.
(2) Spacelab interface analysis. (7) Unique integration or testing re-
(3) A five-person NASA flight crew quirements.
consisting of commander, pilot and (8) Additional resources beyond the
three mission specialists. customers pro rata share.
(4) Accommodations for a five-person (9) Additional experiment time or
flight crew. crew time beyond the customers pro
(5) Prelaunch integration and inter- rata share.
face verification of preassembled racks (10) Special access to and/or oper-
and pallets (Levels III, II and I for ation of payloads.
NASA-furnished Spacelab hardware; (11) Customer-unique requirements
Level I only for customer-furnished for: software development for the Com-
Spacelab hardware). mand and Data Management Sub-
(6) Shuttle 1 and Spacelab flight plan- system (CDMS) onboard computer, con-
ning. figuration of the Payload Operations
(7) Payload electrical power. Control Center (POCC) and/or CDMS
(8) Payload environmental control. used during KSC ground processing.
(9) On-board data acquisition and (12) Extravehicular Activity (EVA)
processing services. services.
(10) One day of transmission of pay- (13) Payload flight planning services.
load data to compatible receiving sta- (14) Transmission of Spacelab data
tions via an Independent Payload Data contained in the Shuttle OI telemetry
Stream. (Subject to availability NASA link to a location other than a NASA-
may make excess orbiter instrumenta- designated monitoring and control fa-
tion downlink capability available to cility.
payloads at no additional charge.) 1 (15) Transmission of payload data via
(11) Use of NASA-furnished standard an Independent Payload Data Stream
payload monitoring and control facili- during additional time on orbit.
ties. (16) Transmission of payload data via
a Direct Data Stream.

1 Typical standard Shuttle services re- (17) Level III/II integration of cus-
peated for clarity. tomer-furnished Spacelab hardware.
100
(l) Computation of sharing and pricing (B) Clearances for movable payloads.
parameters(1) General. (i) Computa- (C) Unusual access clearance require-
tional procedures as contained in the ments.
following subparagraphs will be applied (D) Clearances extending beyond the
as indicated. The procedure for com- bounds of the normal element enve-
puting Shuttle load factor, charge fac- lope.
tor and flight price for Spacelab pay- (E) Extraordinary shapes.
loads replaces the procedure contained
in 1214.103. The adjusted values will be used as the
(ii) Shuttle charge factors as derived basis for computing charge factors and
herein apply to payloads meeting the prorating services.
launch and orbit criteria established in (2) Definitions used in computations. (i)
1214.117. Customers will reimburse Lc = Chargeable payload length, m. The
NASA an optional services fee for total length in the cargo bay occupied
flights to nonstandard destinations. by the customers experiment and the
(iii) The customers total Shuttle Spacelab element(s) used to carry it.
charge factor will be the sum of the (ii) Wc = The weight, kg, of the cus-
Shuttle charge factors for the customers payload and the customers pro
tomers individual (dedicated, complete rata share of the weight of NASA mis-
or shared) elements, with the limita- sion-peculiar equipment carried to
tion that the customers Shuttle meet the customers needs.
charge factor will not exceed 1.0. (3) Dedicated-Shuttle Spacelab flight (1-
(iv) Customers contracting for pallet-
day mission). The total reimbursement
only payloads are entitled to locate
is as defined in 1214.119(d)(3)(iii).
minimal controls as agreed to by
NASA in a pressurized area to be des- (4) Dedicated-pallet flight (1-day mis-
ignated by NASA. There is no addi- sion). (i) The Shuttle load factors,
tional charge for this service. charge factors and nominal payload ca-
(v) NASA will, at its discretion, ad- pacities for dedicated-pallet flights are
just, up or down, the load factors and shown in the table below. Subject to
load fractions calculated according to other Shuttle Spacelab structural lim-
the procedures defined in this section. its, customers are entitled to use the
Adjustments will be made for special payload weight capability of the pal-
space or weight requirements, which lets as indicated in the table. Payload
include, but not limited to: weights in excess of those shown are
(A) Sight clearances, orientation or subject to NASA approval and may en-
placement limits. tail optional services charges.
Load Factor Charge Factor Nominal Payload Capac-
ity, kg
No. of Pallets FMDM Con- FMDM Con-
With Igloo With Igloo FMDM Con-
figuration figuration With Igloo figuration
1 ............................................................ 0.228 0.189 0.305 0.252 2,325 2,950

2 ............................................................ 0.392 NA 0.523 NA 4,470 NA
3-pallet train* ......................................... 0.556 NA 0.742 NA 4,435 NA
2+1 config. ............................................ 0.594 NA 0.792 NA 7,750 NA
*Three pallets requiring the 1+1+1 configuration will be flown on a dedicated-flight basis [See 1214.119(c)(1)].
(ii) Total reimbursement. The cus- (ii) Shuttle load factor. (A) The Shut-
tomers total reimbursement is as de- tle load factor is defined as the max-
fined in 1214.119(d)(4)(iii). imum of:
(5) Dedicated FMDM/MPESS flight (1-
day mission)(i) Shuttle charge factor. Lc
The Shuttle charge factor for dedicated 18.29 m
FMDM/MPESS flights is defined as:
or
EC09SE91.001</MATH>
Shuttle Load Factor

0.75
101
EC09SE91.000</MATH>
1214.119 14 CFR Ch. V (1116 Edition)
Wc + 767 Wc
21,542 kg 2,583 kg
(B) The minimum value of Lc is based or
on the element length, plus clearances,
and is 1.18 m. Payload volume, m 3
(iii) Total reimbursement. The cus-
tomers total reimbursement is as de- 15 m 3
fined in 1214.119(d)(4)(iii).
(6) Complete pallets (7-day mission). (i) Shuttle load factor is the greater of:
The Shuttle load factor and charge fac-
tor for a complete pallet are 0.198 and Payload volume, m 3
0.228, respectively, and its payload 76 m 3
weight capability is 2,583 kg. Subject to
other Shuttle or Spacelab structural or
limits, customers are entitled to use
this payload weight capability. Pay- Wc
load weight in excess of 2,583 kg is sub- 4,319 kg
ject to NASA approval and may entail
optional service charges. (B) Pressurized module. Spacelab load
(ii) Total reimbursement. The cus- fraction and Shuttle load factor are
tomers total reimbursement is as de- identical and are the greater of:
fined in 1214.119(d)(5)(iii).
(7) Shared elements (7-day mission)(i) Wc
Spacelab load fractions and Shuttle load 13,045 kg
factors(A) Pallet. Spacelab load frac-
tion is the greater of: or
EC09SE91.008</MATH>
2 ( Experiment volume) + Storage volume, m 3
40 m 3
EC09SE91.007</MATH>
(ii) Shuttle charge factors and element If the Shuttle load factor is: The Shuttle charge fac-
charge factors for pressurized modules. tor will be:
Shuttle charge factors and element Less than 0.00375 ......................... 0.005
charge factors are identical and are de- 0.00375 to 0.75 ............................. Shuttle load factor
fined as follows:
EC09SE91.006</MATH>
divided by 0.75
Greater than 0.75 .......................... 1.0
The element charge fac-
If the Spacelab load fraction (and tor and Shuttle charge
Shuttle load factor) is: (v) Total reimbursement. (A) The cus-
factor will be:
tomers total reimbursement is as de-
Less than 0.00435 ......................... 0.005
0.00435 to 0.87 ............................. Spacelab load fraction fined in 1214.119(d)(6)(iii).
divided by 0.87 (B) If a customer contracts for por- EC09SE91.005</MATH>
Greater than 0.87 .......................... 1.0 tions of more than one element, the
charges for the use of the elements will
(iii) Element charge factors for shared
apply individually to each element
pallets.
used.
EC09SE91.004</MATH>
If the Spacelab load fraction is: The element charge fac- (vi) Pressurized module experiment vol-
tor will be:
ume. Experiment volume in the pres-
Less than 0.0189 ........................... 0.0218 surized module is defined to be the sum
0.0189 to 0.87 ............................... Spacelab load fraction of the customers payload volume in
divided by 0.87
Greater than 0.87 .......................... 1.0 racks and in the center aisle.
EC09SE91.003</MATH>
(A) Rack volume is defined relative

(iv) Shuttle charge factors for shared to basic Air Transportation Rack
pallets. (ATR) configurations. The customers
102
EC09SE91.002</MATH>
rack volume will be defined as the vol- gram, i.e., European Space Agency
ume of one or more rectangular (ESA), ESA member or observer na-
parallelepipeds (rectangular-sided tions participating in Spacelab devel-
boxes) which totally enclose the cuss opment, and Canada, when conducting
payload. Width dimensions will be ei- experimental science or experimental
ther 45.1 or 94.0 centimeters. Height di- applications missions with no near-
mensions will be integral multiples of term commercial implications.
4.45 centimeters. Depth dimensions will
be 61.2 or 40.2 centimeters. 1214.202 Reimbursement policy.
(B) Center aisle space volume is de- (a) Features of policy. (1) All users will
fined as the volume of a rectangular
be charged on a fixed price basis; there
parallelepiped which totally encloses
will be no post-flight charges, except
the customers payload. No edge of the
for prespecified optional services.
parallelepiped will be less than 30 cen-
timeters in length. (2) The price will be based on esti-
(vii) Pressurized module storage volume. mated costs.
Storage volume in the pressurized mod- (3) The price will be held constant for
ule is defined as the volume of one or flights in the first three years of Space
more rectangular parallelepipeds en- Transportation System (STS) oper-
closing the customers stowed payload. ations.
No edge of the parallelepiped(s) will be (4) Payments shall be escalated ac-
less than 30 centimeters in length. cording to the Bureau of Labor Statis-
(viii) Pallet payload volume. Volume tics Index for Compensation per hour,
of the customers pallet-mounted pay- Total Private.
load is defined as the volume of a rec- (5) Subsequent to the first three
tangular parallelepiped enclosing the years, the price will be adjusted annu-
pallet payload and customer-dictated ally to insure that total operating
mounting hardware. No edge of the costs are recovered over a twelve-year
parallelepiped will be less than 30 cen- period.
timeters in length. (6) Pricing incentives are designed to
maximize the proper utilization of the
Subpart 1214.2Reimbursement STS.
for Shuttle Services Provided (b) Dedicated flight reimbursements. (1)
to Civil U.S. Government Users For the purposes of this policy, a dedi-
and Foreign Users Who Have cated flight is one sold to a single user.
Made Substantial Investment (2) The policy is established for two
in the STS Program distinct phases of Shuttle operations.
The first phase is through the third full
SOURCE: 42 FR 8631, Feb. 11, 1977, unless
fiscal year of Shuttle operations and
otherwise noted. the second phase consists of nine full
fiscal years subsequent to the first
1214.200 Scope. phase.
This subpart 1214.2 sets forth: (i) For a dedicated Shuttle flight dur-
(a) The policy on reimbursement for ing the first phase, NASA shall be re-
Shuttle services which are provided by imbursed in an amount which is a pro-
NASA to users (as defined in 1214.201) rata share of forecast additive costs
under launch services agreements, and averaged over the first phase of three
(b) Responsibilities for putting such years; however, the price shall not be
policy into effect and carrying it out. less than a pro-rata share of forecast
total operating costs averaged over
1214.201 Definition. both the first and second phases of the
For the purpose of this subpart, the twelve year Shuttle operation period.
term users means: (ii) For a dedicated Shuttle flight
(a) For all civil U.S. Government during the second phase, NASA shall be
agencies who request Shuttle services reimbursed a pro-rata share of forecast
from NASA, and total operating costs over both phases

(b) Foreign users who have made sub- to insure that total operating costs are
stantial investment in the STS pro- recovered over the twelve year period.
103
1214.202 14 CFR Ch. V (1116 Edition)
(iii) The definition of the costs are will occur within a period of ninety
specified in this subpart are set forth days, beginning on the desired launch
in appendix A to this subpart. date. One year prior to flight, a pay-
(iv) Subject to NASA approval, a load delivery date and a firm launch
dedicated flight user may apportion date will be coordinated among the
and assign STS services to other STS shared flight users. This firm launch
users provided they satisfy STS user date will be within the first thirty days
requirements. The price of integrating of the original ninety day period. The
additional payloads will be negotiated. launch will occur on the firmly sched-
(v) A summary of standard Shuttle uled launch date or within a perod of
services included in the flight price is sixty days thereafter. The payloads
set forth in appendix B to subpart must be ready to launch for the dura-
1214.1. tion of that period.
(vi) The prices of optional Shuttle (3) A 20 percent discount on the
services are being developed and shall standard flight price will be given to
be set forth in the Shuttle Price Book shared flight users who will fly on a
which is being developed. A summary space-available (standby) basis. NASA
of the optional services is set forth in will provide launch services within a
appendix C to subpart 1214.1. prenegotiated period of one year.
(vii) For the user with an experi- Shared flight payloads must be flight
mental, new use of space or first time deliverable to the launch site on the
use of space of great public value, the first day of the one year period and
reimbursement to NASA for the dedi-
sustain that condition until delivery to
cated, standard Shuttle flight in either
the launch site. The user will be noti-
the first or second phase shall be a pro-
fied sixty days prior to the firmly
rata share of the average twelve year
scheduled launch date which has been
additive costs as estimated at the time
established by NASA. At that time,
of negotiations. Programs which qual-
NASA will also establish a payload de-
ify for this price will be determined by
livery date. The payload must be avail-
an STS Exceptional Program Selection
able at the launch site on the assigned
Process. In all cases, the Administrator
delivery date and ready to launch for a
will be the selection official.
period of sixty days after the firmly
(viii) For dedicated flight users,
NASA and the user will identify a de- scheduled launch date.
sired launch date within a period of (d) Small self-contained payloads.
ninety days three years prior to flight. Packages under 200 pounds and smaller
One year prior to the flight, a firm than five cubic feet which require no
launch and payload delivery date will Shuttle services (power, deployment,
be identified by NASA. The firm launch etc.), and are for R&D purposes, will be
date will be within the first sixty days flown on a space-available basis during
of the original ninety day period. both phases of Shuttle operation. The
Launch will occur on the firmly sched- price for this service will be negotiated
uled launch date or within a period of based on size and weight, but will not
thirty days thereafter. The payload exceed $10,000 in 1975 dollars. A min-
must be ready to launch for the dura- imum charge of $3,000 in 1975 dollars
tion of that period. will be made. If Shuttle services are re-
(c) Shared flight reimbursements. (1) quired, the price will be individually
The price of a shared Shuttle flight negotiated. Reimbursement to NASA
will be a fraction of the dedicated will be made at the time the package is
Shuttle flight price. The fraction will scheduled for flight.
be based on the length and weight of (e) Options. (1) In order to allow the
the payload and the mission destina- user greater flexibility in selecting a
tion at the time of contract negotia- launch date, the user may purchase a
tions. The formula for computing the floating launch date option. At the
fraction is set forth in appendix D to time of contract execution, the user
subpart 1214.1. will begin to make payments according
(2) For shared flight users, NASA and to a 33 month reimbursement schedule
the user will identify a desired launch for this launching. At any time during
date three years prior to flight. Launch Phase 1 or 2, the user may exercise this
104
option by informing NASA of his de- who contract for Shuttle services less
sired launch date for this option which than three years before the desired
will then be negotiated by NASA and launch date will be accommodated and
the user. This launch date must be at will pay on an accelerated basis accord-
least 33 months after the date of the ing to the reimbursement schedule.
first reimbursement payment. If the (2) Standby payloads. (i) Before the es-
desired launch date is within one year tablishment of a firmly scheduled
of the date of declaration, the short launch date, the number of months be-
term call-up option and associated fee fore launch will be computed assuming
will apply. If the desired launch is to a launch date at the mid-point of the
occur in a year for which a new price designated one-year period.
per flight is in effect, the user will pay (ii) Once the firmly scheduled launch
the new price. The fee for this option is date is established, the user shall reim-
10 percent of the users flight price in burse NASA to make his payments cur-
effect at the time of contract execution rent according to the reimbursement
and is payable at that time. This fee schedule.
will not be applied to the price of the (3) Rembursement schedule.
users flight. [Percent of price]
(2) Options must be exercised for a
Months prior to scheduled
flight by the end of the second phase of Number of months before launch date
operations or the option fee will be re- launch flight is scheduled
33 27 21 15 9 3
tained by NASA.
(f) Fixed price period and escalation. (1) 33 months or more .................. 10 10 17 17 23 23
The price will remain constant for 27 to 32 months ...................... .... 21 17 17 23 23
21 to 26 months ...................... .... .... 40 17 23 23
flights during the first phase of Shuttle 15 to 20 months ...................... .... .... .... 61 23 23
operations. For flights during the sec- 9 to 14 months ........................ .... .... .... .... 90 23
ond phase, the price will be adjusted on 3 to 8 months .......................... .... .... .... .... .... ......
a yearly basis, if necessary, to assure
recovery of total operating costs over a This schedule holds unless there are
twelve-year period. These adjusted offsetting advantages to the U.S. Gov-
prices will be applicable only to agree- ernment of an accelerated launch
ments executed after the adjustment is schedule.
made. (4) Contracts for Shuttle services
(2) Shuttle services for both phases made one year or less before a flight
will be contracted on a fixed price and up to three months before a flight
basis. The payments in the contract will be made on a space-available basis
will be escalated to the time of the unless short term call-up option is
payment using the Bureau of Labor elected.
Statistics Index for Compensation per (i) Short term call-up option. (1) For
hour, Total Private. flights contracted on year or less be-
(g) Earnest money. Earnest money fore launch, but not less than three
shall be paid to NASA prior to NASAs months before launch, short term call-
accepting a launch reservation. The up will be provided to dedicated flight
earnest money required shall be users at the dedicated flight prices ac-
$100,000 per payload; however, if the cording to the reimbursement sched-
payload is a small self-contained pay- ule.
load, the earnest money shall be $500.00 (2) For dedicated flight users requir-
per payload. The earnest money shall ing short term call-up flights less than
be applied to the first payment for each three months before launch, NASA will
payload made by the customer, or shall provide STS launch services on a
be retained by NASA if a launch serv- space-available basis. NASA shall be
ices agreement is not signed. reimbursed the dedication flight price
(h) Reimbursement schedule. (1) Reim- according to the reimbursement sched-
bursement shall be made in accordance ule plus short term call-up additional
with the reimbursement schedule con- costs. The additional costs will be
tained in this subsection. No charges based on estimated costs to be in-
shall be made after the flight, except as curred.

negotiated in the contract for (3) For shared flights contracted one
prespecified extra services. Those users year or less before launch, but more
105
1214.202 14 CFR Ch. V (1116 Edition)
than six months before launch, users curs more than one year before launch.
may elect the short term call-up op- For subsequent postponed flights more
tion. The user shall reimburse NASA than one year before launch, the user
the standard shared flight price accord- shall reimburse NASA a postonement
ing to the reimbursement schedule plus fee of 5 percent of the users flight
a load factor-recovery fee. The load price. For postponements one year or
factor-recovery fee is half the dif- less before launch, the user shall reim-
ference between a dedicated flight burse NASA 5 percent of the users
price and the users shared flight price flight price plus an occupancy fee ac-
or the difference between a dedicated cording to the occupancy fee schedule
flight price and the total adjusted re- in appendix B.
imbursements from all shared users, (ii) If the postponement of a flight
whichever is less. causes the payload to be launched in a
(4) For shared flights contracted six year for which a different price per
months or less before launch, but more flight has been established, the new
than three months before launch, users price shall apply if it is higher than the
may elect the short term call-up op- originally contracted price.
tion. The user shall reimburse NASA (2) Standby payloads. (i) For flights
the standard share flight price accord- postponed more than six months prior
ing to the reimbursement schedule plus to the beginning of the negotiated one-
a load factor-recovery fee which is the year period, NASA shall renegotiate a
difference between a dedicated flight new one-year period during which
price and the total adjusted reimburse- launch will occur. No additional fee
ment from all shared flight users. will be imposed.
(5) Shared flights contracted three
(ii) For flights postponed six months
months or less before launch will be
or less prior to the beginning of the ne-
flown on a space-available basis. NASA
gotiated one-year period, the user shall
shall be reimbursed the shared flight
reimburse NASA 5 percent of the users
price according to the reimbursement
flight price plus an occupancy fee ac-
schedule plus short term call-up addi-
cording to the occupancy fee schedule
tional costs. These additional charges
set forth in appendix B.
will be based on estimated costs to be
incurred. (3) Postponement fees are payable
(6) For the purposes of this para- upon receipt of NASAs billing there-
graph, adjusted reimbursements is de- for.
fined to be reimbursements assuming (4) Flights postponed will henceforth
all shared users are among those de- be treated as newly scheduled launches
fined in 1214.201. according to the reimbursement sched-
(7) The load factor-recovery fee will ule. The number of months prior to
never be less than zero. launch will be taken as the total num-
(8) The load factor-recovery fee is ber or months between the date post-
payable upon receipt of NASAs billing ponement is elected and the new
therefor. launch date. Short term call-up options
(j) Accelerated launches. For users who and associated fees shall apply.
reschedule a launch so that it occurs (5) Minor delays (up to three days)
earlier than the planned launch, the caused by the users will not constitute
user will pay on an accelerated reim- a postponement. No fee will be charged
bursement schedule. The user will re- for a minor delay.
imburse NASA to make his payments (l) Cancellations(1) Non-standby pay-
current on the new accelerated reim- loads. Users who cancel a flight more
bursement schedule. If the time from than one year before launch shall reim-
notification of acceleration is less than burse NASA 10 percent of the users
one year from the new launch date, flight price. For a cancelled flight one
short term call-up reimbursements will year or less before launch, the user
also apply. shall reimburse NASA 10 percent of the
(k) Postponements(1) Non-standby users flight price plus an occupancy
payloads. (i) A user can postpone a fee as set forth in appendix B.

flight of his payload one time with no (2) Standby payloads. (i) Users who
additional charge if postponement oc- cancel a flight more than six months
106
prior to the beginning of the nego- publication of the data for a specified
tiated one-year period shall reimburse period of time.
NASA 10 percent of the users flight (b) The user will be required to fur-
price. nish NASA with sufficient information
(ii) For a flight cancelled six months to verify peaceful purposes and to in-
or less prior to the beginning of the ne- sure Shuttle safety and NASAs and
gotiated one-year period, the user shall the U.S. Governments continued com-
reimburse NASA 10 percent of the pliance with law and the Governments
users flight price plus an occupancy obligations.
fee as set forth in appendix B.
(3) Cancellation fees are payable 1214.205 Revisit and/or retrieval
upon receipt of NASAs billing there- services.
for. These services will be priced on the
[42 FR 8631, Feb. 11, 1977, as amended at 49 basis of estimated costs. If a special
FR 17736, Apr. 25, 1984] dedicated Shuttle flight is required,
the full dedicated price will be charged.
1214.203 Optional reflight guarantee. If the users retrieval requirement is
(a) If reflight insurance is purchased such that it can be accomplished on a
from NASA, NASA guarantees one re- scheduled Shuttle flight, he will only
flight of: pay for added mission planning, unique
(1) The launch and development of a hardware or software, time on orbit,
free flying payload into a Shuttle com- and other extra costs incurred by the
patible mission orbit if, through no revisit.
fault of the user, the first launch and
deployment attempt is unsuccessful 1214.206 Damage to payload.
and if the payload returns safely to The price does not include a contin-
earth or a second payload is provided gency or premium for damage that
by the user. may be caused to a payload through
(2) The launch of an attached payload the fault of the U.S. Government or its
into its mission orbit if the first launch contractors. The U.S. Government,
attempt is unsuccessful through no therefore, will assume no risk for dam-
fault of the user, and if the payload re- age or loss to the users payload. The
turns safely to earth or a second pay- users will assume that risk or obtain
load is provided by the user. insurance protecting themselves
(3) A launch of a Shuttle into a pay- against that risk.
load mission orbit for the purpose of
retrieving a payload if the first re- 1214.207 Responsibilities.
trieval attempt is unsuccessful through
no fault of the user. This guarantee (a) Headquarters officials. (1) The
only applies if the payload is in a safe NASA Comptroller, in coordination
retrievable condition as determined by with the Associate Administrator for
NASA. Space Flight will:
(b) Reflight insurance is not applica- (i) Prescribe guidelines, procedures,
ble to payloads or upper stages placed and other instructions which are nec-
into orbits other than the Shuttle mis- essary for estimating costs and setting
sion orbit. prices and publishing them in the
NASA Issuance System, and
1214.204 Patent and data rights. (ii) Review and arrange for the bill-
(a) When accommodating missions ing of users.
under this subpart, i.e., experimental (2) The Associate Administrator for
science or experimental applications Space Flight will arrange for:
missions for ESA, ESA member states (i) Developing estimates for costs and
or Canada with no near-term commer- establishing prices in sufficient detail
cial implications, NASA will obtain for to reveal their basis and rationale.
U.S. Governmental purposes rights to (ii) Obtaining approval of the NASA
inventions, patents and data resulting Comptroller of such estimates and re-
from such missions, subject to the lated information prior to the execu-
users retention of the rights to first tion of any agreement, and
107
Pt. 1214, Subpt. 1214.2, App. A 14 CFR Ch. V (1116 Edition)
(iii) Reviewing of final billings to In the event that, as a result of the post-
users prior to submission to the NASA ponement or cancellation, the Shuttle is not
Comptroller. launched at all for the intended flight, the
occupancy fee will be zero.
(b) Field installation officials. The Di- For purposes of this attachment, adjusted
rectors of Field Installations respon- reimbursements is defined to be reimburse-
sible for the STS operations will: ments assuming all users are among those
(1) Maintain and/or establish agency defined in 1214.201.
systems which are needed to identify
costs in the manner prescribed by the Subpart 1214.3Payload Special-
NASA Comptroller, ists for Space Transportation
(2) Compile financial records, reports, System (STS) Missions
and related information, and
(3) Provide assistance to other NASA
SOURCE: 54 FR 48587, Nov. 24, 1989, unless
officials concerned with costs and re-
otherwise noted.
lated information.
1214.300 Scope.
APPENDIX A TO SUBPART 1214.2 OF PART
1214COSTS FOR WHICH NASA (a) This revision of subpart 1214.3 re-
SHALL BE REIMBURSED defines the title of payload specialist
and sets forth NASAs policy on and
Total Operating Costs. Total Operating process for the determination of need,
Costs include all direct and indirect costs, selection, and utilization of payload
excluding costs of composing the use charge.
specialists and additional mission spe-
Such costs include direct program charges
for manpower, expended hardware, refurbish- cialists to be assigned to a Space
ment of hardware, spares, propellants, provi- Transportation System (STS) flight in
sions, consumables and launch and recovery addition to the standard NASA flight
services. They also include a charge for pro- crew.
gram support, center overhead and contract (b) This subpart does not apply to the
administration. selection of crew for the Space Station
Freedom. It is recognized that the
APPENDIX B TO SUBPART 1214.2 OF PART Space Station has unique requirements
1214OCCUPANCY FEE SCHEDULE regarding its crew and that a separate,
For a postponed or cancelled dedicated specifically tailored policy will need to
flight, the occupancy fee will be zero. be developed in the future.
For a postponed or cancelled shared flight,
the occupancy fee will be computed accord- 1214.301 Definitions.
ing to the computation instructions set forth (a) Payload specialists. Individuals
below. If the computation results in an occu-
other than NASA astronauts (com-
pancy fee which is less than zero, the occu-
pancy fee will be reset to zero. manders, pilots, and mission special-
For a postponed or cancelled shared flight ists), whose presence is required on
one year or less, but more than six months board the Space Shuttle to perform
before launch, the user shall reimburse specialized functions with respect to
NASA an occupancy fee of half the users operation of one or more payloads or
flight price less any adjusted reimburse- other essential mission activities.
ments from other users who contract for the (b) NASA or NASA-related payload. A
same flight subsequent to the postponement
specific complement of instruments,
or cancellation date.
For a postponed or cancelled shared flight
space equipment, and support hard-
six months or less before launch, the user ware, developed by a NASA Program
shall reimburse NASA an occupancy fee of Office or by another party with which
90% of the users flight price less any ad- NASA has a shared interest, and car-
justed reimbursements from other users who ried into space to accomplish a mission
contract for the same flight subsequent to or discrete activity in space.
the postponement or cancellation date. (c) Mission. The performance of a co-
For a given shared flight, if the occupancy herent set of investigations or oper-
fee so computed would result in total ad-
ations in space to achieve program
justed reimbursements (exclusive of the 5%
(10%) postponement (cancellation) fee) in ex- goals. A single mission might require
cess of the price of a dedicated flight, the oc- more than one flight or more than one
cupancy fee will be reduced in order to remission might be accomplished on a
cover the price of a dedicated flight. single flight.
108
(d) Mission manager. The official re- than career astronauts to participate
sponsible for the implementation of as onboard members of the flight crew
the payload portion of an STS flight(s). under specified conditions. The purpose
(e) Mission specialist. A career NASA of such participation by these individ-
astronaut trained and skilled in the op- uals is to ensure the achievement of
eration of STS systems related to pay- the payload or mission-related objec-
load operations and thoroughly famil- tives.
iar with the operational requirements (b) The STS will provide these addi-
and objectives of the payloads with tional crew members with a habitable
which the mission specialist will fly. working environment and support serv-
The mission specialist, when des- ices in such a way as to require a min-
ignated for a flight, will participate in imum of dedicated space flight train-
the planning of the mission and will be ing, allowing them to concentrate their
responsible for the coordination of efforts on the accomplishment of their
overall payload/STS interaction. The scientific, technical, or mission objec-
mission specialist will direct the allo- tives.
cation of STS and crew resources to
the accomplishment of the combined 1214.303 Policy.
payload objectives during the payload (a) General. (1) The Challenger acci-
operations phase of the flight in ac- dent marked a major change in the
cordance with the approved flight plan. U.S. outlook and policies with respect
(f) Investigator Working Group (IWG). to the flight of other than NASA astro-
A group composed of the Principal In- nauts. NASA and interested external
vestigators, or their representatives, parties, domestic and international,
whose primary purpose is facilitating must re-examine previous under-
or coordinating the development and standings, expectations, and commit-
execution of the operational plans of ments regarding flight opportunities in
an approved NASA program or report- light of the new policies now being
ing the progress thereof. enunciated.
(g) Payload sponsor. For NASA and (2) NASA policies and their imple-
NASA-related payloads the payload mentation recognize that:
sponsor is the Associate Administrator (i) Every flight of the Shuttle in-
of the sponsoring Program Office whose volves risks;
responsibilities are most closely re- (ii) Flight opportunities will now
lated to the particular scientific or en- generally be limited to professional
gineering discipline associated with a NASA astronauts and payload special-
payload. For all other payloads, the ists essential for mission requirements;
payload sponsor is identified by the As- and
sociate Administrator who contracts (iii) Top priority must be given to:
with the agency or organization, (A) Establishing, proving, and main-
whether foreign or domestic, private- taining the reliability and safety of the
sector or governmental, to fly a pay- Shuttle system;
load on the STS. (B) Timely and efficient reduction of
(h) Unique requirements. The need for the backlog of high priority scientific
a highly specialized or unusual tech- and national security missions; and
nical or professional background or the maximum utilization of the Shuttle ca-
need for instrument operations requir- pacity for primary and secondary pay-
ing a highly specialized or unusual loads that require transportation to or
background that is not likely to be from orbit by the Space Shuttle.
found in the group of mission special- (3) All Shuttle flights will be planned
ists or cannot be attained in a reason- with a minimum NASA crew of five as-
able training period. tronauts (commander, pilot, and three
mission specialists). When payload or
1214.302 Background. other mission requirements define a
(a) The Space Transportation System need and operational constraints per-
(STS) has been developed to expand the mit, the crew size can be increased to a
Nations capabilities to utilize the maximum of seven. Any such addi-

unique environment of space. It pro- tional crew members must be identi-
vides opportunity for individuals other fied at least 12 months before flight
109
1214.304 14 CFR Ch. V (1116 Edition)
and be available for crew integration at high priority missions. Accordingly,

6 months. flight opportunities for space flight
(4) NASA policy and terminology are participants are not available at this
revised to recognize two categories of time. NASA will assess Shuttle oper-
persons other than NASA astronauts, ations and mission and payload re-
each of which requires separate policy quirements on an annual basis to de-
treatment. They are: termine when it can begin to allocate
(i) Payload specialists, redefined to and assign space flight opportunities
refer to persons other than NASA as- for future space flight participants,
tronauts (commanders, pilots, and mis- consistent with safety and mission con-
sion specialists), whose presence is re- siderations. When NASA determines
quired onboard the Space Shuttle to that a flight opportunity is available
perform specialized functions with re- for a space flight participant, first pri-
spect to operation of one or more pay- ority will be given to a teacher in
loads or other essential mission activi-
space, in fulfillment of space edu-
ties.
cation plans.
(ii) Space flight participants, defined
to refer to persons whose presence on- 1214.304 Process.
board the Space Shuttle is not required
for operation of payloads or for other (a) Determining the need for additional
essential mission activities, but is de- crew members. The payload sponsor will
termined by the Administrator of be responsible for recommending the
NASA to contribute to other approved number of addition crew members and
NASA objectives or to be in the na- for establishing the technical or sci-
tional interest. entific need, the selection criteria,
(b) Payload specialists. Payload spe- uniqueness of qualifications, the pro-
cialists may be added to Shuttle crews posed training, and other requirements
when more than the minimum crew for the additional crew members. The
size of five is needed and unique re- payload sponsors requirements for ad-
quirements are involved. In the case of ditional crew members, their qualifica-
foreign-sponsored missions and pay- tions, and the proposed duration for
loads, the need and requirements for training will be reviewed with and con-
payload specialists will be negotiated curred in by the Associate Adminis-
and mutually agreed between the for- trator for Space Flight.
eign sponsors and NASA. The selection (b) Selection of additional crew members
process for additional crew members to for NASA and NASA-related payloads.
meet approved requirements will first After the requirement for additional
give consideration to qualified NASA
crew members has been established,
mission specialists. When payload spe-
the IWG will be tasked by the payload
cialists are required, they will be nomi-
sponsor to commence the selection
nated by the appropriate NASA, for-
process. The IWG review process will
eign, or other designated payload spon-
sor. In the case of NASA or NASA-re- include the participation of a senior as-
lated payloads, the nominations will be tronaut from the Flight Crew Oper-
based on the recommendations of the ations Directorate at the Johnson
appropriate Investigator Working Space Center who will provide oper-
Group (IWG). ational and applicant suitability cri-
(c) Space flight participants. NASA re- teria.
mains committed to the long-term goal (1) Prior to the payload sponsors rec-
of providing space flight opportunities ommendation for additional crew mem-
for persons outside the professional bers and at his/her direction, the IWG
categories of NASA astronauts and will have studied the requirements of
payload specialists when this contrib- the selected investigations, the num-
utes to approved NASA objectives or is ber, qualifications, training require-
determined to be in the national inter- ments and other requirements of pay-
est. However, NASA is devoting its at- load specialists, and backups necessary
tention to proving the Shuttle sys- to support the payload objectives, and
tems capability for safe, reliable oper- made recommendations to the payload
ation and to reducing the backlog of sponsor.
110
(2) Members of the mission specialist recommendations which will be re-

cadre will be considered first. The pay- viewed with and concurred in by the
load mission manager, on behalf of the Associate Administrator for Space
IWG, will convey the selection criteria Flight.
for the proposed additional crew mem- (4) The payload sponsor and the Asso-
bers to the Chief, Astronaut Office. The ciate Administrator for Space Flight
IWG, the mission manager, and the As- will advise the Administrator of the
tronaut Office will coordinate the re- payload specialist selections.
view of the proposed candidates and (c) Selection of additional crew members
the mission manager will forward rec- for foreign payloads. The need and re-
ommendations to the payload sponsor. quirements for payload specialists will
Recommendations from the payload be negotiated and mutually agreed to
sponsor will be submitted to the Asso- between the foreign sponsor and NASA.
ciate Administrator for Space Flight This negotiating process will include
for approval. the participation of a senior astronaut
(3) If mission specialists meeting the from the Flight Crew Operations Direc-
requirements cannot be provided be- torate at the Johnson Space Center
cause of the uniqueness of require- who will provide operational and appli-
ments or impracticability of the re- cant suitability criteria. After agree-
sultant training obligation, or if ment is reached, the payload sponsor
backup payload specialists are re- will initiate the selection process. Sub-
quired, the IWG may then solicit can- ject to the negotiated agreement, sub-
didate payload specialists from outside sequent steps in the process will be
the career astronaut corps. The solici- similar to those described in
tation will require, as a minimum, that 1214.304(b) modified as follows:
a summary of professional qualifica- (1) The IWG functions will be per-
tions be submitted to the IWG. In addi- formed by a selection committee or
tion, a medical history, and the results other procedure designated by the pay-
of the physical examination described load sponsor.
in paragraph (b)(3)(iii) of this section (2) The payload sponsor will des-
will be required. The IWG will be re- ignate an individual to perform the
sponsible for: mission manager functions.
(i) Establishing professional and (3) The committee or procedure in
operational criteria for payload spe- paragraph (c)(1) of this section and the
cialists for specific payloads. The cri- person named in paragraph (c)(2) of
teria will include willingness on the this section will be established during
part of the candidate to accept the ap- the negotiations between the foreign
plicable provisions of 1214.306 and sat- sponsor and NASA, consistent with the
isfactory completion of a background specific circumstances.
investigation conducted to NASAs (4) The payload sponsor will also be
standards, as determined by the Direc- responsible for submission to NASA by
tor, NASA Security Office. an appropriate authority of written as-
(ii) Evaluating all candidates using surance that an inquiry has been made
the criteria established. into the recommended payload special-
(iii) Determining which candidate ists background and suitability on the
payload specialists, who meet the basis of standards similar to those ap-
NASA Class III Space Flight Medical plied to NASA payload specialist can-
Selection Standards, are deemed best didates and a statement by the selected
professionally qualified. (The candidate asserting a willingness to ac-
preselection phases of the medical except the applicable provisions of
amination will be conducted at John- 1214.306. These written assurances
son Space Center by certified exam- must be received and accepted by
iners approved by the Director, Life NASA before selection and before any
Sciences Division, NASA Head- NASA training can begin.
quarters). (d) Selection of additional crew members
(iv) Submitting its recommendations for other payloads. After the request for
for payload specialists through the additional crew members is approved,

mission manager to the payload spon- the payload sponsor will commence the
sor who in turn will determine final selection process. The payload sponsor
111
1214.304 14 CFR Ch. V (1116 Edition)
review process will include the partici- (e) Preflight activities for additional
pation of a senior astronaut from the crew members. Mission specialists serv-
Flight Crew Operations Directorate at ing as additional crew for the payload,
the Johnson Space Center who will pro- once selected, will be primarily respon-
vide operational and applicant suit- sible to the mission manager who, to-
ability criteria. gether with the IWG (or comparable
(1) The payload sponsor will first con- body designated by the payload spon-
sider members of the mission specialist sor) and the Director, Flight Crew Op-
cadre. A representative of the payload erations, will determine the integrated
sponsor selection committee will con- training and work schedules as appro-
vey the selection criteria for the propriate to the areas of responsibilities
posed payload specialists to the Chief, outlined in the following paragraphs.
Astronaut Office, and coordinate on (1) The IWG for NASA and NASA-re-
the recommendations for mission spe- lated payloads or the Payload Sponsor
cialists to satisfy the requirements. for all other payloads is responsible for
The recommendations will be sub- defining the training necessary for pay-
mitted to the Associate Administrator load elements within its cognizance.
for Space Flight for approval who will The mission manager is responsible for
then advise the Administrator of the the total integrated payload training
selections. and will assist the IWG as necessary in
(2) If mission specialists meeting the carrying out the defined training ac-
requirements cannot be provided be- tivities.
cause of the uniqueness of qualifica- (2) The Director, Flight Crew Oper-
tions or impracticability of the result- ations, is responsible for establishing
ant training obligation, the payload the training requirements for payload
sponsor selection committee, with con- specialists on Orbiter, Spacelab, and
currence from the payload sponsor and STS-provided payload support systems
the Associate Administrator for Space as appropriate. In order to enhance the
Flight, may then consider other can- crew integration process, the addi-
didate payload specialists. The payload tional crew members (payload special-
sponsor will be responsible for: ists and additional mission specialists)
(i) Establishing professional and will be based at the Johnson Space
operational criteria for payload spe- Center 6 months prior to flight, unless
cialists for specific payloads. The cri- otherwise agreed between the payload
teria will include willingness on the sponsor and the Director, Flight Crew
part of the candidate to accept the ap- Operations, Johnson Space Center.
plicable provisions of 1214.306 and sat- (3) The payload specialists must be
isfactory completion of a background certified for flight by the Director,
investigation conducted to NASAs Flight Crew Operations, upon satisfac-
standards, as determined by the Direc- tory completion of all required train-
tor, NASA Security Office. ing and demonstrated performance of
(ii) Evaluating all candidates using assigned tasks. Certification of the
the criteria established. payload specialists readiness for flight
(iii) Determining which candidate will be made to the payload mission
payload specialists, who meet the manager and will include an assess-
NASA Class III Space Flight Medical ment by the crew commander of the
Selection Standards, are deemed best payload specialists suitability for
professionally qualified. (The space flight.
preselection phases of the medical ex- (4) The mission manager is respon-
amination will be conducted at the sible for verifying to the payload spon-
Johnson Space Center by certified ex- sor that all crew members are properly
aminers approved by the Director, Life trained for in-flight payload oper-
Sciences Division, NASA Head- ations.
quarters). (i) The medical program for payload
(iv) Submitting its recommendations specialists will be continued during the
for payload specialist selection to the preflight period in accordance with the
Associate Administrator for Space NASA Class III Space Flight Medical
Flight for approval. Selection Standards.
112
(ii) If, during the preflight period, the for the operation of the assigned pay-
number of additional crew members is load elements. Onboard decisions con-
reduced to fewer than that agreed to, cerning assigned payload operations
or an additional crew member does not will be made by the payload specialist.
meet the certification requirements, A payload specialist may be designated
the necessary reprocessing may be ini- to resolve conflicts between the pay-
tiated to provide replacements con- load elements and approve such devi-
sistent with the above described selec- ation from the flight plan as may arise
tion process and the STS training re- from equipment failures or STS fac-
quirements. tors. In the instance of STS factors,
(f) Designation of primary and backup the mission specialist will present the
payload specialists (when required). At available options for the payload-re-
an appropriate time designated by the lated decisions by the payload spe-
mission manager (not later than 9 cialist.
months prior to flight), the IWG for (c) Operation of STS equipment. The
NASA and NASA-related payloads or payload specialist will be responsible
payload sponsor for all other payloads for knowing how to operate certain
will recommend which payload special- Obiter systems, such as hatches, food,
ists should be designated as prime and and hygiene systems, and for pro-
which as backup. However, in cases ficiency in those normal and emer-
where mission specialists have been se- gency procedures which are required
lected for the payload specialist posi-
for safe crew operations, including
tion(s), they will be considered as pri-
emergency egress and bail out. The re-
mary at the time of selection. The rec-
sponsibility for on-orbit management
ommendations will be forwarded by the
of Orbiter systems and attached pay-
mission manager to the Program Office
load support systems and for
which will review the recommenda-
extravehicular activity and payload
tions and forward them to the Asso-
manipulation with the Remote Manip-
ciate Administrator for Space Flight
ulator System will rest with the NASA
for concurrence. The payload sponsor
flight crew. The NASA flight crew will
and the Associate Administrator for
operate Orbiter systems and standard
Space Flight will advise the Adminis-
trator of the selections. payload support systems, such as
(g) Effective date. The described selec- Spacelab and Internal Upper Stage sys-
tion process will apply to all STS mis- tems. With approval of the commander,
sions for which selections have not payload specialists may operate pay-
been approved prior to December 31, load support systems which have an ex-
1988. tensive interface with the payload.
1214.305 Payload specialist respon- 1214.306 Payload specialist relation-

sibilities. ship with sponsoring institutions.
(a) Relationship with flight crew. The Specialists who are not U.S. Govern-
crew commander has overall responsi- ment employees must enter into a con-
bility for crew integration and the safe tractual or other arrangement estab-
and successful conduct of the mission. lishing an obligatory relationship with
With respect to crew and vehicle safe- an institution participating in the pay-
ty, the commander has ultimate re- load as designated by the payload spon-
sponsibility and authority for all as- sor prior to selection and before enter-
signed crew duties. The payload spe- ing into training at a NASA installa-
cialist is responsible to the authority tion or NASA-designated location.
of the commander and operates in com- Payload specialists who are not other-
pliance with mission rules and Payload wise U.S. Government employees will
Operation Control Center directives. not become U.S. Government employ-
Payload specialists are expected to op- ees by virtue of being selected as a pay-
erate as an integral part of the crew load specialist. Except as specified in
and will participate in crew activities the following paragraphs of this sec-
as specified by the crew commander. tion, NASA will not enter into any di-
(b) Operation of payload elements. The rect contractual or other arrangement
payload specialist will be responsible with individual payload specialists.
113
1214.400 14 CFR Ch. V (1116 Edition)
Any exception must be approved by the Space Station (hereinafter Agreement),

NASA Administrator. which establishes and governs the
(a) Payload specialists who are not International Space Station, requires
citizens of the United States will be re- the development and approval of a
quired to enter into an agreement with Code of Conduct for International
NASA in which they agree to accept Space Station crew. Pursuant to Arti-
and be governed by specified standards cle 11 of the Agreement, each Inter-
of conduct. Any such agreement will be national Space Station partner is
signed on behalf of NASA by the NASA obliged to ensure that crewmembers
General Counsel or designee. which it provides observe the Code of
(b) Payload specialists who are citi- Conduct.
zens of the United States and who are
not employees of the U.S. Government, 1214.401 Applicability.
will be required to enter into an agree- This subpart applies to all persons
ment with NASA in which they agree provided by NASA for flight to the
to accept and be governed by specified International Space Station, including
standards of conduct. Any such agree- U.S. Government employees, uni-
ment will be signed on behalf of NASA formed members of the Armed Serv-
by the NASA General Counsel or des- ices, U.S. citizens who are not employ-
ignee. ees of the U.S. Government, and for-
(c) Payload specialists who are em- eign nationals.
ployed by a branch, department, or
agency of the U.S. Government other 1214.402 International Space Station
than NASA may (pursuant to the exer- crewmember responsibilities.
cise of judgment by the NASA General (a) All NASA-provided International
Counsel) be required to enter into an Space Station crewmembers are sub-
agreement with NASA to accept and be ject to specified standards of conduct,
governed by specified standards of con- including those prescribed in the Code
duct. Any such agreement will be of Conduct for the International Space
signed on behalf of NASA by the NASA Station Crew, set forth as 1214.403.
General Counsel or designee. NASA-provided International Space
Station crew members may be subject
Subpart 1214.4International to additional standards and require-
Space Station Crew ments, as determined by NASA, which
will be made available to those NASA-
provided crewmembers, as appropriate.
AUTHORITY: 42 U.S.C. sections 2455, 2473, (1) NASA-provided International
and 2475; 18 U.S.C. 799.
Space Station crewmembers who are
SOURCE: 65 FR 80303, Dec. 21, 2000, unless not citizens of the United States will
otherwise noted. be required to enter into an agreement
with NASA in which they agree to
1214.400 Scope. comply with specified standards of con-
(a) This subpart sets forth policy and duct, including those prescribed in the
procedures with respect to Inter- Code of Conduct for the International
national Space Station crewmembers Space Station Crew ( 1214.403). Any
provided by NASA for flight to the such agreement will be signed on be-
International Space Station. half of NASA by the NASA General
(b) In order to provide for the safe op- Counsel or designee.
eration, maintenance of order, and (2) NASA-provided International
proper conduct of crew aboard the Space Station crewmembers who are
International Space Station, the Janu- citizens of the United States but are
ary 29, 1998, Agreement Among the not employees of the U.S. Government
Government of Canada, Governments will be required to enter into an agree-
of Member States of the European ment with NASA in which they agree
Space Agency, the Government of to comply with specified standards of
Japan, the Government of the Russian conduct, including those prescribed in
Federation, and the Government of the the Code of Conduct for the Inter-
United States of America Concerning national Space Station Crew
Cooperation on the Civil International ( 1214.403). Any such agreement will be
114
signed on behalf of NASA by the NASA alia, that the crew Code of Conduct be devel-
General Counsel or designee. oped by the partners.
(3) NASA-provided International B. Scope and Content
Space Station crewmembers who are
The partners have developed and approved
employed by a branch, department, or this CCOC to: establish a clear chain of com-
agency of the U.S. Government may, as mand on-orbit; establish a clear relationship
determined by the NASA General between ground and on-orbit management;
Counsel, be required to enter into an and establish a management hierarchy; set
agreement with NASA to comply with forth standards for work and activities in
specified standards of conduct, includ- space, and, as appropriate, on the ground; es-
ing those prescribed in the Code of Con- tablish responsibilities with respect to ele-
duct for the International Space Sta- ments and equipment; set forth disciplinary
regulations; establish physical and informa-
tion Crew ( 1214.403). Any such agree- tion security guidelines; and define the ISS
ment will be signed on behalf of NASA Commanders authority and responsibility,
by the NASA General Counsel or des- on behalf of all the partners, to enforce safe-
ignee. ty procedures, physical and information se-
(b) All NASA-provided personnel on curity procedures and crew rescue proce-
board the International Space Station dures for the ISS. This CCOC and the dis-
are additionally subject to the author- ciplinary policy referred to in Section IV
shall not limit the application of Article 22
ity of the International Space Station
of the IGA. This CCOC succeeds the NASA-
Commander and shall comply with RSA Interim Code of Conduct, which was de-
Commanders orders and directions. veloped pursuant to Article 11.2 of the MOU
between NASA and RSA to cover early as-
1214.403 Code of Conduct for the sembly prior to other partners flight oppor-
International Space Station Crew. tunities.
The Code of Conduct for the Inter- This CCOC sets forth the standards of con-
duct applicable to all ISS crewmembers dur-
national Space Station Crew, which ing preflight, on-orbit, and post-flight activi-
sets forth minimum standards for ties, (including launch and return phases).
NASA-provided International Space ISS crewmembers are subject to additional
Station crewmembers, is as follows: requirements, such as the ISS Flight Rules,
the disciplinary policy, and requirements
CODE OF CONDUCT FOR THE INTERNATIONAL imposed by their Cooperating Agency or
SPACE STATION CREW those relating to the Earth-to-Orbit Vehicle
(ETOV) transporting an ISS crewmember.
I. INTRODUCTION Each ISS crewmember has a right to know
A. Authority about such additional requirements. ISS
crewmembers will also abide by the rules of
This Code of Conduct for the International the institution hosting the training, and by
Space Station (ISS) crew, hereinafter re- standards and requirements defined by the
ferred to as Crew Code of Conduct (CCOC), is Multilateral Crew Operations Panel (MCOP),
established pursuant to: the Multilateral Space Medicine Board
(1) Article 11 (Crew) of the intergovern- (MSMB) and the Multilateral Medical Oper-
mental Agreement Among the Government ations Panel (MMOP). Each ISS crewmember
of Canada, Governments of Member States of will be informed by the Cooperating Agency
the European Space Agency, the Government providing him or her of the responsibilities
of Japan, the Government of the Russian of ISS crewmembers under the IGA, the
Federation, and the Government of the MOUs and this CCOC. Further, each ISS
United States of America Concerning Co- crewmember will be educated by the Cooper-
operation on the Civil International Space ating Agency providing him or her through
Station (the IGA) signed by the Partner the crew training curriculum and normal
States on January 29, 1998; and program operations as to ISS program rules,
(2) Article 11 (Space Station Crew) of the operational directives and management poli-
Memoranda of Understanding between, re- cies. Completion of postflight activities shall
spectively, the National Aeronautics and not affect an ISS crewmembers continuing
Space Administration of the United States of obligations under Section V of this CCOC.
America (NASA) and the Canadian Space
C. Definitions
Agency (CSA), NASA and the European
Space Agency (ESA), NASA and the Govern- For the purposes of the CCOC:
ment of Japan (GOJ), and NASA and the (1) Cooperating Agency means NASA,
Russian Space Agency (RSA) Concerning Co- CSA, ESA, Rosaviakosmos (formerly RSA)
operation on the Civil International Space and, in the case of Japan, the Science and
Station (the MOUs), which require, inter Technology Agency of Japan (STA) and, as
115
1214.403 14 CFR Ch. V (1116 Edition)
appropriate, the National Space Develop- ISS crewmembers shall protect and con-
ment Agency of Japan (NASDA), assisting serve all property to which they have access
agency to STA. for ISS activities. No such property shall be
(2) Crew Surgeon means a Flight Sur- altered or removed for any purpose other
geon assigned by the MMOP to any given ex- than those necessary for the performance of
pedition. He or she is the lead medical officer ISS duties. Before altering or removing any
and carries primary responsibility for the such property, ISS crewmembers shall first
health and well-being of the entire ISS crew. obtain authorization from the Flight Direc-
(3) Disciplinary policy means the policy tor, except as necessary to ensure the imme-
developed by the MCOP to address violations diate safety of ISS crewmembers or ISS ele-
of the CCOC and impose disciplinary meas-
ments, equipment, or payloads.
ures.
(4) ETOV means Earth-to-Orbit Vehicle C. Use of Position
travelling between Earth and the ISS.
(5) Flight Director means the Flight Di- ISS crewmembers shall refrain from any
rector in control of the ISS. use of the position of ISS crewmember that
(6) Flight Rules means the set of rules is motivated, or has the appearance of being
used by the Cooperating Agencies to govern motivated, by private gain, including finan-
flight operations. cial gain, for himself or herself or other per-
(7) ISS crewmembers means any person sons or entities. Performance of ISS duties
approved for flight to the ISS, including both shall not be considered to be motivated by
ISS expedition crew and visiting crew, begin- private gain. Furthermore, no ISS crew-
ning upon assignment to the crew for a spe- member shall use the position of ISS crew-
cific and ending upon completion of the member in any way to coerce, or give the ap-
postflight activities related to the mission. pearance of coercing, another person to pro-
II. GENERAL STANDARDS vide any financial benefit to himself or her-
self or other persons or entities.
A. Responsibilities of ISS Crewmembers
D. Mementos and Personal Effects
ISS Crewmembers shall comply with the
CCOC. Accordingly, during preflight, on- Each ISS crewmember may carry and store
orbit, and postflight activities, they shall mementos, including flags, patches, insignia,
comply with the ISS Commanders orders, and similar small items of minor value, on-
all Flight and ISS program Rules, oper- board the ISS, for his or her private use, sub-
ational directives, and management policies, ject to the following:
as applicable. These include those related to (1) mementos are permitted as a courtesy,
safety, health, well-being, security, and not an entitlement; as such they shall be
other operational or management matters considered as ballast as opposed to a payload
governing all aspects of ISS elements, equip- or mission requirement and are subject to
ment, payloads and facilities, and non-ISS manifest limitations, on-orbit stowage allo-
facilities, to which they have access. All ap-
cations, and safety considerations;
plicable rules, regulations, directives, and
(2) mementos may not be sold, transferred
policies shall be made accessible to ISS
crewmembers through appropriate means, for sale, used or transferred for personal
coordinated by the MCOP. gain, or used or transferred for any commer-
cial or fundraising purpose. Mementos
B. General Rules of Conduct which, by their nature, lend themselves to
exploitation by the recipients, or which, in
ISS Crewmembers conduct shall be such
as to maintain a harmonious and cohesive the opinion of the Cooperating Agency pro-
relationship among the ISS crewmembers viding the ISS crewmember, engender ques-
and an appropriate level of mutual con- tions as to good taste, will not be permitted.
fidence and respect through an interactive, An ISS crewmembers personal effects,
participative, and relationship-oriented ap- such as a wristwatch, will not be considered
proach which duly takes into account the mementos. Personal effects of any nature
international and multicultural nature of may be permitted, subject to constraints of
the crew and mission. mass/volume allowances for crew personal ef-
No ISS crewmember shall, by his or her fects, approval of the ISS crewmembers Co-
conduct, act in a manner which results in or operating Agency, and approval of the trans-
creates the appearance of: (1) Giving undue porting Cooperating Agency and consider-
preferential treatment to any person or enti- ations of safety and good taste.
ty in the performance of ISS activities; and/ If a Cooperating Agency carries and stores
or (2) adversely affecting the confidence of items onboard the ISS in connection with
the public in the integrity of, or reflecting separate arrangements, these items will not
unfavorably in a public forum on, any ISS be considered mementos of the ISS crew-
partner, partner state or Cooperating Agen-
members.
cy.
116
III. AUTHORITY AND RESPONSIBILITIES OF THE ner, of the ISS vehicle configuration, status,
ISS COMMANDER, CHAIN OF COMMAND AND commanding, and other operational activi-
SUCCESSION ONORBIT; RELATIONSHIP BE- ties on-board (including off-nominal or emer-
TWEEN GROUND AND ON-ORBIT MANAGE- gency situations); (4) enforce procedures for
MENT the physical and information security of op-
erations and utilization data; (5) maintain
A. Authority and Responsibilities of the ISS order; (6) ensure crew safety, health and
Commander well-being including crew rescue and return;
The ISS Commander, as an ISS crew- and (7) take all reasonable action necessary
member, is subject to the standards detailed for the protection of the ISS elements,
elsewhere in this CCOC, in addition to the equipment, or payloads.
command-specific provisions set forth below:
The ISS Commander will seek to maintain (c) Scope of Authority
a harmonious and cohesive relationship During all phases of on-orbit activity, the
among the ISS crewmembers and an appro- ISS Commander, consistent with the author-
priate level of mutual confidence and respect ity of the Flight Director, shall have the au-
through an interactive, participative, and re- thority to use any reasonable and necessary
lationship-oriented approach which duly means to fulfill his or her responsibilities.
takes into account the international and This authority, which shall be exercised con-
multicultural nature of the crew and mis- sistent with the provisions of Sections II and
sion. IV, extends to: (1) the ISS elements, equip-
For avoidance of doubt, nothing in this ment, and payloads; (2) the ISS crew-
Section shall affect the ability of the MCOP members; (3) activities of any kind occurring
to designate the national of any Partner in or on the ISS; and (4) data and personal ef-
State as an ISS Commander. fects in or on the ISS where necessary to
(1) During Preflight and Postflight Activities protect the safety and well-being of the ISS
crewmembers and the ISS elements, equip-
The ISS Commander is the leader of the ment, and payloads. Any matter outside the
crew and is responsible for forming the indi- ISS Commanders authority shall be within
vidual ISS crewmembers into a single, inte- the purview of the Flight Director.
grated team. During preflight activities, the Issues regarding the Commanders use of
ISS Commander, to the extent of his or her such authority shall be referred to the Flight
authority, leads the ISS crewmembers Director as soon as practicable, who will
through the training curriculum and mis- refer the matter to appropriate authorities
sion-preparation activities and seeks to en- for further handling. Although other ISS
sure that the ISS crewmembers are ade- crewmembers may have authority over and
quately prepared for the mission, acting as responsibility for certain ISS elements,
the crews representative to the ISS pro- equipment, payloads, or tasks, the ISS Com-
grams training, medical, operations, and mander remains ultimately responsible, and
utilization authorities. During postflight ac- solely accountable, to the Flight Director for
tivities, the ISS Commander coordinates as the successful completion of the activities
necessary with these authorities to ensure and the mission.
that the ISS crewmembers complete the re-
quired postflight activities. B. Chain of Command and Succession On-orbit
(2) During On-Orbit Operations (1) The ISS Commander is the highest au-
thority among the ISS crewmembers on-
(a) General orbit. The MCOP will determine the order of
The ISS Commander is responsible for and succession among the ISS crewmembers in
will, to the extent of his or her authority and advance of flight, and the Flight Rules set
the ISS on-orbit capabilities, accomplish the forth the implementation of a change of
mission program implementation and ensure command.
the safety of the ISS crewmembers and the (2) Relationship of the ISS Commander to
protection of the ISS elements, equipment, ETOV and Other Commanders
or payloads. The Flight Rules define the authority of
the ETOV Commander, the Rescue Vehicle
(b) Main Responsibilities Commander, and any other commanders, and
The ISS Commanders main responsibil- set forth the relationship between their re-
ities are to: (1) Conduct operations in or on spective authorities and the authority of the
the ISS as directed by the Flight Director ISS Commander.
and in accordance with the Flight Rules,
C. Relationship Between the ISS Commander
plans and procedures; (2) direct the activities
(On-Orbit Management) and the Flight Direc-
of the ISS crewmembers as a single, inte-
tor (Ground Management)

grated team to ensure the successful comple-
tion of the mission; (3) fully and accurately The Flight Director is responsible for di-
inform the Flight Director, in a timely man- recting the mission. A Flight Director will
117
1214.403 14 CFR Ch. V (1116 Edition)
be in charge of directing real-time ISS oper- crewmembers shall act in a manner con-
ations at all time. The ISS Commander, sistent with the provisions of the IGA and
working under the direction of the Flight Di- the MOUs regarding protection of oper-
rector and in accordance with the Flight ations data, utilization data, and the intel-
Rules, is responsible for conducting on-orbit lectual property of ISS users. They shall also
operations in the manner best suited to the comply with applicable ISS program rules,
effective implementation of the mission. The operational directives, and management
ISS Commander, acting on his or her own policies designed to further such protections.
authority, is entitled to change the daily Personal information about ISS crew-
routine of the ISS crewmembers where nec- members, including all medical information,
essary to address contingencies, perform ur-
private family conference, or other private
gent work associated with crew safety and
information, whether from verbal, written,
the protection of the ISS elements, equip-
or electronic sources, shall not be used or
ment or payloads, or conduct critical flight
operations. Otherwise, the ISS Commander disclosed by other ISS crewmembers for any
should implement the mission as directed by purpose, without the consent of the affected
the Flight Director. Specific roles and re- ISS crewmember, except as required for the
sponsibilities of the ISS Commander and the immediate safety of ISS crewmembers or the
Flight Director are described in the Flight protection of ISS elements, equipment, or
Rules. The Flight Rules outline decisions payloads. In particular, all personal medical
planned in advance of the mission and are information, whether derived from medical
designed to minimize the amount of real- monitoring, investigations, or medical con-
time discussion required during mission op- tingency events, shall be treated as private
erations. medical information and shall be trans-
mitted in a private and secure fashion in ac-
IV. DISCIPLINARY REGULATIONS cordance with procedures to be set forth by
ISS crewmembers will be subject to the the MMOP. Medical data which must be han-
disciplinary policy developed and revised as dled in this fashion includes, for example,
necessary by the MCOP and approved by the biomedical telemetry, private medical com-
Multilateral Coordination Board (MCB). The munications, and medical investigation
MCOP has developed an initial disciplinary data. Nothing in this paragraph shall be in-
policy which has been approved by the MCB. terpreted to limit an ISS crewmembers ac-
The disciplinary policy is designed to main- cess to all medical resources aboard the ISS,
tain order among the ISS crewmembers dur- to ground-based medical support services, or
ing preflight, on-orbit and postflight activi- to his or her own medical data during pre-
ties. The disciplinary policy is administra- flight, on-orbit, and postflight activities.
tive in nature and is intended to address vio-
lations of the CCOC. Such violations may, VI. PROTECTION OF HUMAN RESEARCH
inter alia, affect flight assignments as an SUBJECTS
ISS crewmember. The disciplinary policy
No research on human subjects shall be
does not limit a Cooperating Agencys right
conducted which could, with reasonable fore-
to apply relevant laws, regulations, policies,
sight, be expected to jeopardize the life,
and procedures to the ISS crewmembers it
provides, consistent with the IGA and the health, physical integrity, or safety of the
MOUs. subject.
No research procedures shall be under-
V. PHYSICAL AND INFORMATION SECURITY taken with any ISS crewmember as a human
GUIDELINES subject without: (1) written approval by the
The use of all equipment and goods to Human Research Multilateral Review Board
which ISS crewmembers have access shall be (HRMRB) and (2) the full written and in-
limited to the performance of ISS duties. formed consent of the human subject. Each
Marked or otherwise identified as export such approval and consent shall be obtained
controlled data and marked proprietary data prior to the initiation of such research, and
obtained by an ISS crewmember in the shall fully comply with the requirements of
course of ISS activities shall only be used in the HRMRB. The HRMRB is responsible for
the performance of his or her ISS duties. procedures for initiation of new experiments
With respect to data first generated on-board on-orbit when all consent requirements have
the ISS, the ISS crewmembers will be ad- been met, but the signature of the human
vised by the appropriate Cooperating Agency subject cannot be obtained; explicit consent
or by the data owner or provider through of the human subject will nonetheless be re-
that Cooperating Agency as to the propri- quired in all such cases. Subjects volun-
etary or export-controlled nature of the data teering for human research protocols may at
and will be directed to mark and protect their own discretion, and without providing
such data and to continue such protection a rationale, withdraw their consent for par-
for as long as the requirements for such pro- ticipation at any time, without prejudice,
tection remain in place. Additionally, ISS and without incurring disciplinary action. In
118
addition, approval or consent for any re- rying personal mementos during the
search may be revoked at any time, includ- flight.
ing after the commencement of the research,
by: the HRMRB, the Crew Surgeon, the 1214.602 Policy.
Flight Director, or the ISS Commander, as
appropriate, if the research would endanger (a) Premise. Mementos are welcome
the ISS Crew Member or otherwise threaten aboard Space Shuttle flights. However,
the mission success. A decision to revoke they are flown as a courtesynot as an
consent by the human subject or approval by entitlement. The Associate Adminis-
the other entities listed above will be final. trator for Space Flight is free to make
exceptions to this accommodation
1214.404 Violations. without explanation. Moreover, me-
This subpart is a regulation within mentos are ballast not payload. They
the meaning of 18 U.S.C. 799, and who- can be reduced or eliminated (by the
ever willfully violates, attempts to vio- Deputy Director, Space Shuttle Pro-
late, or conspires to violate any provi- gram, Johnson Space Center) for
sion of this subpart or any order or di- weight, volume, or other technical rea-
rection issued under this subpart may sons without reference to higher au-
be cited for violating title 18 of the thority.
U.S. Code and could be fined or impris- (b) Constraints. Mementos to be car-
oned not more than 1 year, or both. ried on Space Shuttle flights must be
approved by the Associate Adminis-
Subpart 1214.5 [Reserved] trator for Space Flight and are stowed
only in an OFK or a PPK. Mementos
Subpart 1214.6Mementos will not be carried within payload con-
tainers, including Get-Away Specials,
Aboard Space Shuttle Flights or in any other container or locker
aboard the Space Shuttle, other than
AUTHORITY: Pub. L. 85568, 72 Stat. 426 (42 within the designated OFK or PPK.
U.S.C. 2473(c)). (c) Economic Gain. Items carried in an
SOURCE: 56 FR 31074, July 9, 1991, unless OFK or a PPK will not be sold, trans-
otherwise noted. ferred for sale, used or transferred for
personal gain, or used or transferred
1214.600 Scope. for any commercial or fund-raising
This subpart establishes policy, pro- purpose. Items such as philatelic mate-
cedures, and responsibilities for select- rials and coins that, by their nature,
ing, approving, packing, storing, and lend themselves to exploitation by the
disposing of mementos carried on recipients, or create problems with re-
Space Shuttle flights. spect to good taste; or that are large,
bulky, or heavy items (in the context
1214.601 Definitions. of the OFKs size, as indicated in
(a) Mementos. Flags, patches, insig- 1214.601(b) of this part) will not be ap-
nia, medallions, minor graphics, and proved for flight.
similar items of little commercial
value, especially suited for display by 1214.603 Official Flight Kit (OFK).
the individuals or groups to whom they (a) Purpose. The OFK on a particular
have been presented. flight enables NASA, developers of
(b) Official Flight Kit (OFK). A con- NASA sponsored payloads, NASAs ex-
tainer, approximately 0.057 cubic me- ternal payload customers, other Fed-
ters (2 cubic feet) in size, reserved for eral agencies, researchers, aerospace
carrying official mementos of NASA contractors, and counterpart institu-
and other organizations aboard Space tions of friendly foreign countries to
Shuttle flights. No personal items will utilize mementos as awards and com-
be carried in the OFK. mendations or preserve them in muse-
(c) Personal Preference Kit (PPK). A ums or archives. The courtesy is also
container, approximately 12.82 centi- extended to other organizations out-
meters 20.51 centimeters 5.13 centi- side the aerospace community, such as
meters (582) in size, separately as- state and local governments, the aca-
signed to each individual accom- demic community, and independent
panying a Space Shuttle flight for car- business entities. In the latter case, it
119
1214.604 14 CFR Ch. V (1116 Edition)
is customary to fly only one item for space flight participants) may request
the requesting organization to be used authorization to carry personal items
for display purposes. as mementos. These items must be car-
(b) Limitations. In addition to ried in individually assigned PPKs.
1214.602(c) of this part, U.S. national (b) Limitations. The contents of a PPK
flags will not be flown as mementos ex- must be limited to 20 separate items,
cept by U.S. Government sponsors. with a total weight of 0.682 kilograms
(c) Approval of Contents. At least 60 (1.5 pounds). Each item is allocated for
days prior to the launch of a Space a different recipient and distributed ac-
Shuttle flight, an authorized represent- cordingly. The volume of a PPK must
ative of each organization desiring me- be contained in a 12.82 centimeters
mentos to be carried on the flight in 20.51 centimeters 5.13 centimeters
the OFK must submit a letter or re- (582) bag provided by NASA. In-
quest describing the item(s) to be flown creases in these limitations will be au-
and the intended purpose or distribu- thorized only by the Associate Admin-
tion. Letters should be directed to the istrator for Space Flight.
cognizant NASA office as follows: (c) Approval of Contents. At least 60
(1) Space Shuttle customers/users of days before the scheduled launch of a
any nature, to the Director of Trans- Space Shuttle flight, each person as-
portation Services, Code MC, NASA signed to the flight who desires to
Headquarters, Washington, DC 20546. carry items in a PPK must submit a
(2) Foreign organizations/individuals, proposed list of items and their recipi-
and Department of Defense organiza- ents to the Associate Director, John-
tions/individuals (both other than as a son Space Center. The Associate Direc-
Space Shuttle customer) and other tor will review the requests for compli-
Federal agencies to the Associate Ad- ance with this subpart and submit the
ministrator of External Relations, crew members PPK lists through su-
Code X, NASA Headquarters, Wash-
pervisory channels to the Associate
ington, DC 20546. Upon receipt of all re-
Administrator for Space Flight for ap-
quests, the cognizant offices will re-
proval. A signed copy of the Associate
view and forward data to the Associate
Administrator for Space Flights ap-
Director, Code AC, Johnson Space Cen-
proval will be returned to the Director,
ter, Houston, TX 77058.
Johnson Space Center, for appropriate
(3) All others (aerospace companies,
distribution.
state and local governments, the aca-
demic community, and non-space-re- 1214.605 Preflight packing and stor-
lated businesses) may send requests di- ing.
rectly to the Associate Director, Code
AC, Johnson Space Center, Houston, (a) Items intended for inclusion in
TX 77058. In the event OFK requests, on OFKs or PPKs must arrive at the
a particular flight, exceed OFK capa- Johnson Space Center, Code AC, at
bility, priority consideration may be least 45 days prior to the flight on
given to those entities having payloads which they are scheduled in order for
on that flight. The listing of the pro- them to be listed on the cargo mani-
posed OFK contents for each flight is fest, packaged, weighed, and stowed
prepared at the Johnson Space Center aboard the Orbiter. Items must arrive
and forwarded to the Associate Admin- at the Johnson Space Center prior to
istrator for Space Flight approxi- the 45-day limit even if the Associate
mately 30 days prior to launch for ap- Administrator for Space Flights ap-
proval. proval is still pending. Items not ap-
proved by the Associate Administrator
1214.604 Personal Preference Kit for Space Flight will be returned to the
(PPK). requesting individual/organization.
(a) Purpose. The PPK enables persons (b) The Associate Director, Johnson
accompanying Space Shuttle flights to Space Center, is responsible for the fol-
carry personal items for use as memen- lowing:
tos. Only those individuals actually ac- (1) Securing the items while awaiting
companying such flights (astronaut the launch on which they are mani-
crew members, payload specialists, and fested.
120
(2) Packaging, weighing, and stowing 1214.610 Violations.

the items according to the manifests
Any item carried in violation of the
approved by the Associate Adminis-
requirements of this subpart shall be-
trator for Space Flight.
come the property of the U.S. Govern-
1214.606 Postflight disposition. ment, subject to applicable Federal
laws and regulations, and the violator
The Associate Director, Johnson may be subject to disciplinary action,
Space Center, will: including being permanently prohib-
(a) Receive and inventory all items ited from use of, or, if an individual,
flown in the OFK and PPKs following from flying aboard the Space Shuttle
each Shuttle flight. or any other manned spacecraft of the
(b) Return the contents of the PPKs National Aeronautics and Space Ad-
to the persons who submitted them. ministration.
(c) Return all other flown items to
the submitting organizations with an Subpart 1214.7The Authority of
appropriate letter of certification. the Space Shuttle Commander
(d) Retain and secure mementos
flown by the Agency for future use. AUTHORITY: Pub. L. 85588, 72 Stat. 426 (42
U.S.C. 2473, 2455; 18 U.S.C. 799); Art. VIII,
1214.607 Media and public inquiries. TIAS 6347 (18 U.S.T. 2410).
(a) Official Flight Kit. Information on SOURCE: 45 FR 14845, Mar. 7, 1980, unless
the contents of OFKs will be routinely otherwise noted.
released to the media and to the public
upon their request, but only after the 1214.700 Scope.
contents have been approved by the As- This subpart establishes the author-
sociate Administrator for Space Flight. ity of the Space Shuttle commander to
(b) Personal Preference Kit. Informa- enforce order and discipline during all
tion on the contents of PPKs will be flight phases of a Shuttle flight to take
routinely released to the media and to whatever action in his/her judgment is
the public upon their request imme- necessary for the protection, safety,
diately following postflight inventory. and well-being of all personnel and on-
(c) Responsibility for Release of Infor- board equipment, including the Space
mation. The Director of Public Affairs, Shuttle elements and payloads. During
Johnson Space Center, is responsible the final launch countdown, following
for the prompt release of information crew ingress, the Space Shuttle com-
on OFK and PPK contents. mander has the authority to enforce
order and discipline among all on-
1214.608 Safety requirements. board personnel. During emergency sit-
The contents of OFKs and PPKs uations prior to liftoff the Space Shut-
must meet the requirements set forth tle commander has the authority to
in NASA Handbook 1700.7, Safety Pol- take whatever action in his/her judg-
icy and Requirements for Payloads ment is necessary for the protection or
Using the Space Transportation Sys- security, safety, and well-being of all
tem (STS). personnel on board.
[56 FR 27899, June 18, 1991]
1214.609 Loss or theft.
(a) Responsibility. The National Aero- 1214.701 Definitions.
nautics and Space Administration will (a) Space Shuttle Elements consists of
not be responsible for the loss or theft the Orbiter, an External Tank, two
of, or damage to, items carried in Solid Rocket Boosters, Spacelab, Upper
OFKs or PPKs. Stage Boosters (Solid Spinning Upper
(b) Report of Loss or Theft. Any person Stage and Interim Upper Stages) and
who learns that an item contained in others as specified in NASA Manage-
an OFK or a PPK is missing shall im- ment Instruction 8040.9.
mediately report the loss to the John- (b) The flight crew consists of the
son Space Center Security Office and commander, pilot, and mission spe-
the NASA Inspector General. cialist(s).
121
1214.702 14 CFR Ch. V (1116 Edition)
(c) A flight is the period from launch (d) The commander may, when he/she
to landing of a Space Shuttlea single deems such action to be necessary for
round trip. (In the case of a forced the safety of the Space Shuttle ele-
landing the Space Shuttle comments and personnel on board, subject
manders authority continues until a any of the personnel on board to such
competent authority takes over the re- restraint as the circumstances require
sponsibility for the Orbiter and for the until such time as delivery of such in-
persons and property aboard.) dividual or individuals to the proper
(d) The flight-phases consist of authorities is possible.
launch, in orbit, deorbit, entry, land-
ing, and postlanding. [45 FR 14845, Mar. 7, 1980, as amended at 56
(e) A payload is a specific com- FR 27900, June 18, 1991]
plement of instruments, space equip-
ment, and support hardware/software 1214.703 Chain of command.
carried into space to accomplish a sci- (a) The Commander is a career NASA
entific mission or discrete activity. astronaut who has been designated to
(f) Personnel on board refers to those serve as commander on a particular
astronauts or other persons actually in flight, and who shall have the author-
the Orbiter or Spacelab during any ity described in 1214.702 of this part.
flight phase of a Space Shuttle flight Under normal flight conditions (other
(including any persons who may have than emergencies or when otherwise
transferred from another vehicle) and designated) the Space Shuttle com-
including any persons performing mander is responsible to the Flight Di-
extravehicular activity associated with rector, Johnson Space Center, Houston,
the mission. TX.
[45 FR 14845, Mar. 7, 1980, as amended at 56 (b) The pilot is a career NASA astro-
FR 27899, June 18, 1991] naut who has been designated to serve
as the pilot on a particular flight and
1214.702 Authority and responsibility
of the Space Shuttle commander. is second in command of the flight. If
the commander is unable to carry out
(a) During all flight phases of a Space the requirements of this subpart, then
Shuttle flight, the Space Shuttle com- the pilot shall succeed to the duties
mander shall have the absolute author- and authority of the commander.
ity to take whatever action is in his/
(c) Before each flight, the other
her discretion necessary to:
flight crew members (Mission Special-
(1) Enhance order and discipline,
ists) will be designated by the Director
(2) Provide for the safety and well
of Flight Operations, Johnson Space
being of all personnel on board, and
Center, Houston, TX, in the order in
(3) Provide for the protection of the
Space Shuttle elements and any pay- which they will assume the authority
load carried or serviced by the Space of the commander under this subpart
Shuttle. in the event that the commander and
pilot are both not able to carry out
The commander shall have authority
their duties.
throughout the flight to use any rea-
sonable and necessary means, including (d) The determinations, if any, that a
the use of physical force, to achieve crew member in the chain of command
this end. is not able to carry out his or her com-
(b) The authority of the commander mand duties and is, therefore, to be re-
extends to any and all personnel on lieved of command, and that another
board the Orbiter including Federal of- crew member in the chain of command
ficers and employees and all other per- is to succeed to the authority of the
sons whether or not they are U.S. na- commander, will be made by the Direc-
tionals. tor of the Johnson Space Center.
(c) The authority of the commander [45 FR 14845, Mar. 7, 1980, as amended at 47
extends to all Space Shuttle elements, FR 3095, Jan. 22, 1982; 56 FR 27900, June 18,
payloads, and activities originating 1991]

with or defined to be a part of the
Space Shuttle mission.
122
1214.704 Violations. (b) Spacelab elements. Pallets (3-meter

segments), pressurized modules (long
(a) All personnel on board a Space
or short), and the FMDM/MPESS (1-
Shuttle flight are subject to the au-
meter cross-bay structure), all as
thority of the commander and shall
conform to his/her orders and direction maintained in the NASA-approved
as authorized by this subpart. Space lab configuration.
(b) This regulation is a regulation (c) Standard flight price. The price for
within the meaning of 18 U.S.C. 799, standard Shuttle and standard Space-
and whoever willfully violates, at- lab services provided. If a customer
tempts to violate, or conspires to vio- elects not to use a portion of the stand-
late any provision of this subpart or ard services, the standard flight price
any order or direction issued under this shall not be affected.
subpart shall be fined not more than (d) Shuttle load factor. The parameter
$5,000 or imprisoned not more than 1 used to compute the customers pro
year, or both. rata share of Shuttle services and used
to compute the Shuttle charge factor.
[45 FR 14845, Mar. 7, 1980, as amended at 56 Means of computing this parameter are
FR 27900, June 18, 1991] defined in 1214.813.
(e) Spacelab load fraction. The param-
Subpart 1214.8Reimbursement eter used to compute the customers
for Spacelab Services pro rata share of each elements serv-
ices and used to compute the element
SOURCE: 50 FR 30809, July 30, 1985, unless charge factor. Means of computing this
otherwise noted. parameter are defined in 1214.813.
(f) Shuttle charge factor and element
1214.800 Scope. charge factor. Parameters used in com-
This subpart 1214.8 establishes the putation of the customers flight price.
special reimbursement policy for Means of computing these parameters
Spacelab services provided to Space are defined in 1214.813.
Transportation System (STS) cus- (g) Dedicated flight price for Spacelab
tomers governed by the provisions of missions. (1) The single-shift operation
subpart 1214.1 or subpart 1214.2. It ap- dedicated flight price for Spacelab mis-
plies to flights occurring in the second sions is identical to the Shuttle dedi-
phase of STS operations (U.S. Govern- cated flight price as defined in the
ment fiscal years 1986, 1987, and 1988). Shuttle policy.
The following five types of Spacelab (2) The two-shift operation dedicated
flights are available to accommodate flight price for Spacelab missions is
payload requirements: the sum of:
(a) Dedicated-Shuttle Spacelab flight (i) The Shuttle dedicated flight price
[Ref. 1214.804(e)]. as defined in the Shuttle policy.
(b) Dedicated-pallet flight [Ref. (ii) The standard price for additional
1214.804(f)]. services required to support a second
(c) Dedicated-FMDM/MPESS (flexible shift of on-orbit operations.
multiplexer-demultiplexer/multipur-
pose experiment support structure) 1214.802 Relationship to Shuttle pol-
flight [Ref. 1214.804(f)]. icy.
(d) Complete-pallet flight [Ref. Except as specifically noted, the pro-
1214.804(g)]. visions of the Shuttle policy also apply
(e) Shared-element flight [Ref. to Spacelab payloads. Although some
1214.804(h)]. language in the Shuttle policy is Shut-
tle-specific, it is the intent of this sub-
1214.801 Definitions. part 1214.8 that the Shuttle policy be
(a) Shuttle policy. The appropriate applied to Spacelab also, including the
subpart (1214.1 or 1214.2) governing use policy on patent and data rights. How-
of the Shuttle. Determinaltion of the ever, in the event of any inconsist-
appropriate subpart for each customer encies in the policies, the Spacelab pol-
shall be made by reference to 1214.101 icy will govern with respect to Space-
and 1214.201. lab services.
123
1214.803 14 CFR Ch. V (1116 Edition)
1214.803 Reimbursement policy. (2) In the cases cited in paragraph

(a) Reimbursement basis. (1) This pol- (a)(1) of this section, if the customer
icy is established for the second phase requests, NASA will attempt to find
of STS operations (U.S. Government compatible sharees to fly with the cus-
fiscal years 1986, 1987, and 1988). tomers payload. If NASA is successful,
(2) Standard flight price. During this the customers Shuttle standard flight
phase, customers covered by subpart price shall be the greater of:
1214.1 or subpart 1214.2 shall reimburse (i) The appropriate dedicated flight
NASA for standard Spacelab services price for the customers Spacelab mis-
an amount which is a pro rata share of: sion less adjusted reimbursements (as
(i) The appropriate dedicated flight defined in the Shuttle policy) from
price for the customers Spacelab mis- sharees actually flown.
sion. (ii) The computed shared-flight
(ii) The standard price for use of the Spacelab flight price for the customers
selected Spacelab elements during the payload.
second phase of STS operations. (b) Apportionment and assignment of
(3) The price shall be held constant services. Subject to NASA approval, a
for flights during this phase of STS op- customer contracting for a Spacelab
erations. flight shall be permitted to apportion
(4) Reimbursement policies for subse- and assign services under the provi-
quent phases of STS operations will be sions of the Shuttle policy.
developed after NASA has obtained (c) Postponement and termination. (1) A
more operational experience.
customer may postpone the flight of a
(b) Escalation. Payments shall be es-
Spacelab payload one time with no ad-
calated in accordance with the Shuttle
ditional charge if postponement occurs
policy.
more than 18 months before the sched-
(c) Customers shall reimburse NASA
uled launch date.
an amount which is the sum of the cus-
tomers standard flight price and the (2) Postponement or termination fees
price for all optional services provided. for Spacelab payloads shall consist of
(d) Earnest money. For those cus- the sum of:
tomers required to pay earnest money (i) A fee for Shuttle transporation.
by the Shuttle policy, the total earnest (ii) A fee for use of the Spacelab ele-
money payment per payload for Space- ments.
lab payloads (including Shuttle serv- (3) Shuttle transportation fee. Cus-
ices) shall be the lesser of $150,000 or tomers shall be governed by the provi-
10% of the customers estimated stand- sions of the Shuttle policy with the fol-
ard flight price. Earnest money will be lowing exception. When computing oc-
applied to the first payment for stand- cupancy fees for shared-element pay-
ard services made for each payload by loads, the adjusted reimbursements
the customer or will be retained by from other customers shall be defined
NASA if a Launch Services Agreement as the adjusted reimbursements from
is not signed. those customers who subsequently con-
1214.804 Services, pricing basis, and tract for the use of the element being
other considerations. shared.
(4) Spacelab use fee. The postpone-
(a) Mandatory use of dedicated-Shuttle
ment and termination fees for use of
Spacelab flight. (1) Customers shall be
the Spacelab elements are computed as
required to fly under the provisions of
paragraph (e) of this section if the cus- a percentage of the customers price for
tomer requires exclusive use of any of use of the Spacelab elements and shall
the following: be based on the table below. When post-
(i) Pressurized module (long or ponement or termination occurs less
short). than 18 months before launch, the fees
(ii) Three pallets in the 1+1+1 con- shall be computed by linear interpola-
tion using the points provided.
figuration.
(iii) Four pallets in the 2+2 con-
figuration.
124
Fee for use of (v) The available payload operations

Spacelab ele- time of two NASA-furnished mission
ment(s), percent
Time when postponement or termination of price for use specialists.
occurs, months before scheduled launch of element(s) (3) Customers contracting for a dedi-
date
Post- Termi-
cated-Shuttle Spacelab flight shall re-
pone- imburse NASA an amount which is the
nation
ment
sum of:
Dedicated Flights, Dedicated Elements, and Dedicated (i) The one-shift operation dedicated
FMDM/MPESS flight price for a 1-day Spacelab mis-
0 ................................................................. 75 100 sion.
3 ................................................................. 60 85 (ii) The price for the use of all Space-
12 ............................................................... 14 20 lab elements used (including all nec-
18 ............................................................... 5 10 essary mission-independent Spacelab
More than 18 ............................................. 5 10
equipment).
Complete Pallets and Shared Elements (iii) The price for all optional serv-
ices provided.
Less than 8 ................................................ 95 100
8 ................................................................. 95 100
(f) Dedicated 3-meter pallets and dedi-
9 ................................................................. 32 95 cated FMDM/MPESS. (1) A dedicated
12 ............................................................... 18 80 pallet (or a dedicated FMDM/MPESS)
18 ............................................................... 5 10 is one which is sold to a single cus-
More than 18 ............................................. 5 10 tomer and which includes all Spacelab
hardware necessary to permit it to be
(5) At the time of signing of the flown on any shared Shuttle flight as
Launch Services Agreement, NASA an autonomous payload (e.g., a dedi-
shall define a payload removal cutoff cated 3-meter pallets may either be
date (relative to the launch date) for supplied with its own exclusive igloo or
each Spacelab payload to be flown on a may fly without an igloo if it requires
shared flight. A customer may still only standard Shuttle services).
postpone or terminate a flight after the (2) In addition to a pro rata share of
payloads cutoff date; however, NASA the standard service listed in para-
shall not be required to remove the graph (i) of this section, the following
payload before flight. standard services are provided to cus-
(d) Minor delays. The minor delay tomers of dedicated pallets (or dedi-
provisions of the Shuttle policy shall cated FMDM/MPESS) and form the
apply only to those Spacelab payloads basis for establishing the standard
whose Shuttle load factor is equal to or flight price:
greater than 0.05. (i) A pro rata share of the Shuttle
(e) Dedicated-Shuttle Spacelab flight. services normally provided, where the
(1) A dedicated-Shuttle Spacelab flight basis for proration is the customers
is a Shuttle flight sold to a single cus- Shuttle load factor as defined in
tomer who is entitled to select the 1214.813(d)(1) for dedicated pallets and
Spacelab elements used on the flight. in 1214.813(e)(2) for dedicated FMDM/
(2) In addition to the standard serv- MPESS.
ices listed in paragraph (i) of this sec- (ii) The exclusive services of the pal-
tion, the following standard services let (or FMDM/MPESS) and all Spacelab
are provided to customers of dedicated- hardware provided to support the pal-
Shuttle Spacelab flights and form the let (or FMDM/MPESS).
basis for the standard flight price: (iii) One day of one-shift on-orbit op-
(i) Use of the full standard services of erations.
the Shuttle and the Spacelab elements (iv) Launch to the standard mission
selected. destination of 160 nmi, 28.5 as defined
(ii) One day of one-shift on-orbit opin the Shuttle policy.
erations. (v) Launch within a prenegotiated 90-
(iii) Standard mission destinations as day period in accordance with the
defined in the Shuttle policy. shared-flight scheduling provisions of
(iv) Launch within a prenegotiated the Shuttle policy.
90-day period in accordance with the (vi) A pro rata share of the on-orbit
dedicated flight scheduling provisions payload operations time of two NASA-
of the Shuttle policy. furnished mission specialists, where
125
1214.804 14 CFR Ch. V (1116 Edition)
the basis of proration shall be the cus- shift-operation dedicated flight price of
tomers Shuttle load factor. a 7-day Spacelab mission. The dedi-
(3) Customers contracting for a dedicated flight price for a 7-day complete-
cated pallet (or FMDM/MPESS) flight pallet mission is the sum of the dedi-
shall reimburse NASA an amount cated flight price for a 1-day two-shift
which is the sum of: mission and the charge for 6 extra days
(i) The product of the customers of two-shift on-obit operation.
Shuttle charge factor and the one- (ii) The price for the use of a com-
shift-operation dedicated flight price of plete pallet, including all necessary
a 1-day Spacelab mission. mission-independent Spacelab equip-
(ii) The price for the use of the pallet ment.
(or FMDM/MPESS) selected (including (iii) The price for all optional serv-
all necessary mission-independent ices provided.
Spacelab equipment). (h) Shared element. (1) A shared ele-
(iii) The price for all optional serv- ment is a Spacelab pallet or module
ices provided. which:
(g) Complete pallet. (1) A complete (i) Is shared by two or more cus-
Spacelab pallet is one which is sold to tomers on a NASA-designated Spacelab
a single customer but flies with other flight.
Spacelab elements on a NASA or (ii) Shares common standard Space-
NASA-designated Spacelab flight and lab services with other Spacelab ele-
shares the common standard Spacelab ments on the same flight.
services, e.g., shares an igloo with (2) In aditional to a pro rata share of
other pallets. the standard services listed in para-
(2) In addition to a pro rata share of graph (i) of this section, the following
the standard services listed in para- standard services are provided to cus-
graph (i) of this section, the following tomers of shared elements and form
standard services are provided to cus- the basis for the standard flight price:
tomers of complete pallets and form (i) For shared pallets, a pro rata
the basis for the standard flight price. share of the standard services provided
(i) The pallets pro rata share of by a pallet. The basis of proration shall
standard Shuttle services, where the be the customers Spacelab load frac-
basis of proration shall be the cus- tion as defined in 1214.813(g)(1)(i).
tomers Shuttle load factor as defined (ii) For shared modules, a pro rata
in 1214.813(f)(1). share of the standard services provided
(ii) A pro rata share of 7 days of two- by a long module flown on a dedicated-
shift on-orbit operations, where the Shuttle Spacelab flight. The basis of
basis of proration shall be the cus- proration shall be the customers
tomers Shuttle load factor. Spacelab load fraction as defined in
(iii) Mission destination selected by 1214.813(g)(1)(ii). The type of pressur-
NASA in consultation with the cus- ized module actually used to meet a
tomer. customers requirement for a shared
(iv) Assignment, with the customers module shall be determined by NASA
concurrence, to a Spacelab flight des- subsequent to contract negotiations.
ignated by NASA. (iii) A pro rata share of the elements
(v) Launch date established by share of standard Shuttle services,
NASA. where the basis for proration shall be
(vi) A pro rata share of the on-orbit the customers Spacelab load fraction.
payload operations time of two NASA- (iv) A pro rata share of 7 days of two-
furnished mission specialists, where shift on-orbit operations, where the
the basis of proration shall be the cus- basis of proration shall be the cus-
tomers Shuttle load factor. tomers Shuttle load factor as defined
(vii) Use of the entire volume above a in 1214.813(g)(1).
pallet. (v) Mission destination selected by
(3) Users contracting for complete NASA in consultation with the cus-
pallet flights shall reimburse NASA an tomer.
amount which is the sum of: (vi) Assignment, with the customers
(i) The product of the customers concurrence, to a Spacelab flight des-
Shuttle charge factor and the two- ignated by NASA.
126
(vii) Launch date established by (12) Use of NASA-furnished standard

NASA. payload monitoring and control facili-
(viii) A pro rata share of the on-orbit ties.
operations time of two NASA-furnished (13) Voice communications between
mission specialists, where the basis of personnel operating the customers
proration shall be the customers Shut- payload and a NASA-designated pay-
tle load factor. load monitoring and control facility.
(3) Customers contracting for shared- (14) NASA payload safety review. 1
element flight shall reimburse NASA (15) NASA support of payload design
an amount which is the sum of: reviews. 1
(i) The product of the customers (j) Typical optional Spacelab services.
Shuttle charge factor and the two-shift The following are typical optional
operation dedicated flight price of a 7- Spacelab services:
day Spacelab mission. The dedicated
(1) Use of special payload support
flight price for a 7-day shared-element
equipment, e.g., instrument pointing
mission is the sum of the dedicated
system.
flight price for a 1-day two-shift-mis-
sion and the charge for 6 extra days of (2) Vandenberg Air Force Base
two-shift on-orbit operations. (VAFB) launch.
(ii) The product of the customers (3) Nonstandard mission destination.
element charge factor and the price for (4) Additional time on orbit.
the use of the Spacelab element being (5) Mission-independent training, use
used, including all necessary mission- of, and accommodations for all flight
independent Spacelab equipment. personnel in excess of five.
(iii) The price for all optional serv- (6) Mission-dependent training of all
ices provided. NASA-furnished personnel and
(i) Common standard Spacelab services. backups.
The following standard Spacelab serv- (7) Analytical and/or hands-on inte-
ices are common to all Spacelab gration (and de-integration) of the cus-
flights: tomers payload into racks and/or onto
(1) Use of Shuttle 1 and Spacelab pallets.
hardware. (8) Unique integration or testing re-
(2) Spacelab interface analysis. quirements.
(3) Kennedy Space Center (KSC) (9) Additional resources beyond the
launch. 1 customers pro rata share.
(4) A five-person NASA flight crew
(10) Additional experiment time or
consisting of commander, two pilots,
crew time beyond the customers pro
and two mission specialists.
rata share.
(5) Accommodations for a five-person
(11) Special access to and/or oper-
flight crew.
ation of payloads.
(6) Prelaunch integration and inter-
face verification of preassembled racks (12) Customer unique requirements
and pallets (Levels III, II, and I for for; software development for the Com-
NASA-furnished Spacelab hardware; mand and Data Management Sub-
Level I only for customer-furnished system (CDMS) onboard computer, con-
Spacelab hardware). figuration of the Payload Operations
(7) Shuttle 1 and Spacelab flight plan- Control Center (POCC), and/or CDMS
ning. utilized during KSC ground processing.
(8) Payload electrical power. (13) Extravehicular Activity (EVA)
(9) Payload environmental control. services.
(10) On-board data acquisition and (14) Payload flight planning services.
processing services. (15) Transmission of Spacelab data
(11) Transmission of data to a NASA- contained in the STS OI telemetry link
designed monitoring and control facil- to a location other than a NASA-des-
ity via the basic STS Operational In- ignated monitoring and control facil-
strumentation (OI) telemetry system. ity.
(16) Transmission of Spacelab data

1 Typical standard Shuttle services re- not contained in the STS OI telemetry
peated for clarity. link.
127
1214.805 14 CFR Ch. V (1116 Edition)
(17) Level III and/or Level II integra- tiate any such customer requirements
tion of customer-furnished Spacelab on an individual basis.
hardware.
(k) Options. The provisions of 1214.810 Integration of payloads.
1214.102(e) and 1214.202(e) do not apply (a) The customer shall bear the cost
to Spacelab payloads. of performing the following typical
Spacelab-payload mission management
1214.805 Unforeseen customer delay. functions:
Should an unforeseen customer pay- (1) Analytical design of the mission.
load problem pose a threat of delay to (2) Generation of mission require-
the Shuttle launch schedule or critical ments and their documentation in the
off-line activities, NASA shall, if re- Payload Integration Plan (PIP).
quested by the customer, make all rea- (3) Provision of mission unique train-
sonable efforts to prevent a delay, con- ing and payload specialists (if appro-
tingent on the availability of facilities, priate).
equipment, and personnel. In request- (4) Physical integration of experi-
ing NASA to make such special efforts, ments into racks and/or onto pallets.
the customer shall agree to reimburse (5) Provision of payload unique soft-
NASA the estimated additional cost in- ware for use during ground processing,
curred. on orbit, or in POCC operations.
(6) Supporting operations.
1214.806 Premature termination of (7) Assuring the mission is safe.
Spacelab flights. (b) All physical integration (and de-
If a dedicated-Shuttle Spacelab integration) of payloads into racks and/
flight, a dedicated-pallet flight, or or onto pallets will normally be per-
dedicated-FMDM/MPESS flight is pre- formed at KSC by NASA. When the
maturely terminated, NASA shall re- customer provides Spacelab elements,
fund the optional services charges for these physical integration activities
planned, but unused, extra days on may be done by the customer at a loca-
orbit. If a complete-pallet or shared- tion chosen by the customer.
element flight is prematurely termi- (c) With the exception of the restric-
nated, NASA shall refund a pro rata tions noted in paragraph (b) of this sec-
share of the charges for planned, but tion, customers contracting for dedi-
unused, extra days on orbit to cus- cated-Shuttle and dedicated-pallet
tomers whose payload operations are, flights may perform the Spacelab-pay-
in NASAs judgment, adversely af- load mission management functions
fected by such premature termination. defined in paragraph (a) of this section.
The basis for proration shall be the NASA will assist customers in the per-
customers Shuttle load factor. formance of these functions, if re-
quested. Charges for this service will be
1214.807 Exceptional payloads. based on estimated actual costs, or ac-
Customers whose payloads qualify tual costs where appropriate, and will
under the NASA Exceptional Program be in addition to the price for standard
Selection Process shall reimburse services.
NASA for Spacelab and Shuttle serv- (d) For complete pallets or shared
ices on the basis indicated in the Shut- elements, NASA will normally perform
tle policy. the Spacelab-payload mission manage-
ment functions listed in paragraph (a)
1214.808 Standby payloads. of this section. Charges for this service
The standby payload provisions of will be based on estimated actual costs,
the Shuttle policy do not apply to or actual costs where appropriate, and
Spacelab flights. will be in addition to the price for
standard services.
1214.809 Short-term call-up and ac- (e) Integration of payload entities
celerated launch. mentioned in paragraphs (b)(d) of this
The short-term call-up and acceler- section with NAS-furnished Spacelab
ated launch provisions of the Shuttle support systems and with the Shuttle
policy normally are not offered to shall be performed by NASA as a stand-
Spacelab customers. NASA will nego- ard service for all payloads flown on
128
customer-furnished Spacelab elements. 1214.812 Payload specialists.

Customers shall be available to partici- (a) The use of customer-furnished
pate as required by NASA in these lev- payload specialists shall be subject to
els of integration. Customer equipment the approval of the NASA Adminis-
shall be operated only to the extent trator or the Administrators designee.
necessary for interface verification. (b) Customers with payloads whose
Customers requiring additional pay- Shuttle load factor is equal to or great-
load operation after delivery of the er than 0.5 are entitled to request that
payload to NASA shall negotiate such a customer-selected payload specialist
operation as an optional service. be flown with the customers payload.
Dedicated-flight customers are entitled
1214.811 Reflight guarantee. to request the flight of two customer-
(a) During the second phase of STS selected payload specialists.
operations, there is no additional re- (c) NASA may approve the flight of a
flight premium for those shared-flight customer-selected payload specialist
Spacelab payloads which can be accom- with payloads whose Shuttle load fac-
modated on a standard Shuttle launch tor is less than 0.5 if, in NASAs judg-
ment, there is sufficient scientific need
to 160 nmi, 28.5 as defined in the Shut-
to warrant such a flight.
tle policy and all dedicated-flight
(d) The standard Spacelab flight
Spacelab payloads.
price is based on operation of the cus-
(b) NASA and the customer may ne- tomers payload by two NASA-fur-
gotiate appropriate reflight provisions nished mission specialists. Accom-
(e.g., scheduling, reflight premiums) modations for, and mission-inde-
for payloads not covered by paragraph pendent training of, any payload spe-
(a) of this section. Otherwise, no re- cialists and backups required for the
flight services shall be provided. customers mission shall be provided as
(c) Reflight guarantees, if provided, optional services and shall be paid for
must cover the customers entire pay- by the customer. The price for this
load. service shall be the same for both cus-
(d) Payloads covered by reflight guar- tomer-furnished and NASA-furnished
antees shall be entitled to a reflight payload specialists.
with no charge for standard Spacelab
and Shuttle services if both the fol- 1214.813 Computation of sharing and
pricing parameters.
lowing occur:
(1) Through no fault of the customer (a) General. (1) Computational proce-
or defect in the customers payload, dures as contained in the following
Spacelab systems (i.e., data, power, and subparagraphs of this paragraph of this
cooling) are not within nominal speci- section shall be applied as indicated.
fications, as measured by NASA at nor- The procedure for computing Shuttle
mal Spacelab monitoring points, at the load factor, charge factor, and flight
time of first turn-on of the customers price for Spacelab payloads replaces
payload, all as defined in the Launch the procedure contained in the Shuttle
Services Agreement. policy.
(2) Shuttle charge factors as derived
(2) The customers mission objective
herein apply to the standard mission
is not achieved solely as a direct result
destination of 160 nmi altitude, 28.5 in-
of the occurrence, at the time of first clination. Customers shall reimburse
turn-on of the customers payload, of NASA an optional services fee for
events described in paragraph (d)(1) of flights to nonstandard destinations.
this section. (3) The customers total Shuttle
(e) If more than one reflight is re- charge factor shall be the sum of the
quired, no additional reflight premium Shuttle charge factors for the cus-
shall be charged. tomers individual (dedicated, com-
(f) If a payload being reflown was not plete, or shared) elements, with the
initially covered by a reflight guar- limitation that the customers Shuttle
antee, the reimbursements for the re- charge factor shall not exceed 1.0.
flight shall be the same as for a newly- (4) Customers contracting for pallet-
scheduled launch. only payloads are entitled to locate
129
1214.813 14 CFR Ch. V (1116 Edition)
minimal controls as agreed to by The total length in the cargo bay occu-
NASA in a pressurized area to be des- pied by the customers experiment and
ignated by NASA. There is no addi- the Spacelab element(s) used to carry
tional charge for this service. it.
(5) NASA shall, at its discretion, ad- (2) WC = The weight of the customers
just up or down the load factors and payload and the customers pro rata
load fractions calculated according to share of the weight of NASA mission-
the procedures defined in this section. peculiar equipment carried to meet the
Adjustments shall be made for special
customers needs, kg.
space or weight requirements which in-
clude, but are not limited to: (c) Dedicated-shuttle spacelab flight (1-
(i) Sight clearances, orientation, or day mission). The total reimbursement
placement limits. is as defined in 1214.804(e)(3).
(ii) Clearances for movable payloads. (d) Dedicated-pallet flight (1-day mis-
(iii) Unusual access clearance re- sion). (1) The Shuttle load factors and
quirements. charge factors for dedicated-pallet
(iv) Clearances extending beyond the flights are shown in table 1. Subject to
bounds of the normal element enve- other STS Spacelab structural limits,
lope. customers are entitled to utilize the
(v) Extraordinary shapes. payload weight capability of the pal-
The adjusted values shall be used as lets as indicated in table 1. Payload
the basis for computing charge factors weights in excess of those shown are
and prorating services. subject to NASA approval and may en-
(b) Definitions used in computations tail optional services charges.
(1) LC = Chargeable payload length, m.
TABLE 1SHUTTLE LOAD FACTORS, CHARGE FACTORS, AND NOMINAL CAPACITIES FOR DEDICATED
PALLETS
Load factor Charge factor Nominal payload capacity,
kg
Number of pallets FMDM con- FMDM con-
With Igloo With Igloo FMDM con-
figuration figuration With Igloo figuration
1 ............................................................ 0.228 0.189 0.305 0.252 2,325 2,950

2 ............................................................ 0.392 NA 0.523 NA 4,470 NA
3-pallet train 1 ........................................ 0.556 NA 0.742 NA 4,435 NA
2+1 configuration .................................. 0.594 NA 0.792 NA 7,750 NA
1 Three pallets requiring the 1+1+1 configuration shall be flown on a dedicated flight basis [See 1214.804(a)].
(2) Total reimbursement. The cus- (ii) The minimum value of LC is

tomers total reimbursement is as de- based on the element length, plus
fined in 1214.804(f)(3). clearances, and is 1.18 m.
(e) Dedicated FMDM/MPESS flight (1- (3) Total reimbursement. The cus-
day mission)(1) Shuttle charge factor. tomers total reimbursement is as de-
The computed charge factor for dedi- fined in 1214.804(f)(3).
cated FMDM/MPESS flights is defined (f) Complete pallets (7-day mission). (1)
as: The Shuttle load factor and charge fac-
tor for a complete pallet are 0.198 and
Shuttle Load Factor 0.228, respectively, and its payload
weight capability is 2,583 kg. Subject to
0.75 other STS or Spacelab structural lim-
(2) Shuttle load factor. (i) The Shuttle its, customers are entitled to utilize
load factor is defined as the maximum this payload weight capability. Pay-
of: load weight in excess of 2,583 kg is sub-
ject to NASA approval and may entail
LC W + 767 optional service charges.
or C
EC14NO91.006</MATH>
18.29 29,478 (2) Total reimbursement. The cus-

fined in 1214.804(g)(3).
130
EC14NO91.005</MATH>
(g) Shared elements (7-day mission)(1) Shuttle load factor is the greatest of:
Spacelab load fractions and Shuttle load
factors(i) Pallet. Spacelab load frac- WC Payload volume, m 3
tion is the greater of: or
13,045 76
WC Payload volume, m 3 (ii) Pressurized module. Spacelab load
or fraction and Shuttle load factor are
2,583 15 identical and are the greater of:
WC 2 ( Experiment volume) + Storage volume, m 3

or
4,319 40
(2) Shuttle charge factors and element (i) Rack volume is defined relative to
charge factors for pressurized modules. basic Air Transportation Rack (ATR)
Shuttle charge factors and element configurations. The customers rack
charge factors are identical and are de- volume shall be defined as the volume
fined as follows: of one or more rectangular
The element charge factor
parallelepipeds (rectangular-sided box)
If the Spacelab load fraction which totally enclosed the customers
and Shuttle charge factor
(and Shuttle load factor) is shall be payload. Width dimensions shall be ei-
Less than 0.00435 ................. .005. ther 45.1 or 94.0 centimeters. Height di-
0.00435 to 0.87 Spacelab load fraction dimensions shall be integral multiples of
vided by 0.87. 4.45 centimeters. Depth dimensions
Greater than 0.87 .................. 1.0.
shall be 61.2 or 40.2 centimeters.
(3) Element charge factors for shared (ii) Center aisle space volume is de-
pallets. fined as the volume of a rectangular
parallelepiped which totally encloses
If the Spacelab load fraction The element charge factor the customers payload. No edge of the
is shall be
parallelepiped shall be less than 30 cen-
Less than 0.0189 ................... 0.0218. timeters in length.
0.0189 to 0.87 ....................... Spacelab load fraction di- (7) Storage volume in the pressurized
vided by 0.87.
Greater than 0.87 .................. 1.0. module is defined as the volume of one
or more rectangular parallelepipeds en-
(4) Shuttle charge factors for shared closing the customers stowed payload.
pallets. No edge of the parallepiped(s) shall be
less than 30 centimeters in length.
The Shuttle charge factor (8) Volume of the customers pallet-
If the Shuttle load factor is shall be
mounted payload is defined as the vol-
Less than 0.00375 ................. 0.005. ume of a rectangular parallelepiped en-
0.00375 to 0.75 ..................... Shuttle load factor divided by
0.75.
closing the pallet payload and cus-
Greater than 0.75 .................. 1.0. tomer-dictated mounting hardware. No
edge of the parallelepiped shall be less
(5) Total reimbursement. (i) The cus- than 30 centimeters in length.
fined in 1214.804(h)(3). Subparts 1214.91214.10
(ii) If a customer contracts for por- [Reserved]
EC14NO91.009</MATH>
tions of more than one element, the

charges for the use of the elements
shall apply individually to each ele- Subpart 1214.11NASA Astronaut
ment used. Candidate Recruitment and
(6) Experiment volume in the pres- Selection Program
EC14NO91.008</MATH>
surized module is defined to be the sum

of the customers payload volume in SOURCE: 54 FR 37940, Sept. 14, 1989, unless
racks and in the center aisle. otherwise noted.
131
EC14NO91.007</MATH>
1214.1100 14 CFR Ch. V (1116 Edition)
1214.1100 Scope. for the ratings. The evaluation will be

It is NASA policy to maintain an in- based on the quality of the individuals
tegrated Astronaut Corps. This subpart academic background and experience
1214.11 sets forth NASA procedures and and the extent to which the individ-
assigns responsibilities for recruitment uals academic achievements, experi-
and selection of astronaut candidates. ence, and special qualifications relate
It applies to all pilot and mission spe- to the astronaut candidate position.
cialist astronaut candidate selection Reference information on those rated
activities conducted by the National Highly Qualified will normally be
Aeronautics and Space Administration. obtained. This evaluation process will
be monitored to ensure adherence to
1214.1101 Announcement. applicable policy, laws, and regula-
(a) Astronaut candidate opportuni- tions.
ties Will be announced nationwide and (e) Those rated Highly Qualified
publicized periodically unless specifi- may be required to obtain a Class I or
cally canceled by NASA. Class II physical. Only medically quali-
(b) Civilian applicants may apply at fied applicants will be referred for final
any time. evaluation and possible interview and
(c) Military personnel on active duty selection. Those who are not medically
must apply through and be nominated qualified will be so informed and will
by the military service with which not be eligible for further consider-
they are affiliated. Military nominees ation.
will not be part of the continuing pool
of applicants. The military services [54 FR 37940, Sept. 14, 1989, as amended at 68
will convene their internal selection FR 19948, Apr. 23, 2003]
boards and provide nominees to NASA.
1214.1103 Application cutoff date.
The military nominees will be evalu-
ated by NASA and the military serv- (a) The JSC Director, or designee, is
ices will be notified promptly of those responsible for identifying the need for
nominees who are finalists. additional astronaut candidates and for
(d) The Assistant Administrator for obtaining necessary approval to make
Equal Opportunity Programs, NASA selections.
Headquarters, will provide assistance (b) Once such approval has been ob-
in the recruiting process. tained, a cutoff date for the acceptance
[54 FR 37940, Sept. 14, 1989, as amended at 68 of applications will be established. Ap-
FR 19948, Apr. 23, 2003] plications received after the date of the
request will be maintained and proc-
1214.1102 Evaluation of applications. essed for the next selection.
(a) All incoming applications will be [54 FR 37940, Sept. 14, 1989, as amended at 68
reviewed to determine whether or not FR 19948, Apr. 23, 2003]
applicants meet basic qualifications.
Those not meeting the basic qualifica- 1214.1104 Evaluation and ranking of
tion requirements will be so notified highly qualified candidates.
and will not be eligible for further con-
(a) A selection board consisting of
sideration. Those meeting the basic
qualification requirements will have discipline experts, and such other per-
their applications retained for review sons as appropriate, will further evalu-
by a designated rating panel. ate and rank the Highly Qualified
(b) A rating panel composed of dis- applicants.
cipline experts will review and rate (b) Efforts will be made to assure
qualified applicants as Qualified or that minorities and females are in-
Highly Qualified. cluded on this board.
(c) Efforts will be made to ensure (c) The Highly Qualified applicants
that minorities and females are in- who are determined to be the Best
cluded among these discipline experts Qualified will be invited to the John-
on the rating panel. son Space Center for an interview, ori-

(d) The criteria for each level will be entation, and detailed medical evalua-
developed and will serve as the basis tion.
132
(d) Background investigations will 1214.1701 Applicability.

normally be initiated on those appli- This subpart applies to NASA Head-
cants rated Best Qualified. quarters and field installations.
[54 FR 37940, Sept. 14, 1989, as amended at 68
FR 19948, Apr. 23, 2003] 1214.1702 Relation to other part 1214
material.
1214.1105 Final ranking. Except as specifically noted, all regu-
Final rankings will be based on a latory provisions of Space Shuttle poli-
combination of the selection boards cies also apply to space flight partici-
initial evaluations and the results of pants. In the event of any inconsist-
the interview process. Veterans pref- encies in the policies, the regulatory
erence will be included in this final policies established for crew members
ranking in accordance with applicable will govern with respect to space flight
regulations. participants.
1214.1106 Selection of astronaut can- 1214.1703 Definitions.

didates. (a) Space flight participants. All per-
The selection board will recommend sons whose presence aboard a Space
to the JSC Director its selection of Shuttle flight is authorized in accord-
candidates from among those finalists ance with this regulation.
who are medically qualified. The num- (b) Committee. The Space Flight Par-
ber and names of candidates selected to ticipant Evaluation Committee, estab-
be added to the corps will be approved, lished in NASA Headquarters for the
as required, by JSC/ NASA manage- purpose of directing and administering
ment and the Associate Administrator the program for space flight partici-
for Space Flight, prior to notifying the pants. The Committee consists of the
individuals or the public. following NASA Headquarters officials:
Associate Deputy Administrator
1214.1107 Notification. (Chair), General Counsel, Associate Ad-
ministrator for External Relations, As-
Selectees and the appropriate mili- sociate Administrator for Manage-
tary services will be notified and the ment, Associate Administrator for
public informed. All unsuccessful Space Flight, Associate Administrator
qualified applicants will be notified of for Public Affairs and Assistant Ad-
nonselection and given the opportunity ministrator for Equal Opportunity Pro-
to update their applications and indi- grams.
cate their desire to receive consider-
ation for future selections. [56 FR 47148, Sept. 18, 1991]
1214.1704 Policy.
Subparts 1214.121214.16
(a) NASA policy is to provide Space
[Reserved] Shuttle flight opportunities to persons
(individuals outside the professional
Subpart 1214.17Space Flight categories of NASA astronauts and
Participants payload specialists) whose presence on-
board the Space Shuttle is not required
AUTHORITY: 42 U.S.C. 2473 and the National for operation of payloads or for other
Aeronautics and Space Act of 1958, as amend- essential mission activities, but is de-
ed. termined by the Administrator of
SOURCE: 49 FR 17737, Apr. 25, 1984, unless NASA to contribute to other approved
otherwise noted. NASA objectives or to be in the na-
tional interest. However, flight oppor-
1214.1700 Scope. tunities for space flight participants
will not be available in the near term.
This subpart establishes NASA policy
NASA will assess Shuttle operations
and selection procedures for accommo-
and mission and payload requirements
dation of space flight participants
on an annual basis to determine when

aboard flights of the Space Shuttle.
it can begin to allocate and assign
[56 FR 47148, Sept. 18, 1991] space flight opportunities for future
133
1214.1705 14 CFR Ch. V (1116 Edition)
space flight participants, consistent 1214.1705 Selection of space flight

with safety and mission considerations. participants.
When NASA determines that a flight (a) The agency will publicly an-
opportunity is available for a space nounce each space flight participant
flight participant, first priority will be opportunity through appropriate
given to a teacher in space, in fulfill- means, including notice in the FED-
ment of space education plans. ERAL REGISTER and press releases. Each
(b) To be considered for selection as such Announcement of Opportunity
space flight participants, applicants will include a listing of basic qualifica-
must: tion requirements to be met (including
(1) Be free of medical conditions those of 1214.1704(b)), a statement of
which would either impair the appli- the specific National Aeronautics and
cants ability to participate in, or be Space Act purposes to which this op-
portunity is directed, what information
aggravated by, space flight, as deter-
is required of applicants to dem-
mined by NASA physicians.
onstrate their ability to fulfill those
(2) Be willing to undergo appropriate purposes, the criteria on which appli-
background investigation. cants will be judged, and administra-
(3) Be willing to undergo necessary tive information such as to whom ap-
training. plications should be directed, the open-
(4) Meet additional requirements that ing and closing dates for applications,
may be stated in Announcements of and any other information or matters
Opportunity (AO) soliciting applica- determined to be pertinent to the pro-
tions for particular spaceflights. gram in general and/or the specific
(c) Persons accepted as space flight flight.
participant candidates will enter into (b) All applications received in re-
an agreement with NASA for the pe- sponse to the AO will be screened to
riod of training, flight, debriefing, and eliminate those applicants not meeting
post-flight activities. The agreements the basic qualification requirements.
will cover such pertinent matters as, (c) Remaining applications will be
but not limited to, responsibilities and forwarded to the outside review panel
established for the announcement in
authorities of the respective parties,
question and composed of members ap-
compensation where appropriate, in-
propriate to the specific purposes stat-
surance, and liability. ed in that announcement. The review
(d) Typically the selection of space panel will evaluate all the applications
flight participants will be based on and recommend to NASA a list of those
their comparative abilities to fulfill applicants who appear most likely to
the objectives and purposes stated in meet the purposes.
Announcement of Opportunities (AOs) (d) NASA selection of applicants
covering one or more Space Shuttle qualified to undergo necessary training
missions in which their participation is and be certified for flight will be made
desired. A NASA-designated outside re- by the Committee, based upon criteria
view panel will evaluate the qualifica- that include:
tions of applicants to select those who (1) Recommendation of the outside
most appropriately meet those pur- review panel.
poses of participant flight associated (2) Ability to undergo successfully
with the particular AO. NASA will re- the necessary period of training to en-
tain the authority to make final selec- sure adaptation to flight experience
tion of space flight participants for and mission activities.
flight training and eventual flight from (3) Ability to pass medical and psy-
among those applicants rated most chological examinations to minimize
highly in the review process. NASA the possibility of hazard to persons or
will encourage the participation of a missions.
(4) Adaptability to living and work-
wide and diverse array of participants,
ing in space.
including women and minorities.
(5) Willingness to enter into an agree-

[49 FR 17737, Apr. 25, 1984, as amended at 56 ment with NASA covering pre-flight,
FR 47148, Sept. 18, 1991] flight, and post-flight activities, with
134
individual rights and responsibilities 1215.107 User data security and frequency
set forth in that agreeement. authorizations.
(6) Satisfactory completion of a 1215.108 Defining user service requirements.
1215.109 Scheduling user service.
background investigation conducted to 1215.110 User cancellation of all services.
NASAs standards as adjudicated by 1215.111 User postponement of service.
the NASA Security Officer. 1215.112 User/NASA contractual arrange-
(e) The Committee will submit a list ment.
of those candidates suitable for selec- 1215.113 User charges.
tion to the NASA Administrator, who 1215.114 Service rates.
will select the requisite number to un- 1215.115 Payment and billing.
dergo the necessary training to prepare APPENDIX A TO PART 1215ESTIMATED SERV-
ICE RATES IN 1997 DOLLARS FOR TDRSS
them for space flight.
STANDARD SERVICES (BASED ON NASA ES-
(f) Those candidates who successfully CALATION ESTIMATE)
complete the training will become APPENDIX B TO PART 1215FACTORS AFFECT-
qualified as space flight participants. ING STANDARD CHARGES
Flight assignments will be made by the APPENDIX C TO PART 1215TYPICAL USER AC-
Administrator from this qualified TIVITY TIMELINE
group. NASA reserves the right to so- AUTHORITY: Sec. 203, Pub. L. 85568, 72 Stat.
licit additional space flight participant 429, as amended; 42 U.S.C. 2473.
applications, if necessary. SOURCE: 48 FR 9845, Mar. 9, 1983, unless oth-
(g) Authority to officially designate erwise noted.
candidates for training, certify can-
didates as qualified space flight par- Subpart 1215.1Use and Reim-
ticipants, and assign space flight par-
ticipants to specific Space Shuttle
bursement Policy for Non-U.S.
flights is reserved to the Adminis- Government Users
trator. 1215.100 General.
1214.1706 Program management. TDRSS represents a major invest-
The Associate Administrator for ment by the U.S. Government with the
Space Flight is responsible for program primary goal of providing improved
management under the direction of the tracking and data acquisition services
to spacecraft in low-Earth orbit or to
Committee chairperson.
mobile terrestrial users such as air-
1214.1707 Media and public inquiries. craft or balloons. It is the objective of
NASA to operate as efficiently as pos-
(a) The Associate Administrator for sible with TDRSS, is to the mutual
External Relations will respond to all benefit of all users. Such user consider-
inquiries directed to the agency con- ation will permit NASA and non-NASA
cerning space flight participants and service to be delivered without compro-
the process by which they are selected. mising the mission objectives of any
(b) The names of all applicants will individual user. The reimbursement
be withheld from public release until policy is designed to comply with the
the space flight participants are se- Office of Management and Budget Cir-
lected by the Administrator. cular A25 on User Charges, dated Sep-
tember 23, 1959, as updated, which re-
PART 1215TRACKING AND DATA quires that a reasonable charge should
RELAY SATELLITE SYSTEM (TDRSS) be made to each identifiable recipient
for a measurable unit or amount of
Subpart 1215.1Use and Reimbursement Government service or property from
Policy for Non-U.S. Government Users which a special benefit is derived.
Sec. [77 FR 6952, Feb. 10, 2012]
1215.100 General.
1215.101 Scope. 1215.101 Scope.
1215.102 Definitions.
This subpart sets forth the policy
1215.103 Services.
1215.104 Apportionment and assignment of governing TDRSS services provided to
services. non-U.S. Government users and the re-

1215.105 Delivery of user data. imbursement for rendering such serv-
1215.106 User command and tracking data. ices. Cooperative missions are not
135
1215.102 14 CFR Ch. V (1116 Edition)
under the purview of this subpart. The (1) Prelaunch support planning, anal-
arrangements for TDRSS services for ysis, and documentation.
cooperative missions will be covered in (2) Compatibility testing.
an agreement, as a consequence of ne- (3) Prelaunch support for data-flow
gotiations between NASA and the testing and related activities.
other concerned party. Any agreement (4) User services scheduling.
which includes provision for any (c) Mission-unique services. Other
TDRSS service will require signatory tracking and data services desired by
concurrence by the Deputy Associate the user that are beyond the standard
Administrator for SCaN prior to dedi- and required support services defined
cating SCaN resources for support of a above. The associated charges for these
cooperative mission. services will be identified and assessed
[77 FR 6952, Feb. 10, 2012]
on a case-by-case basis.
[77 FR 6952, Feb. 10, 2012]
(a) User. Any non-U.S. Government 1215.104 Apportionment and assign-
representative or entity that enters ment of services.
into an agreement with NASA to use No user may apportion, assign, or
TDRSS services. otherwise convey to any third party its
(b) TDRSS. TDRSS, including Track- TDRSS service. Each user may obtain
ing and Data Relay Satellites (TDRS), service only through contractual
WSC, GRGT, and the necessary TDRSS agreement with the Associate Adminis-
operational areas, interface devices, trator for Space Operations.
and NASA communication circuits [56 FR 28048, June 19, 1991]
that unify the above into a functioning
system. It specifically excludes the 1215.105 Delivery of user data.
user ground system/TDRSS interface.
(a) As a standard service, NASA will
(c) Bit stream. The electronic signals
provide to the user its data from
acquired by TDRSS from the user craft
TDRSS in the form of one or more dig-
or the user-generated input commands
ital or analog bit streams synchronized
for transmission to the user craft.
to associated clock streams at WSC or
(d) Scheduling service period. One
GRGT.
scheduled contact utilizing a single
(b) User data-handling requirements
TDRS, whereby the user, by requesting
beyond WSC or GRGT interface will be
service, is allotted a block of time for
provided as a standard service to the
operations between the user satellite
user, to the extent that the require-
and TDRSS.
ments do not exceed NASAs planned
[77 FR 6952, Feb. 10, 2012] standard communications system. Any
additional data transport or handling
1215.103 Services. requirements exceeding NASAs capa-
(a) Standard services. These are serv- bility will be dealt with as a mission-
ices which TDRSS is capable of pro- unique service.
viding to low-Earth orbital user space- (c) No storage of the user data is pro-
craft or other terrestrial users. Data vided in the standard service. NASA
are delivered to WSC or GRGT. A de- will provide short-term temporary re-
tailed description of services is pro- cording of data at WSC in the event of
vided in the GSFC Space Network a NASA Integrated Services Network
Users Guide, 450SNUG. Contact the (NISN) link outage.
Chief, Networks Integration Manage- (d) NASA will provide TDRSS serv-
ment Office, at the address in Section ices on a reasonable efforts basis,
1215.108(d) to obtain a copy of the and, accordingly, will not be liable for
SNUG. damages of any kind to the user or
(1) Tracking service. third parties for any reason, including,
(2) Data acquisition service. but not limited to, failure to provide
(3) Command transmission service. agreed-to services. The price for
(b) Required Support Services. These TDRSS services does not include a con-
are support activities that are required tingency or premium for any potential
to obtain TDRSS services. damages. The user will assume any
136
risk of damages or obtain insurance to straints, which are detailed in the

protect against any risk. SNUG, as early as possible. This action
[77 FR 6952, Feb. 10, 2012]
allows the user to evaluate the trade-
offs available among various TDRSS
1215.106 User command and tracking services, spacecraft design, operations
data. planning, and other significant mission
(a) User command data shall enter parameters. It is recommended that po-
TDRSS via the NISN interface at WSC tential users contact the NIMO as
or GRGT. early as possible for assistance in per-
(b) NASA is required to have knowl- forming the trade studies. When these
edge of the user satellite orbital ele- evaluations have been completed, and
ments to sufficient accuracy to permit the user desires to use TDRSS, the user
TDRSS to establish and maintain ac- should initiate a request for TDRSS
quisition. This can be accomplished in service.
two ways: (a) Initial requests for TDRSS service
(1) The user can provide the orbital from non-U.S. Government users shall
elements in a NASA format to meet be addressed to SCaN at NASA Head-
TDRSS operational requirements. quarters, as follows: Deputy Associate
(2) The user shall ensure that a suffi- Administrator: Space Communications
cient quantity of tracking data is re- and Navigation Division, National Aer-
ceived to permit the determination of onautics and Space Administration,
the user satellite orbital elements. The Washington, DC 20546.
Flight Dynamics Facility (FDF) at (b) Upon review and acceptance of
GSFC will provide the orbit determina- the service request, preliminary anal-
tion service to these users. The charges yses shall be performed to determine
for this service will be negotiated be- the feasibility of meeting the proposed
tween the FDF and the user and will be requirements.
dependent on user requirements. (c) If the request is determined to be
feasible, the user and SCaN shall nego-
[77 FR 6952, Feb. 10, 2012]
tiate an agreement for provision of the
1215.107 User data security and fre- requested services. Acceptance of user
quency authorizations. requests for TDRSS service is the sole
(a) User data security is not provided prerogative of NASA.
by the TDRSS. Responsibility for data (d) Upon approval of the agreement
security resides solely with the user. by both parties, GSFC will be assigned
Users desiring data safeguards shall to produce the detailed requirements,
provide and operate, external to the plans, and documentation necessary for
TDRSS, the necessary equipment or support of the mission. Changes to user
systems to accomplish data security. requirements shall be made as far in
Any such user provisions must be com- advance as possible and shall be sub-
patible with data flow through TDRSS mitted, in writing, to both SCaN at
and not interfere with other users. NASA Headquarters (see Section 108,
(b) All radio frequency authoriza- paragraph (a) for mailing address) and
tions associated with operations pursu- GSFC, as follows: Chief: Networks Inte-
ant to this directive are the responsi- gration Management Office, Code 450.1,
bility of the user. If appropriate, au- NASA Goddard Space Flight Center, M/
thority(ies) must be obtained from the S 450.1, 8800 Greenbelt Road Greenbelt,
Federal Communications Commission MD 20771.
(FCC) for operations consistent with [77 FR 6953, Feb. 10, 2012]
U.S. footnote 303 of the National Table
of Frequency Allocations, FCC Rules 1215.109 Scheduling user service.
and Regulations, at 47 CFR 2.106. (a) User service shall be scheduled
[56 FR 28049, June 19, 1991] only by NASA. TDRSS services will be
provided in accordance with oper-
1215.108 Defining user service reational priorities established by the
quirements.
NASA Administrator or his/her des-

Potential users should become famil- ignee. See Appendix A for a description
iar with TDRSS capabilities and con- of a typical user activity timeline.
137
1215.110 14 CFR Ch. V (1116 Edition)
(b) Schedule conflict will be resolved (6) Special test requirements, data
in general by application of principles flows, and simulations, etc.
of priority to user service require- (7) Identification of terrestrial data
ments. Services shall be provided ei- transport requirements, interface
ther as normally scheduled service or points, and delivery locations, includ-
as emergency service. Priorities will be ing latency and line loss recovery.
different for emergency service than (e) To provide for effective planning,
for normal services. reference Appendix A, Typical New
(1) Normally scheduled service is User Activity Timeline.
service which is planned and ordered
[77 FR 6953, Feb. 10, 2012]
under normal operational conditions
and is subject to schedule conflict reso- 1215.110 User cancellation of all serv-
lution under normal service priorities. ices.
Requests for normally scheduled serv-
The user has the right to terminate
ice must be received by the schedulers
its service contract with NASA at any
at the GSFC WSC Data Services Man-
time. A user who exercises this right
agement Center (DSMC) no later than
after contracting for service shall pay
21 days prior to the requested support
the charge agreed upon for services
time.
previously rendered, and the cost in-
(2) At times, emergency service re-
curred by the Government for support
quirements will override normal sched-
of pre-launch activities, services, and
ule priority. Under emergency service
mission documentation not included in
conditions, disruptions to scheduled
that charge. The user will remain re-
service will occur.
sponsible for the charges for any serv-
(3) The DSMC reserves the sole right ices actually provided.
to schedule, reschedule, or cancel
TDRSS service. 1215.111 User postponement of serv-
(4) NASA schedulers will exercise ice.
judgment and endeavor to see that The user may postpone the initiation
lower-priority users are not excluded of contracted service (e.g., user launch
from a substantial portion of their con- date) by delivery of written notifica-
tracted-for service due to the require- tion to NASA Headquarters, Code OX.
ments of higher-priority users. Any delay in the contracted start of
(c) General user service require- service date may affect the quantity of
ments, which will be used for prelimi- service to be provided due to commit-
nary planning and mission modeling, ments to other support requirements.
should include all pertinent informa- Therefore, the validity of previous esti-
tion necessary for NASA to determine mates of predicted support availability
if the proposed service is achievable. may no longer be applicable.
Contact NIMO to discuss usage and re-
quirements. [56 FR 28049, June 19, 1991]
(d) Such user service requirements
1215.112 User/NASA contractual ar-
information typically includes: rangement.
(1) Date of service initiation.
(2) The type of TDRSS services de- No service shall be provided without
sired (e.g., multiple access, tracking, an approved agreement.
etc.), and the frequency and duration of [77 FR 6953, Feb. 10, 2012]
each service.
(3) Orbit or trajectory parameters 1215.113 User charges.
and tracking data requirements. (a) The user shall reimburse NASA
(4) Spacecraft events significant to the sum of the charges for standard
tracking, telemetry or command re- and mission-unique services. Charges
quirements. will be based on the service rates appli-
(5) Communications systems spe- cable at the time of service.
cifics, including location of antennas (b) For standard services, the user
and other related information dealing shall be charged only for services ren-
with user tracking, command, and data dered, except that if a total cancella-
systems. tion of service occurs, the user shall be
138
National Aeronautics and Space Admin. Pt. 1215, App. A
charged in accordance with the provi- ices rendered nominally 6090 days in
sions of 1215.110. advance, or as otherwise agreed, of the
(1) Standard services which are first anticipated property use or re-
scheduled, and then cancelled by the quired service date for each mission.
user less than 72 hours prior to the The full cost of the mission shall be
start of that scheduled service period, paid by the customer not later than 30
will be charged as if the scheduled days prior to the first anticipated prop-
service actually occurred. erty use or required service date.
(2) The time scheduled by the user (2) In some cases, an advance partial
project shall include the slew time, set payment will be required sixnine
up and/or configuration time, TDRSS months prior to the first anticipated
contact time, and all other conditions property use or required service date in
for which TDRSS services were allo- order for advance planning work and/or
cated to the user. travel to take place. The amount of
(3) Charges will be accumulated by this partial payment and its receipt
the minute, based on the computerized shall be negotiated on an as-needed
schedule/configuration messages which
basis. Adjustments to the amounts pre-
physically set up TDRSS equipment at
paid will be made to the succeeding bil-
the start of a support period and free
lings as the actual services are ren-
the equipment for other users at the
dered.
end of a support period.
(c) The user shall reimburse NASA (3) If the customer fails to make pay-
for the costs of any mission-unique ment by the payment due date, NASA
services provided by NASA. may terminate the agreement and any
subagreements for breach of agreement
[77 FR 6953, Feb. 10, 2012] after notice to the customer is given of
this breach and failure to cure such
1215.114 Service rates.
breach within a time period established
(a) Rates for TDRSS services will be by NASA.
established by the DAA for SCaN. (b) Late payments by the user will
(b) Per-minute rates will reflect require the user to pay a late payment
TDRSS total return on investment and charge.
operational and maintenance costs.
(c) The rate per minute by service [77 FR 6954, Feb. 10, 2012]
and type of user is available on the fol-
lowing Web site: https:// APPENDIX A TO PART 1215ESTIMATED
www.spacecomm.nasa.gov/spacecomm/pro- SERVICE RATES IN 1997 DOLLARS FOR
grams/Spacelnetwork.cfm. TDRSS STANDARD SERVICES (BASED
(d) The per-minute charge for TDRSS ON NASA ESCALATION ESTIMATE)
service is computed by multiplying the Time: Project conceptualization (at least
charge per minute for the appropriate two years before launch; Ref. 1215.108(a)).
service by the number of minutes uti- Activity: Submit request for access to
lized. TDRSS. Upon preliminary acceptance of the
[77 FR 6953, Feb. 10, 2012] service requirements by NASA Headquarters,
communications for the reimbursable devel-
1215.115 Payment and billing. opment of a Space Act Agreement (SAA) will
begin. Prior to finalization of the Memo-
(a) The procedure for billing and pay- randum of Agreement (MOA), an estimate
ment of standard TDRSS services is as for the services will be issued. After SAA sig-
follows: nature, full funding of the effort must be re-
(1) NASA shall be reimbursed by cus- ceived prior to NASA initiating any activi-
tomers in connection with the use of ties associated with the effort. (Ref.
Government property and services pro- 1215.115(a)(1)).
vided under an approved reimbursable Time: 18 months before launch (Ref.
1215.109(c).
agreement. Advance payment for serv-
Activity: After full funding has been re-
ices is required. Advance payments ceived and distributed to the executing
shall be scheduled to keep pace with NASA entities, submit general user require-
the rate at which NASA anticipates in- ments to permit preliminary planning. Con-
curring costs. NASA will provide a Cus- tact will occur to facilitate the integration
tomer Budget/Estimate (CBE) for serv- process for access to TDRSS. If appropriate,
139
Pt. 1215, App. B 14 CFR Ch. V (1116 Edition)
initiate action with the Federal Communica- Time (approximate) Activity
tions Commission for license to commu-
nicate with TDRSS (Ref. 1215.107(b)). 18 months before Provide detailed requirements for tech-
Time: 12 months before launch (earlier if launch (earlier if nical definition and development of
interfacing is ex- operational documents and ICDs.
possible). pected).. (Ref. 1215.109(e)). If appropriate,
Activity: Provide detailed requirements for initiate action with the Federal Com-
technical definition and development of munications Commission for license
operational and interface control documents. to communicate with TDRSS at least
(Ref. 1215.109(d)). 18 months prior to launch (Ref.
Time: 3 weeks prior to a Scheduled Support 1215.107(b)).
Period (SSP). 3 weeks prior to a Submit scheduling request to GSFC
scheduled sup- covering a weekly period. Receive
Activity: Submit scheduling request to port period (SSP). schedule from GSFC based on prin-
NASA covering a weekly period. Receive 2 weeks prior to ciples of priority (Ref.
schedule from NASA based on principles of an SSP. 1215.109(b)(2)). Acknowledgement
priority (Ref. 1215.109(b)). User confirmation to GSFC required.
of the schedule is required. Up to 12 hours prior Can cancel an SSP without charge
Time: Up to 72 hours prior to an SSP. to an SSP.. (Ref. 1215.113(a)(1)).
Activity: Can cancel an SSP without charge Up to 45 minutes Can schedule an SSP if a time slot is
(Ref. 1215.113(b)(1)). prior to an SPP.. available without impacting another
user.
Time: Up to 45 minutes prior to an SPP.
Between SSP Schedule requests will be charged at
Activity: Can schedule an SSP if a time slot minus 45 minutes the disruptive update rate (Ref.
is available without impacting another user. and the SSP.. 1215.109(b)(5)).
Time: Up to 10 minutes prior to an SSP. Real-Time. .............. Emergency service requests will be re-
Activity: Can schedule an SSP utilizing sponded to per the priority system
TDRSS unused time (TUT). (Ref. 1215.109(b)(3)) and assessed
the emergency service rate.
[77 FR 6954, Feb. 10, 2012]
APPENDIX B TO PART 1215FACTORS [56 FR 28049, June 19, 1991]

AFFECTING STANDARD CHARGES
Charges for services shall be determined by
PART 1216ENVIRONMENTAL
multiplying the factors below by the base QUALITY
rates for standard services set forth in ap-
pendix A. Subpart 1216.1Policy on Environmental
Quality and Control
Emer-
Time or gency
Flexi- position service, Sec.
ble con- 1216.100 Scope.
disruptive
strained updates 1216.101 Applicability.
Single access service .......... .5 1 2 1216.102 Policy.
Multiple access forward 1216.103 Responsibilities of NASA officials.
(command) service .......... .67 1 2
Subpart 1216.2 [Reserved]
Emer-
Normally Subpart 1216.3Procedures for Imple-
gency
sched- service, menting the National Environmental
uled sup- disruptive
port Policy Act (NEPA)
updates
Multiple access return (telemetry) 1216.300 Scope.

service ............................................ 1 2 1216.301 Applicability.
1216.302 Responsibilities.
APPENDIX C TO PART 1215TYPICAL 1216.303 NEPA process in NASA planning
USER ACTIVITY TIMELINE and decision making.
1216.304 Categorical exclusions.
Time (approximate) Activity 1216.305 Actions requiring environmental
assessments.
Project Request NASA Headquarters perform 1216.306 Actions normally requiring an EIS.
conceptualization study to determine availability of
(At least 3 years TDRSS. If accepted as a user, begin 1216.307 Programmatic EAs, EISs, and
before launch; contractual negotiation by submis- tiering.
Ref. sion of $25,000 non-refundable 1216.308 Supplemental EAs and EISs.
1215.108(a)). charge, and place into mission 1216.309 Mitigation and monitoring.
model. 1216.310 Classified actions.
3 years before Submit general user requirements to
1216.311 Emergency responses.

launch (Ref. permit preliminary planning. Begin
1215.109(c).. payment for pre-mission activities APPENDIX A TO SUBPART 1216.3 OF PART 1216
(Ref. 1215.115(b)(5)). ACRONYMS AND DEFINITIONS
140
Subpart 1216.1Policy on (e) Pursue research and development,

Environmental Quality and Control within the scope of NASAs authority
or in response to authorized agencies,
for application of technologies useful
AUTHORITY: The National Aeronautics and in the protection and enhancement of
Space Act of 1958, as amended (42 U.S.C. 2451
environmental quality;
et seq.); the National Environmental Policy
Act of 1969 (NEPA), as amended (42 U.S.C. (f) Initiate and utilize ecological and
4321 et seq.); the Environmental Quality Im- other environmental information in
provement Act of 1970, as amended (42 U.S.C. the planning and development of re-
4371 et seq.); sec. 309 the Clean Air Act, as source-oriented projects; and
amended (42 U.S.C. 7609); E.O. 11514 (Mar. 5, (g) Invite cooperation, where appro-
1970, as amended by E.O. 11991, May 24, 1977); priate, from Federal, State, local, and
the Council on Environmental Quality NEPA regional authorities and the public in
Regulations (40 CFR part 15001508); and E.O.
NASA planning and decisionmaking
12114, Jan. 4, 1979 (44 FR 1957).
processes.
SOURCE: 44 FR 44485, July 30, 1979, unless
otherwise noted. 1216.103 Responsibilities of NASA of-
ficials.
1216.100 Scope. (a) The Associate Administrator for
This subpart sets forth NASA policy Management or designee shall:
on environmental quality and control (1) Coordinate the formulation and
and the responsibilities of NASA offi- revision of NASA policies and positions
cials in carrying out these policies. on matters pertaining to environ-
mental protection and enhancement;
1216.101 Applicability. (2) Represent NASA in working with
This subpart is applicable to NASA other governmental agencies and inter-
Headquarters and field installations. agency organizations to formulate, re-
vise, and achieve uniform under-
1216.102 Policy. standing and application of govern-
mentwide policies relating to the envi-
NASA policy is to: ronment;
(a) Use all practicable means, con- (3) Develop and ensure the implemen-
sistent with NASAs statutory author- tation of agencywide standards, proce-
ity, available resources, and the na- dures, and working relationships for
tional policy, to protect and enhance protection and enhancement of envi-
the quality of the environment; ronmental quality and compliance with
(b) Provide for proper attention to applicable laws and regulations;
and ensure that environmental amen- (4) Develop, as an integral part of
ities and values are given appropriate NASAs basic decision processes, proce-
consideration in all NASA actions, in- dures to ensure that environmental
cluding those performed under con- factors are properly considered in all
tract, grant, lease, or permit; proposals and decisions;
(c) Recognize the worldwide and long- (5) Establish and maintain working
range character of environmental con- relationships with the Council on Envi-
cerns and, when consistent with the ronmental Quality, Environmental
foreign policy of the United States and Protection Agency, and other national,
its own responsibilities, lend appro- state, and local governmental agencies
priate support to initiatives, resolu- concerned with environmental matters;
tions, and programs designed to maxi- (6) Acquire information for and en-
mize international cooperation in an- sure the preparation of appropriate
ticipating and preventing a decline in NASA reports on environmental mat-
the quality of the world environment; ters.
(d) Use systematic and timely ap- (b) Officials-in-Charge of Head-
proaches which will ensure the inte- quarters Offices and NASA Field In-
grated use of the natural and social stallation Directors are responsible for:
sciences and environmental design arts (1) Identifying matters under their
in planning and decisionmaking for ac- cognizance which may affect protec-
tions which may have an impact on the tion and enhancement of environ-
human environment; mental quality and for employing the
141
1216.300 14 CFR Ch. V (1116 Edition)
proper procedures to ensure that nec- Subpart 1216.3Procedures for

essary actions are taken to meet the Implementing the National
requirements of applicable laws and Environmental Policy Act
regulations;
(NEPA)
(2) Coordinating environmental qual-
ity-related activities under their cog-
nizance with the Associate Adminis- AUTHORITY: The National Aeronautics and
Space Act of 1958, as amended (51 U.S.C. 20101
trator for Management; and et seq.); The National Environmental Policy
(3) Supporting and assisting the As- Act of 1969, as amended (42 U.S.C. 4321 et
sociate Administrator for Management seq.); the Council on Environmental Quality
on request. (CEQ) Regulations for Implementing the
(c) Officials-in-Charge of Head- Procedural Provisions of the National Envi-
quarters Offices are additionally re- ronmental Policy Act (40 CFR parts 1500
1508).
sponsible for:
(1) Giving high priority, in the pur- SOURCE: 77 FR 3103, Jan. 23, 2012, unless
suit of program objectives, to the iden- otherwise noted.
tification, analysis, and proposal of re-
1216.300 Scope.
search and development which, if con-
ducted by NASA or other agencies, (a) This subpart implements NEPA,
may contribute to the achievement of setting forth NASAs policies and pro-
beneficial environmental objectives; cedures for the early integration of en-
and vironmental considerations into plan-
(2) In coordination with the Asso- ning and decision making.
ciate Administrator for Management, (b) Through this subpart, NASA
making available to other parties, both adopts the CEQ regulations imple-
governmental and nongovernmental, menting NEPA (40 CFR parts 15001508)
advice and information useful in pro- and supplements those regulations
tecting and enhancing the quality of with this subpart 1216.3, for actions
the environment. proposed by NASA that are subject to
(d) NASA Field Installation Directors NEPA requirements. This subpart is to
are additionally responsible for: be used in conjunction with the CEQ
regulations. Consistent with the CEQ
(1) Implementing the NASA policies,
regulations at 40 CFR part 1500.3, no
standards and procedures for the pro-
trivial violation of this part shall give
tection and enhancement of environ-
rise to any independent cause of ac-
mental quality and supplementing tion. This subpart and NASAs NEPA
them as appropriate in local cir- policy are available on NASAs Public
cumstances; Portal at http://www.nasa.gov/agency/
(2) Specifically assigning responsibil- nepa/ (under NEPA Process).
ities for environmental activities
under the installations cognizance to 1216.301 Applicability.
appropriate subordinates, while pro-
This subpart applies to all organiza-
viding for the coordination of all such tional elements of NASA.
activities; and
(3) Establishing and maintaining 1216.302 Responsibilities.
working relationships with national,
(a) The NASA Senior Environmental
state, regional and governmental agen-
Official (SEO) (as defined in Appendix
cies responsible for environmental reg-
A to this subpart) is responsible for
ulations in localities in which the field overseeing and guiding NASAs inte-
installations conduct their activities. gration of NEPA into the Agencys
[44 FR 44485, July 30, 1979, as amended at 53 planning and decision making. The
FR 9760, Mar. 25, 1988] SEO, with the assistance of the Office
of the General Counsel (OGC), is re-
Subpart 1216.2 [Reserved] sponsible for developing NASA NEPA
regulations and maintaining up-to-date

Agency-wide NEPA guidance that fully
integrates NEPA analysis into Agency
142
planning and decision-making proc- (c) NASA must comply with this sub-
esses. The SEO shall monitor this proc- part when considering issuance of a
ess to ensure that these regulations permit, lease, easement, or grant to a
and the associated Agency guidance non-Federal party and may seek such
are achieving their purposes. In addi- non-Federal partys assistance in ob-
tion, the NASA SEO is responsible for taining necessary information and
coordinating with other Federal agen- completing the NEPA process. The Re-
cies and the CEQ and consolidating and sponsible Official(s) for such action(s),
transmitting NASAs comments on in consultation with HQ/EMD and/or
EISs and other NEPA documentation the Centers environmental manage-
prepared by other Federal agencies: ment office, will determine the type of
(1) The NASA Headquarters/Environ- environmental information needed
mental Management Division (HQ/ from the non-Federal party and the ex-
EMD) is delegated the SEOs overall re- tent of the non-Federal partys partici-
sponsibility of implementing NEPA pation in the necessary NEPA process.
functions and guiding NASAs integra-
tion of NEPA into the Agencys plan- 1216.303 NEPA process in NASA
ning and decision making for all NASA planning and decision making.
activities. The HQ/EMD provides advice (a) NEPA requires the systematic ex-
and consultation to all NASA entities amination of the environmental con-
in implementing their assigned respon- sequences of implementing a proposed
sibilities under NEPA. Interested per- Agency action. Full integration of the
sons can obtain information on the sta- NEPA process with NASA project and
tus of EISs and other elements of the program planning improves Agency de-
NEPA process by contacting the NASA cisions and ensures that:
NEPA Manager at HQ/EMD identified (1) Planning and decision making
at http://www.nasa.gov/agency/nepa/ support NASAs strategic plan commit-
NEPATeam.html. ment to sustainability and environ-
(2) Each NASA Center has an envi- mental stewardship and comply with
ronmental management office that applicable environmental statutes, reg-
guides and supports the working-level ulations, and policies.
functions of the NEPA process, such as (2) The public is appropriately en-
evaluating proposed actions; devel- gaged in the decision-making process.
oping, reviewing, and approving re- (3) Procedural risks and delays are
quired documentation; and advising minimized.
project managers. (b) Determining the appropriate level
(b) The Responsible Official shall en- of NEPA review and documentation for
sure that planning and decision mak- a proposed NASA action will depend
ing for each proposed Agency action upon the scope of the action and the
complies with these regulations and context and intensity of the reasonably
with Agency NEPA policy and guid- foreseeable environmental impacts.
ance provided by the SEO, HQ/EMD, (c) The environmental impacts of a
and the Centers environmental man- proposed Agency action must be con-
agement office. For facility programs sidered, along with technical, eco-
and projects, the Responsible Official is nomic, and other factors that are rea-
the individual responsible for estab- sonably foreseeable, beginning in the
lishing, developing, and maintaining early planning stage of a proposed ac-
the institutional capabilities required tion. NASA will take no action which
for the execution of programs and would have an adverse environmental
projects (e.g., Center Director, facility impact or limit the choice of reason-
manager). For other programs and able alternatives prior to completion of
projects, (e.g., space flight programs/ its NEPA review.
projects, R&D programs/projects) the
Responsible Official is the NASA offi- 1216.304 Categorical exclusions.
cial responsible for the formulation (a) Categorical Exclusions (CatExs)
and implementation of the program or are categories of Agency actions with
project (e.g., The Associate Adminis- no individually or cumulatively signifi-

trator for Science Mission Directorate, cant impact on the human environ-
Center Director). ment and for which neither an EA nor
143
1216.304 14 CFR Ch. V (1116 Edition)
an EIS is required. The use of a CatEx (d) Specific NASA actions meeting
is intended to reduce paperwork, im- the criteria for being categorically ex-
prove Government efficiency, and cluded from the requirements for EAs
eliminate delays in the initiation and and EISs are as follows:
completion of proposed actions having (1) Administrative Activities includ-
no significant impact. ing:
(b) A proposed action may be cat- (i) Personnel actions, organizational
egorically excluded if the action fits changes, and procurement of routine
within a category of actions eligible goods and services.
for exclusion (such categories are list- (ii) Issuance of procedural rules,
ed in paragraph (d) of this section)), manuals, directives, and requirements.
and the proposed action does not in- (iii) Program budget proposals, dis-
volve any extraordinary circumstances bursements, and transfer or reprogram-
as described in paragraph (c) of this ming of funds.
section: (iv) Preparation of documents, in-
(c) Extraordinary circumstances that cluding design and feasibility studies,
will preclude the use of CatExs occur analytical supply and demand studies,
when the proposed action: reports and recommendations, master
(1) Has a reasonable likelihood of and strategic plans, and other advisory
having (individually or cumulatively) documents.
significant impacts on public health, (v) Information-gathering exercises,
safety, or the environment. such as inventories, audits, studies,
(2) Imposes uncertain or unique envi- and field studies, including water sam-
ronmental risks. pling, cultural resources surveys, bio-
(3) Is of significantly greater scope or logical surveys, geologic surveys, mod-
size than is normal for this category of eling or simulations, and routine data
action. collection and analysis activities.
(4) Has a reasonable likelihood of vio- (vi) Preparation and dissemination of
lating Federal, federally recognized In- information, including document mail-
dian tribe, State, and/or local law or ings, publications, classroom mate-
requirements imposed for the protec- rials, conferences, speaking engage-
tion of the environment. ments, Web sites, and other edu-
(5) Involves impacts on the quality of cational/informational activities.
the environment that are likely to be (vii) Software development, data
environmentally controversial. analysis, and/or testing, including com-
(6) May adversely affect environ- puter modeling.
mentally sensitive resources, such as, (viii) Interpretations, amendments,
but not limited to, federally listed and modifications to contracts, grants,
threatened or endangered species, their or other awards.
designated critical habitat, wilderness (2) Operations and Management Ac-
areas, floodplains, wetlands, aquifer re- tivities including:
charge areas, coastal zones, wild and (i) Routine maintenance, minor con-
scenic rivers, and significant fish or struction or rehabilitation, minor dem-
wildlife habitat, unless the impact has olition, minor modification, minor re-
been resolved through another environ- pair, and continuing or altered oper-
mental review process; e.g., the Clean ations at, or of, existing NASA or
Water Act (CWA), the Coastal Zone NASA-funded or -approved facilities
Management Act (CZMA). and equipment, such as buildings,
(7) May adversely affect known na- roads, grounds, utilities, communica-
tional natural landmarks, or cultural tion systems, and ground support sys-
or historic resources, including, but tems, such as space tracking and data
not limited to, property listed on or el- systems.
igible for the National Register of His- (ii) Installation or removal of equip-
toric Places, unless the impact has ment, including component parts, at
been resolved through another environ- existing Government or private facili-
mental review process; e.g., the Na- ties.

tional Historic Preservation Act (iii) Contribution of equipment, soft-
(NHPA). ware, technical advice, exchange of
144
data, and consultation to other agen- conducted by NASA, would be categori-

cies and public and private entities, cally excluded in accordance with this
where such assistance does not control section (REC required).
a receiving entitys program, project, (iv) Transfer of real property admin-
or activity. istrative control to another Federal
(iv) NASA ceremonies, commemora- agency, including the return of public
tive events, and memorial services. domain lands to the Department of the
(v) Routine packaging, labeling, stor- Interior (DoI) or other Federal agen-
age, and transportation of hazardous cies, and reporting of property as ex-
materials and wastes, in accordance cess and surplus to the General Serv-
with applicable Federal, federally rec- ices Administration (GSA) for disposal,
ognized Indian tribe, State, and/or when the agency receiving administra-
local law or requirements. tive control (or GSA, following receipt
(3) Research and Development (R&D) of a report of excess) will complete any
Activities including: necessary NEPA review prior to any
(i) Research, development, and test- change in land use (REC required).
ing in compliance with all applicable (v) Acquisition of real property (in-
Federal, federally recognized Indian cluding facilities) where the land use
tribe, State, and/or local law or re- will not change substantially (REC re-
quirements and Executive orders. quired).
(ii) Use of small quantities of radio-
(5) Aircraft and Airfield Activities in-
active materials in a laboratory or in
cluding:
the field. Uses include material for in-
(i) Periodic aircraft flight activities,
strument detectors, calibration, and
other purposes. Materials must be li- including training and research and de-
censed, as required, and properly con- velopment, which are routine and com-
tained and shielded. ply with applicable Federal, federally
(iii) Use of lasers for research and de- recognized Indian tribe, State, and/or
velopment, scientific instruments and local law or requirements, and Execu-
measurements, and distance and rang- tive orders.
ing, where such use meets all applica- (ii) Relocation of similar aircraft not
ble Federal, federally recognized Indian resulting in a substantial increase in
tribe, State, and/or local law or re- total flying hours, number of aircraft
quirements, and Executive orders. This operations, operational parameters
applies to lasers used in spacecraft, air- (e.g., noise), or permanent personnel or
craft, laboratories, watercraft, or out- logistics support requirements at the
door activities. receiving installation (REC required).
(4) Real and Personal Property Ac- (e) The Responsible Official shall re-
tivities including: view the proposed action in its early
(i) Acquisition, transfer, or disposal planning stage and will consider the
of any personal property, or personal scope of the action and the context and
property rights or interests. intensity of any environmental im-
(ii) Granting or acceptance of ease- pacts to determine whether there are
ments, leases, licenses, rights-of-entry, extraordinary circumstances that
and permits to use NASA-controlled could result in environmental impacts.
property, or any other real property, If extraordinary circumstances exist,
for activities which, if conducted by the Responsible Official will either
NASA, would be categorically excluded withdraw the proposed action or ini-
in accordance with this section. This tiate an EA or EIS.
assumes that NASA has included any (f) The NASA SEO will review the
required notices in transfer docu- categorical exclusions at least every
mentation and any terms and condi- seven years, in accordance with CEQ
tions necessary to ensure protection of guidance, to determine whether modi-
the environment, as applicable (Record fications, additions, or deletions are
of Environmental Consideration (REC) appropriate, based upon NASAs experi-
required). ence. Recommendations for modifica-
(iii) Transfer or disposal of real prop- tions, additions, or deletions shall be

erty or real property rights or interests submitted to the SEO for consideration
if the change in use is one which, if and informal discussion with the CEQ.
145
1216.305 14 CFR Ch. V (1116 Edition)
1216.305 Actions requiring environ- (c) Development and operation of a

mental assessments. space flight project/program which
(a) The Responsible Official will pre- would launch and operate a nuclear re-
pare an EA when a proposed action actor or radioisotope power systems
cannot be categorically excluded, and and devices using a total quantity of
the proposed action is not expected to radioactive material greater than the
result in impacts that require analysis quantity for which the NASA Nuclear
in an EIS. The Responsible Official will Flight Safety Assurance Manager may
consider the scope of the action and grant nuclear safety launch approval
the context and intensity of any envi- (i.e., a total quantity of radioactive
ronmental impacts when determining material for which the A2 Mission Mul-
whether to prepare an EA. tiple (see definitions in Appendix A to
this subpart) is greater than 10)).
(b) Typical NASA actions normally
(d) Development and operation of a
requiring an EA include:
space flight project/program which
(1) Specific spacecraft development
would return samples to Earth from
and space flight projects/programs (as
solar system bodies (such as asteroids,
defined in Appendix A to this subpart).
comets, planets, dwarf planets, and
(2) Actions altering the ongoing oper- planetary moons), which would likely
ations at a NASA Center which could receive a Restricted Earth Return cat-
lead directly, indirectly, or cumula- egorization (as defined in Appendix A
tively to substantial natural or phys- to this subpart) from the NASA Plan-
ical environmental impacts. etary Protection Office or the NASA
(3) Construction or modifications of Planetary Protection Subcommittee.
facilities which are not minor. (e) Substantial modification of a
(4) Proposed actions that are ex- NASA facilitys master plan in a man-
pected to result in significant changes ner expected to result in significant ef-
to established land use. fect(s) on the quality of the human en-
(5) A space flight project/program vironment.
that would return extraterrestrial sam- (f) Substantial construction projects
ples to Earth from solar system bodies expected to result in significant ef-
(such as asteroids, comets, planets, fect(s) on the quality of the human en-
dwarf planets, and planetary moons), vironment, when such construction and
which would likely receive an Unre- its effects are not within the scope of
stricted Earth Return categorization an existing master plan and EIS.
(as defined in Appendix A to this sub-
part) from NASAs Planetary Protec- 1216.307 Programmatic EAs, and
tion Office (PPO) or the NASA Plan- EISs, and tiering.
etary Protection Subcommittee prior NASA encourages the analysis of ac-
to the return of samples to the Earth. tions at the programmatic level for
those programs similar in nature or
1216.306 Actions normally requiring broad in scope. Programmatic NEPA
an EIS.
analyses may take place in the form of
(a) NASA will prepare an EIS for ac- an EA or EIS. These documents allow
tions with the potential to signifi- tiering of NEPA documentation for
cantly impact the quality of the subsequent or specific actions.
human environment, including actions
for which an EA analysis demonstrates 1216.308 Supplemental EAs and EISs.
that significant impacts will poten- As detailed in CEQ regulations, sup-
tially occur which will not be reduced plemental documentation may be re-
or eliminated by changes to the pro- quired for previous EAs or EISs (see 40
posed action or mitigation of its poten- CFR 1502.9). If changed circumstances
tially significant impacts. require preparation of a supplemental
(b) Typical NASA actions normally EA or EIS, such document will be pre-
requiring an EIS include: pared following the same general proc-
(1) Development and operation of new ess as the original EA or EIS. No new
launch vehicles or space transportation scoping is required for a supplemental

systems. EIS; however, NASA may choose to
(2) [Reserved] conduct scoping.
146
National Aeronautics and Space Admin. Pt. 1216, Subpt. 1216.3, App. A
1216.309 Mitigation and monitoring. tify the SEO of the emergency situa-
When the analysis proceeds to an EA tion and the action(s) taken. The SEO
or EIS and mitigation measures are se- will determine the appropriate NEPA
lected to avoid or reduce environ- action associated with the urgent ac-
mental impacts, such mitigation meas- tions taken as a result of the emer-
ures will be identified in the EA/FONSI gency. If the urgent actions will rea-
or the EIS Record of Decision (ROD). sonably result in significant environ-
NASA will implement mitigation mental impacts, the SEO will consult
measures (including adaptive manage- with the CEQ to ensure compliance
ment strategies, where appropriate) with 40 CFR 1506.11 as soon as is rea-
consistent with applicable FONSIs and/ sonable.
or RODs and will monitor their imple- (c) If the Responsible Official pro-
mentation and effectiveness. The Re- poses emergency actions which con-
sponsible Official will ensure that fund- tinue beyond the urgent actions taken
ing requests for such mitigation meas- as a result of the emergency, and these
ures are included in the program or actions are not categorically excluded,
project budget. the Responsible Official will consult
with the SEO to determine the appro-
1216.310 Classified actions. priate level of NEPA compliance. If
(a) Classification does not relieve continuation of the emergency actions
NASA of the requirement to assess, will reasonably result in significant en-
document, and consider the environ- vironmental impacts, the SEO will
mental impacts of a proposed action. consult with the CEQ to ensure compli-
(b) When classified information can ance with 40 CFR 1506.11 as soon as is
reasonably be separated from other in- reasonable.
formation and a meaningful environ-
mental analysis can be produced, un- APPENDIX A TO SUBPART 1216.3 OF PART
classified documents will be prepared 1216ACRONYMS AND DEFINITIONS
and processed in accordance with these CatEx Categorical Exclusion
regulations. Classified portions will be CEQ Council on Environmental Quality
kept separate and provided to properly CFR Code of Federal Regulations
cleared reviewers and decision makers CWA Clean Water Act
in the form of a properly classified doc- CZMA Coastal Zone Management Act
ument that meets the requirements of DoI (U.S.) Department of the Interior
these regulations to the extent per- EA Environmental Assessment
EMD Environmental Management Division
mitted, given such classification. EIS Environmental Impact Statement
FONSI Finding of No Significant Impact
1216.311 Emergency responses. FR Federal Register
(a) When the Responsible Official de- GSA General Services Administration
termines that an emergency exists that NEPA National Environmental Policy Act
makes it necessary to take urgently NHPA National Historic Preservation Act
needed actions before preparing a SEO Senior Environmental Official
NEPA analysis and any required docu- OGC Office of the General Counsel
PPO Planetary Protection Office
mentation, in accordance with the pro- REC Record of Environmental Consider-
visions in 1216.305 and 1216.307 of this ation
subpart, then the following provisions ROD Record of Decision
apply: U.S.C. United States Code
(1) The Responsible Official may take
urgently needed actions that are nec- DEFINITIONS
essary to control the immediate im- 1. A2 Mission MultipleThe A2 Mission Mul-
pacts of the emergency needed to miti- tiple is a calculated value based on the
gate harm to life, property, or re- total amount of radioactive material being
sources. When taking such actions, the launched. This value is used in defining the
Responsible Official shall, to the ex- level of review and approval required for
launch.
tent practical, mitigate foreseeable ad- 2. Earth Return Mission (also known as a
verse environmental impacts. Sample Return)A subcategory of mis-
(2) [Reserved] sions that would collect extraterrestrial

(b) At the earliest practicable time, materials from solar system bodies and re-
the Responsible Official shall also no- turn them to Earth.
147
Pt. 1217 14 CFR Ch. V (1116 Edition)
3. NASA Senior Environmental OfficialThe uniquely associated equipment for use
Senior NASA Headquarters Official respon- in connection with a NASA inter-
sible for providing executive and func- national program or launch service
tional leadership for environmental com-
agreement. This part also sets forth
pliance. As of January 1, 2011, the SEO is
the Assistant Administrator for Strategic NASAs procedures with respect to the
Infrastructure. use of its authority to bring foreign-
4. Record of Environmental Consideration owned articles and articles from space
A brief document that is used to describe a into the customs territory of the
proposed action, identify the applicable United States, and describes the non-
categorical exclusion, and explain why fur- import status of such articles.
ther environmental analysis is not re-
quired. 1217.101 Applicability.
5. Restricted Earth ReturnA subcategory
of Earth Return Missions which requires This part applies to qualifying arti-
additional measures to ensure that any po- cles entered or withdrawn from ware-
tential indigenous life form would be con- house for consumption in the customs
tained so that it could not impact humans territory of the United States, and to
or Earths environment. articles brought into the customs terri-
6. Space Flight Projects/ProgramsThose tory of the United States by NASA
NASA actions that develop products in- from space or from foreign country as
tended for use in space and/or that support
ground and space operations for products
part of the NASA international pro-
in space. gram.
7. Unrestricted Earth ReturnNASA Proce-
dural Requirements define this as a sub- 1217.102 Background.
category of Earth Return Missions that In order to encourage and facilitate
would collect extraterrestrial materials the use of NASAs launch services for
from solar system bodies (deemed by sci- the exploration and use of space, sec-
entific opinion to have no indigenous life
tion 116 of Public Law 97446 provided
forms) and return those samples to Earth.
No planetary protection measures are re- for the duty-free entry into the United
quired for the inbound (return to Earth) States of certain articles imported by
phase of the mission. NASA for its space-related activities or
articles imported by another person or
PART 1217DUTY-FREE ENTRY OF entity for the purpose of meeting its
SPACE ARTICLES obligations under a launch services
agreement with NASA. Such articles
Sec.
were certified by NASA to the Commis-
1217.100 Scope. sioner of Customs for duty-free entry
1217.101 Applicability. to be launched into space or space
1217.102 Background. parts or necessary and uniquely associ-
1217.103 Authority to certify. ated support equipment for use in con-
1217.104 Certification forms. nection with a launch into space. This
1217.105 Procedures. exemption from duty was provided for
1217.106 Articles brought into the United
in Subheading 9808.00.80, Harmonized
States by NASA from space.
Tariff Schedule of the United States
AUTHORITY: 51 U.S.C. 20113; Proclamation (HTSUS) (19 U.S.C. 1202). Also, HTSUS,
No. 6780 of March 23, 1995, 60 FR 15845. Chapter VIII, U.S. note 1, pursuant to
SOURCE: 62 FR 6467, Feb. 12, 1997, unless the same law, provided that return of
otherwise noted. articles by NASA from space to the
United States would not be considered
1217.100 Scope. an importation, and similarly not be
This part sets forth policy and proce- subject to a duty.
dures with respect to the use of the As a result of the Uruguay Round
NASAs authority to certify to the U.S. agreements of the 1994 General Agree-
Commissioner of Customs duty-free ment on Tariffs and Trade, this author-
entry of articles into the United States ity was revised and expanded in scope.
for the use of NASA or for implementa- It now provides that imports of articles
tion of a NASA international program, for NASAs use and articles imported
including articles that will be launched to implement NASAs international

into space, spare parts for such arti- programs, including articles to be
cles, ground support equipment, or launched into space, parts thereof,
148
ground support equipment, and unique- United States by persons or entities

ly associated equipment for use in con- under agreements other than those
nection with NASAs international pro- identified in paragraphs (a)(1) and (a)(2)
grams and launch service agreements of this section, including launch serv-
would be eligible for duty-free customs ices agreements. Requests for certifi-
entry upon certification by NASA to cation should be sent to: Human Explo-
the Commissioner of Customs. The re- ration and Operations Mission Direc-
vised authorities also provided, in U.S. torate, Attn: Director, International
note 1 to subchapter VIII of chapter 98 Space Station Office, National Aero-
of the HTSUS, that articles brought nautics and Space Administration,
into the customs territory of the Washington, DC 20546.
United States by NASA from space or (b) Each certification by the officials
from a foreign country as part of a identified in paragraphs (a)(1), (a)(2),
NASAs international programs would and (a)(3) of this section shall receive
not be considered imports or subject to the concurrence of the Office of the
customs entry requirements. General Counsel.
(c) Subject to procedures established
1217.103 Authority to certify. by the officials identified in paragraphs
(a) The following NASA officials, (a)(1), (a)(2), or (a)(3) of this section, as
their deputies, and designees within appropriate, the Center Procurement
their respective organizations are au- Officer or a Program Manager at a
thorized, under the conditions de- NASA Installation who is designated
scribed herein, to make the certifi- by an official identified in paragraphs
cation to the Commissioner of Customs (a)(1), (a)(2), or (a)(3) of this section
required for the duty-free entry of may make the certification to the
space articles pursuant to subheading Commissioner of Customs required for
HTSUS 9808.00.80. the duty-free entry of space articles
(1) The NASA Assistant Adminis- pursuant to subheading HTSUS
trator for Procurement is authorized to 9808.00.80. Such procedures shall in-
issue the certification for articles im- clude the following requirements:
ported into the United States which (1) All such certifications by des-
are procured by NASA or by other U.S. ignated Procurement Officers or Pro-
Government agencies, or by U.S. Gov- gram Managers shall receive the con-
currence of the Chief Counsel of the
ernment contractors or subcontractors
issuing NASA Installation; and
when title to the articles is or will be
(2) All such certifications by des-
vested in the U.S. Government pursu-
ignated Procurement Officers or Pro-
ant to the terms of the contract or sub-
gram Managers shall be promptly re-
contract. Requests for certification
ported to an official identified in para-
should be sent to: Office of Procure-
graphs (a)(1), (a)(2), or (a)(3) of this sec-
ment, Attn: Director, Contract and
tion, as appropriate.
Grant Policy Division, National Aero-
nautics and Space Administration, [62 FR 6467, Feb. 12, 1997, as amended at 80
Washington, DC 20546. FR 45865, Aug. 3, 2015]
(2) The NASA Associate Adminis-
1217.104 Certification forms.
trator for International and Inter-
agency Relations is authorized to issue To the extent an authorized NASA
the certification for articles imported official approves a request for certifi-
into the United States pursuant to cation, that official shall sign a certifi-
international agreements. Requests for cate in the following form:
certification should be sent to: Office (a) For articles procured by NASA, a
of International and Interagency Rela- Customs Service Form CF 7501 (Entry
tions, Attn: Director, Export Control Summary) shall be completed, and the
and Interagency Liaison Division, Na- following certification shall be used:
tional Aeronautics and Space Adminis- ARTICLES FOR THE NATIONAL AERONAUTICS
tration, Washington, DC 20546. AND SPACE ADMINISTRATION
(3) The NASA Associate Adminis-
trator for Human Exploration and Op- Item 9808.00.80, Harmonized Tariff Schedule of
erations is authorized to issue the cer- the United States
tification for articles imported into the Program: llllllllllllllllll
149
1217.105 14 CFR Ch. V (1116 Edition)
I hereby certify that the articles identified Before this certification is used to obtain
in [attached invoice] are being imported for duty-free entry of these articles, a cognizant
the use of the National Aeronautics and NASA official at the receiving NASA Instal-
Space Administration (NASA) in accordance lation, who is designated by the Installation
with 9808.00.80, Harmonized Tariff Schedule Director, shall verify in writing that specifi-
of the United States. cally identified articles to be entered on a
Name llllllllllllllllllll particular date are the articles described in
this certificate or its attachments. This
Date lllllllllllllllllllll verification and this certification shall be
presented to the U.S. Customs Service at the
(b) For articles imported by NASA to time entry for the particular articles is
implement international programs of sought.
NASA to which NASA will take title, Name llllllllllllllllllll
or which remain the property of for-
Date lllllllllllllllllllll
eign entities under such programs, no
entry is required pursuant to U.S. note With respect to articles represented
1 to HTSUS subchapter VIII of chapter to be: procurements by NASA; or im-
98. For such articles, the following cer- ports to implement international pro-
tification shall be used: grams of NASA to which NASA will
take title, or foreign-owned articles for
ARTICLES FOR USE IN AN INTERNATIONAL PRO- use in a NASA international program,
GRAM OF THE NATIONAL AERONAUTICS AND the NASA official issuing the blanket
SPACE ADMINISTRATION certificate shall review the proposed
Item 9808.00.80, Harmonized Tariff Schedule of articles and approve their eligibility
the United States for duty-free entry. A description of
these articles shall either be referred
Program: llllllllllllllllll
to in the blanket certificate and pro-
Foreign Owner(s) (if applicable): llllll vided in Form CF 7501 (Entry Sum-
In accordance with subheading 9808.00.80 mary) for procurements or attached to
and U.S. note 1 to subchapter VIII of chapter the certificate for imports to imple-
98, Harmonized Tariff Schedule of the United ment NASA international programs, as
States, I hereby certify that the above-de- appropriate.
scribed shipment is being brought into the
customs territory of the United States as 1217.105 Procedures.
part of an international program of the Na-
tional Aeronautics and Space Administra- (a) Requests for certification shall be
tion (NASA). No CF 7501 entry is required for forwarded to an appropriate NASA offi-
this shipment. All articles contained in this cial or designee as provided for in
shipment are, and shall remain, the property 1217.103 of this part.
of NASA or of the foreign entities identified (b) Each request for certification
above. Except for articles consumed in the
shall be accompanied by:
execution of the above-described Program,
none of these articles will be made available (1) A proposed certificate as provided
for sale or other disposition to persons or infor in 1217.104 of this part;
stitutions not directly involved in the Pro- (2) The information and documenta-
gram identified above. tion required by 19 CFR 10.102(a), in-
Name llllllllllllllllllll cluding invoice documentation or a de-
Date lllllllllllllllllllll
scription of covered articles; and
(3) The anticipated date of entry of
(c) A blanket certificate for a series entry and port of entry for each arti-
of imports under a specific NASA inter- cle. If the article is to be transported
national program or procurement is in bond from the port of arrival to an-
authorized but shall require written other port of entry in the United
verification by a NASA official des- States, identify both ports.
ignated by a Director of a receiving (c) The signed certificate and its at-
NASA Installation that the articles re- tachment(s) will be forwarded to the
ceived meet the conditions of the cer- NASA Installation responsible for
tificate. The blanket certificate shall duty-free entry of the materials, unless
be in the form of the certifications set issued at such Installation by an au-
forth in paragraphs (a) or (b) of this thorized official in accordance with
section, as appropriate, but shall in- 1217.103(c) of this part. These docu-
clude the following paragraph at the ments shall be presented to an appro-
end thereof: priated Customs official at the port(s)
150
of entry. The procedures specified in 19 1221.104 Establishment of the NASA Logo-

CFR 10.102 will be followed by the type.
NASA Installation in obtaining duty- 1221.105 Establishment of the NASA Pro-
free entry at the Customs port(s) of gram Identifiers.
1221.106 Establishment of the NASA Flag.
entry. The NASA Installation should
1221.107 Establishment of the NASA Admin-
ensure that, at the time the articles istrators, Deputy Administrators, and
are to be released after Customs entry, Associate Deputy Administrators Flags.
the custody of the imported articles is 1221.108 Establishment of the NASA Unified
transferred directly from the carrier or Visual Communications System.
from the U.S. Customs Service to the 1221.109 Use of the NASA Seal.
NASA Installation, its agent, or the 1221.110 Use of the NASA Insignia.
launch service customer in the case of 1221.111 Use of the NASA Logotype.
a Launch and Associated Services 1221.112 Use of the NASA Program Identi-
Agreement. fiers.
(d) If articles procured under con- 1221.113 Use of the NASA Flags.
tract by NASA are imported prior to 1221.114 Approval of new or change pro-
compliance with these procedures and posals.
1221.115 Violations.
it is essential that the articles be re-
1221.116 Compliance and enforcement.
leased from Customs custody prior to
such compliance, the procedures out- Subpart 1221.2The Congressional Space
lined in 19 CFR 10.101 may be followed Medal of Honor
by cognizant NASA officials to secure
the release of the articles from Cus- 1221.200 Scope.
toms custody. To the extent applicable, 1221.201 Basis for award of the medal.
the procedures in 1217.105 of this part 1221.202 Description of the medal.
shall be followed when time permits to 1221.203 Nominations.
obtain duty-free entry for the articles 1221.204 Proceedings of the NASA Incentive
Awards Board.
released from Customs custody.
APPENDIX A TO PART 1221CONGRESSIONAL
1217.106 Articles brought into the SPACE MEDAL OF HONOR
United States by NASA from space.
Pursuant to U.S. note 1 subchapter Subpart 1221.1NASA Seal, NASA
VIII of chapter 98, HTSUS, articles Insignia, NASA Logotype,
brought into the customs territory of NASA Program Identifiers,
the United States by NASA from space NASA Flags, and the Agen-
shall not be considered an importation, cys Unified Visual Commu-
and no certification or entry of such
materials through U.S. Customs shall
nications System
be required. This provision is applica-
ble to articles brought to the U.S. from AUTHORITY: 42 U.S.C. 2472(a) and 2473(c)(1).
space whether or not the articles were SOURCE: 58 FR 58944, Nov. 5, 1993, unless
launched into space aboard a NASA ve- otherwise noted.
hicle.
1221.100 Scope.
PART 1221THE NASA SEAL AND This subpart sets forth the policy
OTHER DEVICES, AND THE CON- governing the use of the NASA Seal,
GRESSIONAL SPACE MEDAL OF the NASA Insignia, NASA Logotype,
HONOR NASA Program Identifiers, and the
NASA Flags. This subpart also estab-
Subpart 1221.1NASA Seal, NASA Insignia, lishes and sets forth the concept and
NASA Logotype, NASA Program Identi- scope of the NASA Unified Visual Com-
fiers, NASA Flags, and the Agencys munications System and prescribes the
Unified Visual Communications System policy and guidelines for implementa-
tion of the system.
Sec.
1221.100 Scope. 1221.101 Policy.
1221.101 Policy.
1221.102 Establishment of the NASA Seal. (a) The NASA Seal, the NASA Insig-
1221.103 Establishment of the NASA Insig- nia, NASA Logotype, NASA Program
nia. Identifiers, the NASA Flags, and the
151
1221.102 14 CFR Ch. V (1116 Edition)
Agencys Unified Visual Communica- (c) Any proposal for a new NASA In-
tions System, as prescribed in 1221.102 signia, NASA Logotype, NASA Pro-
through 1221.108 of this subpart, shall gram Identifier, or for modification to
be used exclusively to represent NASA, those prescribed in this section shall be
its programs, projects, functions, ac- processed in accordance with 1221.114.
tivities, or elements. The use of any de-
vices other than those provided by or 1221.102 Establishment of the NASA
subsequently approved in accordance Seal.
with the provisions of this subpart is
The NASA Seal was established by
prohibited.
(b) The use of the devices prescribed Executive Order 10849 (24 FR 9559), No-
in this section shall be governed by the vember 27, 1959, as amended by Execu-
provisions of this subpart. The use of tive Order 10942 (24 FR 4419), May 22,
the devices prescribed in this section 1961. The NASA Seal, established by
for any purpose other than as author- the President, is the Seal of the Agen-
ized by this subpart is prohibited. cy and symbolizes the achievements
Their misuse shall be subject to the and goals of NASA and the United
penalties authorized by statute, as set States in aeronautical and space ac-
forth in 1221.115 and shall be reported tivities. The NASA Seal shall be used
as provided in 1221.116. as set forth in 1221.109.
152
EC09SE91.009</GPH>
1221.103 Establishment of the NASA sign element for visual communica-

Insignia. tions formerly reserved for the NASA
The NASA Insignia was designed by Logotype. The NASA Insignia shall be
the Army Institute of Heraldry and ap- used as set forth in 1221.110, the NASA
proved by the Commission of Fine Arts Graphics Standards Manual, NASA In-
and the NASA Administrator. It sym- signia Standards Supplement, and any
bolizes NASAs role in aeronautics and related NASA directive or specification
space and is established by the NASA approved by the NASA Administrator
Administrator as the signature and de- and published subsequent hereto.
153
1221.104 14 CFR Ch. V (1116 Edition)
1221.104 Establishment of the NASA NASA Administrator. It symbolizes

Logotype. NASAs role in aeronautics and space
The NASA Logotype was approved by from 1975 to 1992 and has been retired.
the Commission of Fine Arts and the
154
EC09SE91.010</GPH>
The NASA Logotype shall be used as

set forth in 1221.111.
1221.105 Establishment of NASA Pro- 1221.106 Establishment of the NASA

gram Identifiers. Flag.
A separate and unique identifier may The NASA Flags for interior and ex-
be designed and approved in connection terior use were created by the NASA
with or in commemoration of a major Administrator in January 1960. Com-
NASA program. Each approved identi- plete design, size, and color of the
fier shall be officially identified by its NASA interior and exterior flags for
title such as Apollo, Skylab, Vi- manufacturing purposes are detailed in
king, Space Shuttle, Space Sta-
U.S. Army QMG Drawing 51269, revi-
tion, or a major NASA anniversary.
sion September 14, 1960. The NASA
NASA Program Identifiers shall be
Flags shall be used as set forth in

used as set forth in 1221.112 pursuant
to approval as set forth in 1221.114. 1221.113.
155
EC09SE91.011</GPH>
1221.107 14 CFR Ch. V (1116 Edition)
1221.107 Establishment of the NASA NASA Administrator, Deputy Adminis-

Administrators, Deputy Adminis- trator, and Associate Deputy Adminis-
trators, and Associate Deputy Ad- trator. Each of these flags conforms to
ministrators Flags. the basic design of the NASA Flag ex-
(a) Concurrently with the establish- cept for the following:
ment of the NASA Flag in January (1) The size of the flag is 3 feet 4
1960, the NASA Administrator also es- feet;

(2) The Administrators Flag has four
tablished NASA Flags to represent the
stars;
156
EC09SE91.012</GPH>
(3) The Deputy Administrators Flag as new design standards and specifica-
has three stars; and tions are developed and approved. Cop-
(4) The Associate Deputy Administra- ies of the NASA Graphics Standards
tors Flag has two stars. Manual and the NASA Insignia Stand-
(b) Flags representing these senior ards Supplement may be obtained di-
officials shall be used as set forth in rectly from the NASA Graphics Coordi-
1221.113. nator, Office of Public Affairs, NASA
Headquarters.
1221.108 Establishment of the NASA (d) The Director of each Field Instal-
Unified Visual Communications lation has designated an official to
System. serve as Graphics Coordinator for his/
(a) The NASA Administrator directed her Installation. The Director, HQ Op-
the establishment of a NASA Unified erations Division, has designated an of-
Visual Communications System. The ficial to serve as the Headquarters
system was developed under the Fed- Graphics Coordinator. Any changes in
eral Design Improvement Program ini- these assignments shall be reported to
tiated by the President in May 1972. the NASA Graphics Coordinator, NASA
This system is the Agencywide pro- Headquarters, Code POS.
gram by which NASA projects a con- (e) Graphics Coordinators are respon-
temporary, business-like, progressive, sible for ensuring compliance with the
and forward-looking image through the NASA Graphics Standards Manual, the
use of effective design for improved NASA Insignia Standards Supplement,
communications. The system provides and the NASA Unified Visual Commu-
a professional and cohesive NASA iden- nications System for their respective
tity by imparting continuity of graph- Installations.
ics design in all layout, reproduction
art, stationery, forms, publications, 1221.109 Use of the NASA Seal.
signs, films, video productions, vehi- (a) The Associate Deputy Adminis-
cles, aircraft, and spacecraft markings trator shall be responsible for custody
and other items. It creates a unified of the NASA Impression Seal and cus-
image which is representative and sym- tody of NASA replica (plaques) seals.
bolic of NASAs progressive attitudes The NASA Seal is restricted to the fol-
and programs. lowing:
(b) The Associate Administrator for (1) NASA award certificates and med-
Public Affairs is responsible for the de- als.
velopment and implementation of the (2) NASA awards for career service.
NASA Unified Visual Communications (3) Security credentials and employee
System. With the development of the identification cards.
NASA Unified Visual Communications (4) NASA Administrators docu-
System, the Office of Public Affairs at ments; the Seal may be used on docu-
NASA Headquarters created the NASA ments such as interagency or intergov-
Graphics Standards Manual and the ernmental agreements and special re-
NASA Insignia Standards Supplement ports to the President and Congress,
which are the official guides for the use and on other documents, at the discre-
and application of the NASA Insignia tion of the NASA Administrator.
and the NASA Unified Visual Commu- (5) Plaques; the design of the NASA
nications System. Seal may be incorporated in plaques
(c) The Associate Administrator for for display in Agency auditoriums,
Public Affairs, NASA Headquarters, presentation rooms, lobbies, offices of
has designated a NASA Graphics Coor- senior officials, and on the fronts of
dinator to implement and monitor buildings occupied by NASA. A sepa-
Agencywide design improvements in rate NASA seal in the form of a 15-
consonance with the NASA Graphics inch, round, bronze-colored plaque on a
Standards Manual, the NASA Insignia walnut-colored wood base is also avail-
Standards Supplement, and the NASA able, but prohibited for use in the
Unified Visual Communications Sys- above representational manner. It is
tem. The NASA Graphics Coordinator restricted to use only as a presentation

will develop and issue changes and ad- item by the Administrator and the
ditions to the manual as required and Deputy Administrator.
157
1221.110 14 CFR Ch. V (1116 Edition)
(6) The NASA Flag and the NASA Ad- (7) NASA publications, including
ministrators, Deputy Administrators, pamphlets, brochures, manuals, hand-
and Associate Deputy Administrators books, house organs, bulletins, general
Flags, which incorporate the design of reports, posters, signs, charts, exhibits,
the Seal. and items of similar nature for general
(7) NASA prestige publications which use, as specified in the NASA Graphics
represent the achievements or missions Standards Manual and the NASA Insig-
of NASA as a whole. nia Standards Supplement.
(8) Publications (or documents) in- (8) Briefcases or dispatch cases issued
volving participation by another Gov- by NASA.
ernment agency for which the other (9) Certificates covering authority to
Government agency has authorized the NASA and contractor security per-
use of its seal. sonnel to carry firearms.
(b) Use of the NASA Seal for any pur- (10) NASA occupied buildings when
pose other than as prescribed in this the use of the NASA Insignia is more
section is prohibited, except that the appropriate than use of the NASA Seal.
Associate Deputy Administrator may
(b) Personal articlesNASA employees.
authorize, on a case-by-case basis, the
(1) Business calling cards of NASA em-
use of the NASA Seal for purposes
ployees may carry the imprint of the
other than those prescribed when the
NASA Insignia.
Associate Deputy Administrator deems
such use to be appropriate. (2) Limited usage on automobiles. If
determined appropriate by the cog-
1221.110 Use of the NASA Insignia. nizant Installation official, it is ac-
ceptable to place a NASA Insignia
The NASA Insignia is authorized for
sticker on personal automobiles where
use on the following:
such identification will facilitate entry
(a) NASA articles. (1) NASA letterhead
or control of such vehicles at NASA In-
stationary.
stallations or parking areas.
(2) Films, videotapes, and sound re-
cordings produced by or for NASA. (3) Personal items used in connection
(3) Wearing apparel and personal with NASA employees recreation asso-
property items used by NASA employ- ciation activities.
ees in the performance of their duties. (4) Items for sale through NASA em-
(4) Required uniforms of contractor ployees nonappropriated fund activi-
employees when performing public af- ties subject to paragraph (c) of this sec-
fairs, guard or fire protection duties, tion.
and similar duties within NASA Instal- (5) NASA employees shall not use the
lations or at other assigned NASA duty NASA Insignia in any manner that
stations, and on any required con- would imply that NASA endorses a
tractor-owned vehicles used exclu- commercial product, service, or activ-
sively in the performance of these du- ity or that material of a nonofficial na-
ties, when authorized by NASA con- ture represents NASAs official posi-
tracting officers. tion.
(5) Spacecraft, aircraft, automobiles, (c) Miscellaneous articles. (1) The man-
trucks and similar vehicles owned by, ufacture and commercial sale of the
leased to, or contractor-furnished to NASA Insignia as a separate and dis-
NASA, or produced for NASA by con- tinct device in the form of an emblem,
tractors, but excluding NASA-owned patch, insignia, badge, decal, vinylcal,
vehicles used and operated by contrac- cloth, metal, or other material which
tors for the conduct of contractor busi- would preclude NASAs control over its
ness. use or application is prohibited.
(6) Equipment and facilities owned (2) Use of the NASA Uniform Patch-
by, leased to, or contractor-furnished es, which incorporate the NASA Insig-
to NASA, such as machinery, major nia, is authorized only as prescribed in
tools, ground handling equipment, of- the NASA Graphics Standards Manual
fice and shop furnishings (if appro- and the NASA Insignia Standards Sup-
priate), and similar items of a perma- plement, for NASA personnel and
nent nature, including those produced NASA contractor personnel identifica-
for NASA by contractors. tion.
158
(3) No approval for use of the NASA will be approved on a case-by-case

Insignia will be authorized when its use basis by the Associate Administrator
can be construed as an endorsement by for Public Affairs.
NASA of a product or service. (e) The manufacture, sale, or use of
(4) Items bearing the NASA Insignia any colorable imitation of the design
such as souvenirs, novelties, toys, mod- of an official NASA Program Identifier
els, clothing, and similar items (includ- will not be approved.
ing items for sale through the NASA
employees nonappropriated fund ac- 1221.113 Use of the NASA Flags.
tivities) may be manufactured and sold (a) The NASA Flag is authorized for
only after the NASA Insignia applica- use only as follows:
tion has been submitted to, and ap- (1) On or in front of NASA buildings.
proved by, the Associate Administrator (2) At NASA ceremonies.
for Public Affairs, or designee, NASA (3) At conferences (including display
Headquarters, Washington, DC 20546. in NASA conference rooms).
(d) Use of the NASA Insignia for any (4) At governmental or public appear-
other purpose than as prescribed in ances of NASA executives.
this section is prohibited, except that (5) In private offices of senior offi-
the Associate Administrator for Public cials.
Affairs may authorize on a case-by- (6) As otherwise authorized by the
case basis the use of the NASA Insignia NASA Administrator or designee.
for other purposes when the Associate (7) The NASA Flag must be displayed
Administrator for the Public Affairs with the United States Flag. When the
deems such use to be appropriate. United States Flag and the NASA Flag
are displayed on a speakers platform
1221.111 Use of the NASA Logotype. in an auditorium, the United States
The NASA Logotype has been retired Flag must occupy the position of honor
and is used only in an authentic histor- and be placed at the speakers right as
ical context, and only with prior writ- the speaker faces the audience, with
ten approval of the NASA Adminis- the NASA Flag at the speakers left.
trator. (b) The NASA Administrators, Dep-
uty Administrators and Associate
1221.112 Use of the NASA Program Deputy Administrators Flags shall be
Identifiers. displayed with the United States Flag
(a) Official NASA Program Identi- in the respective offices of these offi-
fiers will be restricted to the uses set cials but may be temporarily removed
forth in this section and to such other for use at the discretion of the officials
uses as the Associate Administrator for concerned.
Public Affairs may specifically ap-
prove. 1221.114 Approval of new or change
(b) Specific approval is given for the proposals.
following uses: (a) Except for NASA Astronaut Mis-
(1) Use of exact reproductions of a sion Crew Badges/Patches, any pro-
badge in the form of a patch made of posal to change or modify the emblem-
cloth or other material, or a decal, or atic devices set forth in this subpart or
a gummed sticker on articles of wear- to introduce a new emblematic device
ing apparel and personal property other than as prescribed in this subpart
items; and requires the written approval of the
(2) Use of exact renderings of a badge NASA Administrator with prior ap-
on a coin, medal, plaque, or other com- proval and recommendation of the Di-
memorative souvenirs. rector, Public Services Division.
(c) The manufacture and sale or free (b) In addition to the written ap-
distribution of identifiers for the uses proval of the NASA Administrator, any
approved or that may be approved proposal for a new or for a modification
under paragraphs (a) and (b) of this sec- to the design of the NASA Insignia
tion are authorized. may also be submitted to the Commis-
(d) Portrayal of an exact reproduc- sion of Fine Arts for its advice as to
tion of a badge in conjunction with the the merit of the design. If approved in
advertising of any product or service writing by the NASA Administrator
159
1221.115 14 CFR Ch. V (1116 Edition)
and advice received from the Commis- 1221.200 Scope.

sion of Fine Arts, the NASA Insignia
This subpart establishes procedures
and the use of such NASA Insignia
for nominating an astronaut for the
must be prescribed in this subpart and Congressional Space Medal of Honor.
published in the FEDERAL REGISTER.
(c) Proposals to establish, change, or 1221.201 Basis for award of the
modify NASA Astronaut Crew Mission medal.
Badges/Patches requires the written (a) The standard of award for the
approval of the Director, Flight Crew Congressional Space Medal of Honor is
Operations, Johnson Space Center; established by Pub. L. 9176 (42 U.S.C.
Center Director, Johnson Space Center; 2461) which provides that the President
and the Associate Administrator for may award the Medal to any astro-
Space Flight. Decals/patches/badges naut who in the performance of his du-
may be produced as soon as the ap- ties has distinguished himself by ex-
proval cycle is completed. ceptionally meritorious efforts and
contributions to the welfare of the Na-
1221.115 Violations. tion and of mankind.
(a) NASA Seal. Any person who uses (b) Only one Congressional Space
the NASA Seal in a manner other than Medal of Honor may be awarded to a
as authorized in this subpart shall be person. However, for each succeeding
subject to the provisions of Title 18 act that would otherwise justify the
U.S.C. 1017. award of the Medal, the President may
(b) NASA Insignia, NASA Logotype, award a suitable bar or other device.
and NASA Program Identifiers. Any per- (c) The Medal may be awarded to any
son who uses the NASA Insignia, NASA person who is or has been designated to
Logotype, or NASA Program Identifier travel in space and who has distin-
in a manner other than as authorized guished himself or herself while under-
in this subpart shall be subject to the taking duties in preparation for, execu-
provisions of title 18 U.S.C. 701. tion of, or subsequent to, but in con-
nection with, a space flight.
1221.116 Compliance and enforce- (d) The Medal may be awarded for ac-
ment. tions occurring before the effective
In order to ensure adherence to the date of this subpart 1221.2, and, when
authorized uses of the NASA Seal, the appropriate, posthumously.
NASA Insignia, the NASA Logotype,
1221.202 Description of the medal.
NASA Program Identifiers, and the
NASA Flags as provided, in this sub- The description of the Congressional
part, a report of each suspected viola- Space Medal of Honor, which was de-
tion of this subpart (including the use signed by the Institute of Heraldry,
of unauthorized NASA Insignias) or of U.S. Army, is set forth in appendix A
questionable usages of the NASA Seal, to this subpart. Each person awarded
the NASA Insignia, the NASA Logo- the Medal also shall receive a citation
type, NASA Program Identifiers, or the describing the basis for the award.
NASA Flags, shall be submitted to the
Inspector General, NASA Head- 1221.203 Nominations.
quarters, in accordance with NASA (a) Formal nominations for award of
Management Instruction 9810.1, The the Congressional Space Medal of
NASA Investigations Program. Honor on behalf of NASA will be made
by the Administrator to the President.
Subpart 1221.2The Congres- (b) Any person may recommend to
sional Space Medal of the Administrator that an astronaut be
nominated for award of the Medal.
Honor Such a recommendation must be in
writing, and must describe in concise
AUTHORITY: Pub. L. 9176, September 29, detail the events believed to warrant
1969.
award of the Medal. The recommenda-

SOURCE: 43 FR 15624, Apr. 14, 1978, unless tion should, if appropriate, be accom-
otherwise noted. panied by supporting documentation,
160
such as eyewitness statements, ex- rocket era and the imagination of the men in
tracts from official records, sketches, the space program of the United States. The
photographs, etc. stylized glory cloud alludes to the glory in
the coat of arms of the United States and to
(c) All recommendations for nomina-
the high esteem of the award. The dark blue
tions submitted to the Administrator voided star symbolizes the vast mysteries of
or made on his own initiative will be outer space while the brilliancy of the feat is
referred to the NASA Incentive Awards represented by a diamond. The eagle with
Board for the purpose of investigating wings raised in the spirit of peace represents
and making findings of fact and giving mans first landing on another planet.
advice to the Administrator.
(d) Any recommendation involving REVERSE
an astronaut who is a member of the DESCRIPTION
armed services on active duty or who is
The reverse bears in center the inscription
employed by another agency of the
CONGRESSIONAL arranged in a semi-
Federal Government but temporarily circle above the inscription SPACE MEDAL
assigned or detailed to NASA shall also PRESENTED TO; in base is space for the
be transmitted to the Secretary of De- name of the recipient and the date all within
fense or the head of the employing an outer circle of fifty stars.
agency, as appropriate, for his or her
recommendation. SUSPENSION RIBBON
(e) The Administrator will forward to DESCRIPTION
the President his recommendation, and
that of the astronauts employing A ribbon 138 inches in width consisting of
the following vertical stripes: gold 116 inch,
agency, as appropriate.
dark blue 14 inch, light blue 932 inch, white
116 inch, red 116 inch, white 116 inch, light
1221.204 Proceedings of the NASA In-
centive Awards Board. blue 932 inch, dark blue 14 inch, gold 116 inch.
The NASA Incentive Awards Board CABLE NOS. OF COLORS

shall thoroughly consider the facts giv- Gold ................................ 65021 (old gold).
ing rise to a recommendation for nomi- Dark Blue ....................... 70076 (independence
nation and shall prepare a report for blue).
Blue ................................ 65014 (light blue).
the Administrator. The Board should, Red ................................. 65006 (scarlet).
to the extent practicable, coordinate White .............................. 65005.
its efforts with those of the astronauts
employing agency, as appropriate. Its SYMBOLISM
final report must take into account The scarlet center line on the white band
any pertinent information submitted symbolizes the courage of the astronauts in
by the employing agency. the nations manned space program and the
fire power of rockets that carry the crew
APPENDIX A TO PART 1221 through the earths atmosphere (light blue);
CONGRESSIONAL SPACE MEDAL OF HONOR the light blue is the same color as the chief
of the shield of the coat of arms of the
OBVERSE United States which appears on the Presi-
dents flag. The dark blue symbolizes the
DESCRIPTION
hostile environment of space, the gold edge
A circular green enamel wreath of laurel representing success and accomplishment.
surmounted by a five-pointed gold star (with Red, white and blue are also the national
vertical point downward) and issuing from colors of the United States.
between each point a gold flame, the star
surmounted by a light blue enamel cloud MINIATURE
bank with five lobes edged in gold bearing a
DESCRIPTION
five-pointed dark blue enamel star
fimbriated gold and charged in center with a A one-half size replica of the medal and
diamond; standing upon the wreath at top suspension ribbon approximately 2516 inches
center a gold eagle with wings displayed. in overall length.
SYMBOLISM LAPEL EMBLEM
The laurel wreath, a symbol of great
DESCRIPTION
achievement, with the overlapping star
points, simulates space vehicles moving to A miniature of the obverse of the medal,
greater accomplishments through space. The 916 inch in diameter, all gold with a diamond
flames signify the dynamic energy of the in center.
161
ROSETTE subjects. NPR 7100.1 can be accessed at
DESCRIPTION
http://nodis3.gsfc.nasa.gov/.
One-half inch in diameter in the colors of
the ribbon. PART 1232CARE AND USE OF
ANIMALS IN THE CONDUCT OF
PART 1230PROTECTION OF NASA ACTIVITIES
HUMAN SUBJECTS
Sec.
Sec. 1232.100 Scope.
1230.101 Scope. 1232.101 Applicability.
1230.102 Applicability. 1232.102 Policy.
1230.103 Policy.
AUTHORITY: 51 U.S.C. 20102, 51 U.S.C. 20113;
AUTHORITY: 5 U.S.C. 301; 45 CFR part 46. Pub. L. 89544, as amended; 7 U.S.C. 2131; 39
SOURCE: 79 FR 76059, Dec. 16, 2014, unless U.S.C. 3001; and Pub. L. 99158, Sec. 495.
otherwise noted. SOURCE: 78 FR 76059, Dec. 16, 2014, unless
otherwise noted.
1230.101 Scope.
This Part establishes general policy 1232.100 Scope.
for the protection of human subjects, This part establishes general policy
which is of primary importance in the for the care and use of vertebrate ani-
conduct of any human research, as mals in the conduct of NASA activi-
specified under 5 U.S.C. 301; 45 CFR ties.
part 46, subpart A.
This Part applies to NASA Head- This part applies to NASA Head-
quarters and NASA Centers, including quarters and NASA Centers, including
Component Facilities, and Technical Component Facilities, and Technical
and Service Support Centers for all re- and Service Support Centers and will
search involving humans subjects con- be followed in all activities using ani-
ducted, supported, or otherwise subject mal subjects that are supported by
to regulations by any Federal depart- NASA and conducted in NASA facili-
ment or agency which takes appro- ties, aircraft, or spacecraft, or activi-
priate administrative action to make ties, using animal subject conducted
the policy applicable to such research. under a contract, grant, cooperative
agreement, memorandum of under-
1230.103 Policy. standing, or joint endeavor agreement
It is the National Aeronautics and entered into by NASA and another
Space Administrations (NASA) policy Government agency, private entity,
to comply with 45 CFR part 46, subpart non-Federal public entity, or foreign
A, Protection of Human Subjects, entity which are included within the
which applies to all research conducted scope of this part.
involving human subjects. To imple-
1232.102 Policy.
ment the provisions of 45 part 46, sub-
part A, NASA promulgated the fol- It is the National Aeronautics and
lowing internal policies and require- Space Administrations (NASA) policy
ments: to comply with the Animal Welfare Act
(a) NPD 7100.8, Protection of Human of 1966 (Pub. L. 89544) which requires
Research Subjects, describes the Agen- that minimum standards of care and
cys policy for human research con- treatment be provided for certain ani-
ducted or supported, whether on the mals bred for use in research. To imple-
ground, in aircraft, or in space. NPD ment the provisions of this Act, NASA
7100.8 can be accessed at http:// promulgated the following internal
nodis3.gsfc.nasa.gov/; and policies and requirements:
(b) NPR 7100.1, Protection of Human (a) NASA Policy Directive (NPD)
Research Subjects, describes the re- 8910.1, Care and Use of Animals, de-
quirements for the Agency to conduct scribes the policy and responsibilities
or support research involving human for conducting activities involving
162
vertebrate animals. NPD 8910.1 is ac- 1240.101 Scope.

cessible at http://nodis3.gsfc.nasa.gov/;
This subpart applies to awards for
and
any scientific or technical contribu-
(b) NASA Procedural Requirements
tion, whether or not patentable, which
(NPR) 8910.1, Care and Use of Animals,
is determined by the Administrator
delineates the responsibilities and im-
after referral to the Inventions and
plements requirements for the Agen-
Contributions Board to have signifi-
cys use of animals in research, testing,
cant value in the conduct of aero-
teaching, and hardware development
nautical and space activities, upon sub-
activities. NPR 8910.1 is accessible is
mission of an application for award to
access at http://nodis3.gsfc.nasa.gov/.
NASA, or upon the Administrators
own initiative, under 51 U.S.C. 20136.
PART 1240INVENTIONS AND
CONTRIBUTIONS [77 FR 27366, May 10, 2012]
Subpart 1Awards for Scientific and 1240.102 Definitions.

Technical Contributions As used in this subpart:
(a) Administrator means the Adminis-
Sec.
1240.100 Purpose.
trator of the National Aeronautics and
1240.101 Scope. Space Administration.
1240.102 Definitions (b) Board means the NASA Inven-
1240.103 Criteria. tions and Contributions Board.
1240.104 Applications for awards. (c) Chairperson means the Chair-
1240.105 Special initial awardsNASA and person of the NASA Inventions and
NASA contractor employees.
Contributions Board.
1240.106 Review and evaluation of contribu-
tion. (d) Commercial quality refers to com-
1240.107 Notification by the Board. puter software that is not in an experi-
1240.108 Reconsideration. mental or beta phase of development,
1240.109 Hearing procedure. that performs in accordance with its
1240.110 Recommendation to, and action by, specifications, and includes docu-
the Administrator. mentation describing the softwares
1240.111 Release. form and function.
1240.112 Presentation of awards.
1240.113 Financial accounting. (e) Contract means any contract,
1240.114 Delegation of authority. agreement, understanding, or other ar-
rangement with NASA or another Gov-
AUTHORITY: Section 20136 of the National
ernment Agency on NASAs behalf, in-
Aeronautics and Space Act (51 U.S.C. 20136),
and the Federal Technology Transfer Act of cluding any assignment, substitution
1986, sec. 12, 15 U.S.C. 3710b(1). of parties, or subcontract executed or
entered into thereunder.
SOURCE: 67 FR 31120, May 9, 2002, unless
otherwise noted. (f) Contractor means the party who
has undertaken to perform work under
a contract or subcontract.
Subpart 1Awards for Scientific (g) Innovation means a mathematical,
and Technical Contributions engineering or scientific concept, idea,
1240.100 Purpose. design, process, or product.
(h) Innovator means any person listed
This subpart prescribes procedures as a contributor, inventor, or author of
for submitting applications for mone- an innovation.
tary awards to the Administrator of (i) Invention includes any act, meth-
NASA for scientific and technical con- od, process, machine, manufacture, de-
tributions which have significant value sign, or composition of matter, or any
in the conduct of aeronautical and new and useful improvement thereof,
space activities pursuant to 51 U.S.C. or any variety of plant, which is or
20136, and establishes the awards pro- may be patentable under the patent
gram consistent with the Federal Tech- laws of the United States or any for-
nology Transfer Act of 1986, section 12,
eign country.
15 U.S.C. 3710b(1).
(j) Qualified User means any person
[77 FR 27366, May 10, 2012] that has legally acquired computer
163
1240.103 14 CFR Ch. V (1116 Edition)
software and has the right to use it for the contributor if the contribution is
a legal purpose. made by one other than the applicant,
(k) Verified means passing rigorous and the names and addresses of any
testing to ascertain whether the others having information as to the
functionality claimed in the innova- value or usage of the contribution;
tions documentation is realized. (2) A complete written description of
[67 FR 31120, May 9, 2002, as amended at 77 the contribution, in the English lan-
FR 27366, May 10, 2012] guage, using electronic media, accom-
panied by drawings, sketches, dia-
1240.103 Criteria. grams, or photographs illustrating the
(a) Only those contributions to NASA nature of the contribution and the
which have been: technical and scientific principles upon
(1) Used in a NASA program or adopt- which it is based, any available test or
ed or sponsored or supported by NASA, performance data or observations of
and pertinent scientific phenomena, and
(2) Found to have significant value in the aeronautics or space application of
the conduct of aeronautical and space the contribution;
activities, will be recommended for (3) The date and manner of any pre-
award under this subpart. vious submittal of the contribution to
(b) In determining the amount, any other United States Government
terms, and conditions of any award, agency, and the name of such agency;
the following criteria will be consid- (4) The aggregate amount of any
ered: sums which have been expended by the
(1) The value of the contribution to applicant for the development of the
the United States; contribution;
(2) The aggregate amount of any (5) The nature and extent of any
sums which have been expended by the known use of the contribution by the
applicant for the development of such United States and by any agency of the
contribution; United States Government;
(3) The amount of any compensation (6) The amount of any compensation
(other than salary received for services (other than salary received for services
rendered as an officer or employee of rendered as an officer or employee of
the Government) previously received the Government) previously received
by the applicant for or on account of by the applicant for or on account of
the use of such contributions by the the use of such contribution by the
United States; and United States;
(4) Such other factors as the Admin- (7) Identification of any United
istrator shall determine to be material. States and foreign patents applied for
or issued relating to the contribution;
1240.104 Applications for awards. and
(a) Eligibility. Applications for award (8) An agreement to surrender all
may be submitted by any person in- claims which such applicant may have
cluding any individual, partnership, for the use of such contribution by the
corporation, association, institution, Government.
or other entity. An application for an (c) General. (1) Each contribution will
award under this section is separate be made the subject of a separate appli-
from application for an award under cation in order that each contribution
1240.105 and may be submitted wheth- may be evaluated individually.
er or not the contribution is also eligi- (2) Material constituting a possible
ble for an award under 1240.105. hazard to safety or requiring unusual
(b) Information required. Applications storage facilities should not be sub-
for award should be addressed to the mitted, and will not be accepted. Mod-
Inventions and Contributions Board els or intricate exhibits demonstrating
(herein referred to as the Board), Na- the contribution will not be accepted
tional Aeronautics and Space Adminis- unless specifically requested by the
tration, Washington, DC 205460001, and Board. In those few cases where such
will contain: models or exhibits have been submitted

(1) The name and address of the ap- pursuant to a request made by the
plicant, the persons relationship to Board, the same will be returned to the
164
applicant upon written request from (b) Software Release Awards. (1) When
the applicant. the Board receives written notice, in
(3) It is the policy of the Board to use the manner prescribed by the proce-
or disclose information contained in dures of the Board, that a NASA Center
applications for awards for evaluation has approved the initial (first) release
purposes only. Applications for awards to a qualified user of a software pack-
submitted with restrictive legends or age based on a software innovation
statements differing from this policy made by an employee of NASA or a
will be treated in accordance with the NASA contractor and reported to
Boards policy. NASA in the manner prescribed by the
procedures of the Board, the Board
[67 FR 31120, May 9, 2002, as amended at 77 may recommend to the Administrator
FR 27366, May 10, 2012]
or designee that an award be made, in-
cluding a specific amount and distribu-
1240.105 Special initial awards
NASA and NASA contractor employ- tion thereof for any multiple
ees. innovators, so long as the following
conditions have been met:
(a) Patent Application Awards. (1) (i) NASA has either an ownership in-
When the Board receives written no- terest in the software or an irrev-
tice, in the manner prescribed by the ocable, royalty-free, license to repro-
Board, from the Agency Counsel for In- duce, prepare derivative works, dis-
tellectual Property or the Patent or In- tribute, perform and display the soft-
tellectual Property Counsel at a NASA ware, throughout the world for govern-
Center that an invention made by an mental purposes;
employee of NASA or a NASA con- (ii) The software is of commercial
tractor and reported to NASA in the quality as defined in 1240.102; and
manner prescribed by the Board is eli- (iii) The software has been verified to
gible for a patent application award, perform the functions claimed in its
the Board may recommend to the Ad- documentation on the platform for
ministrator or a designee that an which it was designed without harm to
award be made, including a specific the systems or data contained within.
recommended amount and distribution (2) Software that is the subject of a
thereof for any multiple inventors, so software release award is not eligible
long as the following eligibility condi- to receive a Tech Brief award based
tions have been met: upon the publication of an announce-
(i) A nonprovisional U.S. patent ap- ment of availability in NASA Tech
plication has been filed covering the Briefs.
invention and NASA has either an own- (3) Software release awards for modi-
ership interest in the invention or an fications made to software for which
irrevocable, royalty-free, license to the innovators have already received
practice the invention, or have the in- an initial software release award will
vention practiced for or on its behalf, be at the discretion of the Adminis-
throughout the world, or the invention trator or his designee, upon rec-
has been assigned by NASA to a con- ommendation by the Board.
tractor under 35 U.S.C. 202(e); or (c) Tech Briefs Awards. When the
(ii) A continuation-in-part or divi- Board receives written notice, in the
sional patent has been issued based on manner and format prescribed by the
a patent application that is eligible for procedures of the Board, that a NASA
an award under paragraph (a)(1)(i) of Center has approved for publication a
this section. NASA Tech Brief based on an innova-
(2) No additional award will be given tion made by an employee of NASA or
for a continuation patent application a NASA contractor and reported to
where an award was authorized for the NASA in the manner and form pre-
parent application and the parent ap- scribed by the procedures of the Board,
plication will be or has been aban- the Board may recommend to the Ad-
doned. In addition, awards will not be ministrator or designee that an award
granted for provisional applications be made, including a specific amount

under 35 U.S.C. 111(b) or reissue appli- and distribution thereof for any mul-
cations under 35 U.S.C. 251. tiple innovators.
165
1240.106 14 CFR Ch. V (1116 Edition)
(d) When a Patent Application applicant will, within 30 days from the
Award, a Software Release Award, and date of the request for reconsideration,
a Tech Brief Award have been author- or within any other time as the Board
ized for the same contribution, the may set, file its statement setting
awards will be cumulative. forth the issues, points, authorities, ar-
[77 FR 27366, May 10, 2012] guments, and any additional material
on which it relies.
1240.106 Review and evaluation of (c) Upon filing of the reconsideration
contribution. statement by the applicant, the case
(a) A contribution will be initially re- will be assigned for reconsideration by
viewed by the Board on the basis of the the Board upon the contents of the ap-
material submitted by the applicant plication, the record, and the reconsid-
under 1240.104(b). eration statement submitted by the ap-
(b) If it is determined that the con- plicant.
tribution has been used in a NASA pro- (d) If after reconsideration, the Board
gram, or adopted or sponsored or sup- again does not propose to recommend
ported by NASA, the contribution will the granting of an award, the appli-
be evaluated for its significant value in cant, after such notification by the
the conduct of aeronautical or space Board, may request an oral hearing
activity. within the time set by the Board.
(c) The Board will recommend an (e) An oral hearing without reconsid-
award for such contribution when, eration may be granted upon deter-
upon evaluation of its scientific and mination of the Chairperson that good
technical merits, it is determined to cause exists to do so.
warrant an award of at least $500.
[67 FR 31120, May 9, 2002, as amended at 77
1240.107 Notification by the Board. FR 27367, May 10, 2012]
(a) With respect to each completed 1240.109 Hearing procedure.

application where the Board has rec-
ommended to the Administrator the (a) An Oral hearing held by the Board
granting of an award, and the Adminis- will be in accordance with the fol-
trator has approved such award, the lowing procedures:
Board will notify the applicant of the (1) If the applicant requests a hearing
amount and terms of the award. In the within the time set in accordance with
case of NASA employees or employees 1240.108(d) or (e), the Board will set a
of NASA contractors, such notification place and date for such hearing and no-
will normally be made through the ap- tify the applicant.
propriate NASA field installation rep- (2) The applicant may be represented
resentative. by an attorney or any other appro-
(b) Except for applications from priately designated person.
NASA employees or employees of (3) Hearings will be open to the pub-
NASA contractors, where the Board lic unless the applicant requests that a
does not propose to recommend to the closed hearing be held.
Administrator the granting of an (4) Hearings may be held before the
award, a notification will be provided full membership of the Board or before
which includes a brief statement of the any panel of Board members designated
reasons for such decision. by the Chairperson.
(5) Hearings will be conducted in an
1240.108 Reconsideration. informal manner with the objective of
(a) With respect to each completed providing the applicant with a full op-
application, in those cases where the portunity to present evidence and ar-
Board does not recommend an award, guments in support of the application.
the applicant may, within such period Evidence may be presented through
as the Board may set but in no event means of such witnesses, exhibits, and
less than 30 days from notification, re- visual aids as are arranged for by the
quest reconsideration of the Boards applicant. While proceedings will be ex
decision. parte, members of the Board and its

(b) If reconsideration has been re- counsel may address questions to wit-
quested within the prescribed time, the nesses called by the applicant, and the
166
Board may, at its option, utilize the as- or any element thereof at any time by
sistance and testimony of technical ad- or on behalf of the United States, or by
visors or other experts. or on behalf of any foreign government
(6) Subject to the provisions of pursuant to any existing or future
1240.104(c)(2), the applicant will sub- treaty or agreement with the United
mit a copy of any exhibit or visual aid States, within the United States, or at
utilized unless otherwise directed by any other place.
the Board. The Board may, at its dis-
cretion, arrange for a written tran- [77 FR 27367, May 10, 2012]
script of the proceedings and a copy of
such transcript will be made available 1240.112 Presentation of awards.
by the recorder for purchase by the ap- (a) Written acknowledgments to em-
plicant. ployees of NASA receiving awards will
(7) No funds are available to defray be provided by the appropriate Official-
traveling expenses or any other cost in- in-Charge at the Headquarters Office,
curred by the applicant.
by the Director of the cognizant NASA
1240.110 Recommendation to, and ac- Center, or by a designee.
tion by, the Administrator. (b) Written acknowledgments to em-
(a) Upon a determination by the ployees of NASA contractors receiving
Board that a contribution merits an awards will be forwarded to contractor
award, the Board will recommend to officials for suitable presentation.
the Administrator or a designee the (c) Monetary awards will be paid by
terms and conditions of the proposed check or electronic funds transfer.
award, including a specific amount and
[77 FR 27367, May 10, 2012]
distribution thereof for any multiple
contributors. The recommendation of 1240.113 Financial accounting.
the Board to the Administrator or des-
ignee will reflect the views of the ma- NASA shall provide for appropriate
jority of the Board members. Dis- database and accounting system(s) to
senting views may be transmitted with ensure that award payments are re-
the majority opinion. corded and disbursed in an orderly
(b) The granting, denying or modi- fashion and in the proper amounts to
fication of any Board recommended proper awardees.
award under this subpart will be at the
[77 FR 27367, May 10, 2012]
sole discretion of the Administrator or
his designee, who will determine the
final terms and conditions of each
award after consideration of the cri- (a) The Chairperson, Inventions and
teria in 1240.103. Contributions Board, is delegated au-
(c) In addition, the Board may rec- thority to approve and execute grants
ommend, and the Administrator or his of awards for significant scientific or
designee may grant, non-monetary technical contributions not exceeding
awards under other applicable laws and $2,000 per contributor, when in accord-
regulations. ance with the recommendation of the
[67 FR 31120, May 9, 2002, as amended at 77 Board and in conformity with applica-
FR 27367, May 10, 2012] ble law and regulations.
(b) The Chairperson, Inventions and
1240.111 Release Contributions Board, is delegated au-
Under subsection 20136(c) of the Na- thority to approve and execute grants
tional Aeronautics and Space Act, no of awards not exceeding $2,000 per
award will be made to an applicant un- awardee, upon the notification that:
less the applicant submits a duly exe- (1) A Patent Application Award has
cuted release, in a form specified by been recommended by the Board pursu-
the Administrator, of all claims the ap- ant to 1240.105(a);
plicant may have to receive any com- (2) A Software Release Award has
pensation (other than the award rec-

been recommended by the Board pursu-
ommended) from the United States
ant to 1240.105(b); or
Government for use of the contribution
167
(3) A Tech Briefs Award has been rec- SOURCE: 52 FR 43748, Nov. 16, 1987, unless
ommended by the Board pursuant to otherwise noted.
1240.105(c).
1245.100 Scope.
[77 FR 27367, May 10, 2012]
This subpart prescribes regulations
for the waiver of rights of the Govern-
PART 1241 [RESERVED] ment of the United States to inven-
tions made under NASA contract in
PART 1245PATENTS AND OTHER conformity with section 20135 of the
INTELLECTUAL PROPERTY RIGHTS National Aeronautics and Space Act (51
U.S.C. Chapter 201).
Subpart 1Patent Waiver Regulations
[80 FR 19197, Apr. 10, 2015]
Sec.
1245.100 Scope. 1245.101 Applicability.
1245.102 Definitions and terms.
The provisions of the subpart apply
1245.103 Policy. to all inventions made or which may be
1245.104 Advance waivers. made under conditions enabling the
1245.105 Waiver after reporting inventions. Administrator to determine that the
1245.106 Waiver of foreign rights. rights therein reside in the Govern-
1245.107 Reservations. ment of the United States under sec-
1245.108 License to contractor. tion 20135(b)(1) of the National Aero-
1245.109 Assignment of title to NASA. nautics and Space Act, 51 U.S.C.
1245.110 Content of petitions.
20135(b)(1). The provisions do not apply
1245.111 Submission of petitions.
1245.112 Notice of proposed Board action and
to inventions made under any contract,
reconsideration. grant, or cooperative agreement with a
1245.113 Hearing procedure. nonprofit organization or small busi-
1245.114 Findings and recommendations of ness firm that are afforded the disposi-
the Board. tion of rights as provided in 35 U.S.C.
1245.115 Action by the Administrator. 200204 (Pub. L. 96517, 94 Stat. 3019,
1245.116 Miscellaneous provisions. 3020, 3022 and 3023; and Pub. L. 98620, 98
1245.117 March-in and waiver revocation Stat. 33643367).
procedures.
1245.118 Record of decisions. [80 FR 19197, Apr. 10, 2015]
Subpart 2Claims for Patent and 1245.102 Definitions and terms.

Copyright Infringement
As used in this subpart:
1245.200 Purpose. (a) Contract means any actual or pro-
1245.201 Objectives. posed contract, agreement, under-
1245.202 Contents of communication initi- standing, or other arrangement with
ating claim.
1245.203 Incomplete notice of infringement.
the National Aeronautics and Space
1245.204 Indirect notice of infringement. Administration (NASA) or another
1245.205 Processing of administrative Government agency on NASAs behalf,
claims. including any assignment, substitution
of parties, or subcontract executed or
Subpart 3NASA Foreign Patent Program entered into thereunder, and including
NASA grants awarded under the au-
1245.301 Inventions under NASA contracts. thority of 42 U.S.C. 18911893.
1245.302 Inventions by NASA employees. (b) Contractor means the party who
1245.303 Criteria. has undertaken to perform work under
1245.304 Procedures. a contract or subcontract.
(c) Invention means any, new and
Subparts 45 [Reserved] useful process, machine, manufacture,
or composition of matter, or any new
Subpart 1Patent Waiver and useful improvement thereof, or any
Regulations variety of plant, which is or may be
patentable under the Patent Laws of

AUTHORITY: 51 U.S.C. 20135, 35 U.S.C. 200 et the United States of America or any
seq. foreign country.
168
(d) Class of inventions means inven- interests of the United States would be
tions directed to a particular process, served by waiver of all or any part of
machine, manufacture, or composition the rights of the United States in an
of matter, or to a narrowly drawn, fo- invention or class of inventions made
cused area of technology. in the performance of work under
(e) Made, when used in relation to NASA contracts, the Administrator
any invention, means the conception or will be guided by the objectives set
first actual reduction to practice of forth in the National Aeronautics and
such invention. Space Act, by the basic policy of the
(f) Practical application means to Presidential Memorandum and State-
manufacture in the case of a composi- ment of Government Patent Policy to
tion or product, to practice in the case the Heads of the Executive Depart-
of a process or method, or to operate in ments and agencies dated February 18,
the case of a machine or system; and,
1983, by the goals and objectives of its
in each case, under such conditions as
current Authorization Act, Strategic
to establish that the invention is being
Plan, and other pertinent National
utilized and that its benefits are to the
extent permitted by law or Govern- policies or laws, such as the National
ment regulations available to the pub- Space Policy of the United States of
lic on reasonable terms. America. Any such waiver may be
(g) Board means the NASA Inven- made upon such terms and under such
tions and Contributions Board estab- conditions as the Administrator shall
lished by the Administrator of NASA determine to be required for the pro-
within the Administration under sec- tection of the interests of the United
tion 305(f) of the National Aeronautics States. Among the most important
and Space Act of 1958, as amended (42 goals are to provide incentives to fos-
U.S.C. 2457(f)). ter inventiveness and encourage the re-
(h) Chairperson means Chairperson of porting of inventions made under
the NASA Inventions and Contribu- NASA contracts, to provide for the
tions Board. widest practicable dissemination of
(i) Petitioner means a contractor or new technology resulting from NASA
prospective contractor who requests programs, and to promote early utiliza-
that the Administrator waive rights in tion, expeditious development, and
an invention or class of inventions continued availability of this new tech-
made or which may be made under a nology for commercial purposes and
NASA contract. In the case of an iden- the public benefit. In applying this reg-
tified invention, the petitioner may be ulation, both the need for incentives to
the inventor(s). draw forth private initiatives and the
(j) Government agency includes any need to promote healthy competition
executive department, independent in industry must be weighed.
commission, board, office, agency, ad- (b) Several different situations arise
ministration, authority, Government when waiver of all or any part of the
corporation, or other Government es- rights of the United States with re-
tablishment of the executive branch of spect to an invention or class of inven-
the Government of the United States of tion may be requested and are pre-
America. scribed in 1245.104 through 1245.106.
(k) Administrator means the Adminis- Under 1245.104, advance waiver of any
trator of the National Aeronautics and or all of the rights of the United States
Space Administration or the Adminis- with respect to any invention or class
trators duly authorized representa- of inventions which may be made under
tive. a contract may be requested prior to
[52 FR 43748, Nov. 16, 1987, as amended at 80 the execution of the contract, or with-
FR 19197, Apr. 10, 2015] in 30 days after execution of the con-
tract. Waiver of rights to an identified
1245.103 Policy. invention made and reported under a
(a) In implementing the provisions of contract are to be requested under
section 20135(g) of the National Aero- 1245.105, and may be requested under
nautics and Space Act (51 U.S.C. Chap- this provision even though a request
ter 201), and in determining when the under 1245.104 was not made, or if
169
1245.104 14 CFR Ch. V (1116 Edition)
made, was not granted. Waiver of for- tract is necessary to protect the secu-
eign rights under 1245.106 may be re- rity of such activities; or
quested concurrently with domestic (3) Where the Board finds that excep-
rights under 1245.104 or 1245.105, or tional circumstances exist, such that
may be made independently. restriction or denial of the requested
(c) With respect to inventions which rights will better promote one or more
may be or are made or conceived in the of the following objectives:
course of or under contracts for re- (i) Promoting the utilization of in-
search, development or demonstration ventions arising from federally sup-
work awarded by NASA on behalf of ported research and development;
the Department of Energy (DOE) or in (ii) Encouraging maximum participa-
support of a DOE program, on a reim- tion of industry in federally-supported
bursable basis pursuant to agreement research and development;
between DOE and NASA, the waiver (iii) Ensuring that inventions are
policy, regulations, and procedures of used in a manner to promote free com-
DOE will be applied. NASA will nor- petition and enterprise;
mally grant waiver of rights to inven- (iv) Promoting the commercializa-
tions made under contracts awarded by tion and public availability of inven-
NASA on behalf of, or in support of, tions made in the United States by
programs funded by another Govern- United States industry and labor; and
ment agency, unless the funding agen- (v) Ensuring that the Government re-
cy recommends and justifies denial of tains sufficient rights in federally sup-
the waiver. See 1245.110(c) and ported inventions to meet the needs of
1245.111(b). the Government and protect the public
against nonuse or unreasonable use of
[52 FR 43748, Nov. 16, 1987, as amended at 80 inventions.
FR 19198, Apr. 10, 2015]
(c)(1) An advance waiver, when grant-
1245.104 Advance waivers. ed, will be subject to the reservations
set forth in 1245.107. Normally, the
(a) The provisions of this section reservations of 1245.107(a), License to
apply to petitions for waiver of domes- the Government, and 1245.107(b),
tic rights of the United States with re- March-in rights, will apply. However,
spect to any invention or class of in- should one or more of the situations
ventions which may be made under a set forth in paragraphs (b)(1) through
contract. (b)(3), of this section exist, rather than
(b) The NASA Inventions and Con- denying the advance waiver request,
tributions Board normally will rec- the Board may recommend granting to
ommend grant of a request for advance the contractor only part of the re-
waiver of domestic rights submitted quested rights, to the extent necessary
prior to execution of contract or within to address the particular situation,
30 days after execution of the contract consistent with the policy and goals of
unless the Board finds that the inter- 1245.103. In that event, the waiver
ests of the United States will be better grant will be subject to additional res-
served by restricting or denying all or ervations as provided for in 1245.107(c).
part of the requested rights in one or (2) To meet the National Aeronautics
more of the following situations: and Space Act standard of any inven-
(1) When the contractor is not lo- tion or class of inventions, for ad-
cated in the United States or does not vance waivers, the petition shall iden-
have a place of business in the United tify the invention(s) and/or class(es) of
States or is subject to the control of a inventions that the Contractor believes
foreign government; will be made under the contract and for
(2) When a determination has been which waiver of rights is being re-
made by Government authority which quested. Therefore, the petition must
is authorized by statute or Executive be directed to a specific invention(s) or
order to conduct foreign intelligence or to inventions directed to a particular
counter-intelligence activities that the process, machine, manufacture, or
restriction or denial of the requested composition of matter, or to a nar-

rights to any inventions made in the rowly drawn, focused area(s) of tech-
performance of work under the con- nology.
170
(3) An advance waiver, when granted, 1245.105 Waiver after reporting in-
will apply only to inventions reported ventions.
to NASA under the applicable terms of (a) The provisions of this section
the contract and a designation made apply to petitions for waiver of domes-
within 6 months of the time of report- tic rights to identified inventions
ing (or a reasonable time thereafter which have been reported to NASA and
permitted for good cause shown) that to which a waiver of rights has not
the contractor elects title to the inven- been granted pursuant to 1245.104.
tion and intends to file or has filed a (b)(1) When an individual identified
U.S. patent application. Such election invention has been reported to NASA
will be made by notification in writing under the applicable terms of the con-
to the patent representative designated tract and waiver of rights has not been
in the contract. Title to all other in- granted under 1245.104, the Board nor-
ventions made under the contract are mally will recommend grant of a re-
subject to section 20135(b)(1) of the Na- quest for waiver of domestic rights to
tional Aeronautics and Space Act, 51 such invention if the request is re-
U.S.C. 20135(b)(1). The granting of the ceived within 8 months of first disclo-
advance waiver does not otherwise re- sure to NASA (or such longer period
lieve a contractor of any of the inven- that the Board may permit for good
tion identification or reporting re- cause shown), unless the Board finds
quirements set forth in the applicable that one or more of the situations set
patent rights clause in the contract. forth in 1245.104(b)(3)(i) through (v)
(4) The advance waiver shall extend exist. When granted, the waiver will be
to the invention claimed in any patent subject to the reservations set forth in
application filed on the reported inven- 1245.107 in the same manner as dis-
tion, including any subsequent divi- cussed in 1245.104(c)(1).
sional or continuation application (2) The waiver shall extend to the in-
thereof, provided the claims of the sub- vention claimed in the patent applica-
sequent application do not substan- tion filed on the reported invention, in-
tially change the scope of the reported cluding any subsequent divisional or
invention. continuation application thereof, pro-
(d) When a petition for waiver is sub- vided the claims of the subsequent ap-
mitted under paragraph (b) of this sec- plication do not substantially change
tion, prior to contract execution, it the scope of the reported invention.
will be processed expeditiously so that
a decision on the petition may be 1245.106 Waiver of foreign rights.
reached prior to execution of the con- (a) The Board will consider the waiv-
tract. However, if there is insufficient er of foreign rights in any designated
time or insufficient information is pre- country concurrently with the waiver
sented, or for other reasons which do of domestic rights when so requested
not permit a recommendation to be under 1245.104 or 1245.105.
made without unduly delaying execu- (b) The Board will also consider a
tion of the contract, the Board will in- separate request for foreign rights for
form the contracting officer that no an individual identified invention in
recommendation can be made prior to any designated country if a request
contract execution and the reasons was not made pursuant to paragraph
therefor. The contracting officer will (a) of this section, or for countries not
then notify the petitioner of the designated pursuant to paragraph (a) of
Boards action. this section.
(e) A waiver granted pursuant to a (c) The Board will normally rec-
petition submitted under this section ommend the waiver of foreign rights be
shall extend to any contract changes, granted under paragraph (a) or para-
modifications, or supplemental agree- graph (b) of this section in any des-
ments, so long as the purpose of the ignated country unless:
contract or the scope of work to be per- (1) The Board finds that exceptional
formed is not substantially changed.
circumstances exist, such that restric-

[52 FR 43748, Nov. 16, 1987, as amended at 80 tion or denial of the requested foreign
FR 19198, Apr. 10, 2015] rights will better promote one or more
171
1245.107 14 CFR Ch. V (1116 Edition)
of the objectives set forth in not reasonably satisfied by the con-

1245.104(b)(3)(i) through (v); or tractor, assignee, or their licensees;
(2) The Board finds that the economic (3) Such action is necessary to meet
interests of the United States will not requirements for public use specified
be served thereby; or unless by Federal regulations and such re-
(3) In the case of an individual identi- quirements are not reasonably satisfied
fied invention under paragraph (b) of by the contractor, assignee, or licens-
this section, NASA has determined, ees; or
prior to the request, to file a patent ap- (4) Such action is necessary because
plication in the designated country. the agreement required by the Pref-
(d) If, subsequent to the granting of erence for United States industry has
the petition for foreign rights, the peti- not been obtained or waived or because
tioner requests and designates addi- a licensee of the exclusive right to use
tional countries in which it wishes to or sell any invention in the United
secure patents, the Chairperson may States is in breach of such agreement.
recommend such request, in whole or (c) Additional reservations. In the
in part, without further action by the event one or more of the situations set
Board. forth in 1245.104 (b)(1) through (b)(3)
[52 FR 43748, Nov. 16, 1987, as amended at 80
exist, the Board may determine to rec-
FR 19199, Apr. 10, 2015] ommend partial grant of the waiver re-
quest (rather than denial) by making
1245.107 Reservations. the grant subject to additional reserva-
(a) License to the Government. Any in- tions (than those set forth in (a) and
vention for which waiver of domestic (b) of this section) to the extent nec-
or foreign rights has been granted essary to address the particular situa-
under this subpart shall be subject to tion. Such additional reservations may
the reservation by the Administrator include, but not be limited to, field-of-
of an irrevocable, nonexclusive, nonuse or terrestrial-use limitations, or
transferable, royalty-free license for additions to the march-in rights.
the practice of the invention through- [52 FR 43748, Nov. 16, 1987, as amended at 80
out the world by or on behalf of the FR 19199, Apr. 10, 2015]
United States or any foreign govern-
ment pursuant to any treaty or agree- 1245.108 License to contractor.
ment with the United States. (a) Each contractor reporting an in-
(b) March-in rights. For any invention vention is granted a revocable, non-
for which waiver of rights has been exclusive, royalty-free license in each
granted under this subpart, NASA has patent application filed in any country
the same right as set forth in 35 U.S.C. on the invention and in any resulting
203 and 210, with the procedures set patent in which the Government ac-
forth in 1245.117 and 37 CFR 401.6, to quires title. The license extends to the
require the contractor, an assignee, or contractors domestic subsidiaries and
exclusive licensee of the invention to affiliates, if any, within the corporate
grant a nonexclusive, partially exclu- structure of which the contractor is a
sive, or exclusive license in any field of party and includes the right to grant
use to a responsible applicant or appli- sublicenses of the same scope to the ex-
cants, upon terms that are reasonable tent the contractor was legally obli-
under the circumstances, and if the gated to do so at the time the contract
contractor, assignee, or exclusive li- was awarded. The license and right is
censee refuses such a request, NASA transferable only with the approval of
has the right to grant such a license the Administrator except when trans-
itself if NASA determines that: ferred to the successor of that part of
(1) Such action is necessary because the contractors business to which the
the contractor or assignee has not invention pertains.
taken, or is not expected to take with- (b) The contractors domestic license
in a reasonable time, effective steps to may be revoked or modified by the Ad-
achieve practical application of the in- ministrator to the extent necessary to
vention in such field of use; achieve expeditious practical applica-

(2) Such action is necessary to allevi- tion of the invention pursuant to an
ate health or safety needs which are application for an exclusive license
172
submitted in accordance with the Li- reasonable time thereafter for good
censing of Government-Owned Inven- cause shown) from the date a cor-
tions (37 CFR part 404). This license responding U.S. patent application has
will not be revoked in that field of use been filed or 6 months (or a reasonable
and/or the geographical areas in which time thereafter for good cause shown)
the contractor has achieved practical from the date a license is granted by
application and continues to make the the Commissioner of Patents and
benefits of the invention available to Trademarks to file foreign patent ap-
the public on reasonable terms. The li- plications where such filing has been
cense in any foreign country may be prohibited by a Secrecy Order.
revoked or modified at the discretion (c) In any country in which the waiv-
of the Administrator to the extent the er recipient decides not to continue
contractor, its licensees, or its domes- prosecution of any application, to pay
tic subsidiaries or affiliates have failed maintenance fees on, or defend in reex-
to achieve practical application in that amination or opposition proceedings on
foreign country. a patent on a waived invention, the
(c) Before revocation or modification waiver recipient shall notify the patent
of the license, the contractor will be representative within sufficient time
provided a written notice of the Ad- for NASA to continue prosecution, pay
ministrators intention to revoke or the maintenance fee or defend the reex-
modify the license, and the contractor amination or opposition, and upon
will be allowed 30 days (or any other written request, convey title to NASA
time as may be allowed by the Admin- and execute all papers necessary for
istrator for good cause shown by the NASA to proceed with the appropriate
contractor) after the notice to show action.
cause why the license should not be re-
voked or modified. The contractor 1245.110 Content of petitions.
shall have the right to appeal, in ac- (a) Each request for waiver of domes-
cordance with applicable regulations in tic or foreign rights under 1245.104,
37 CFR part 404, any decision con- 1245.105, or 1245.106 shall be by peti-
cerning the revocation or modification tion to the Administrator and shall in-
of its license. clude:
[52 FR 43748, Nov. 16, 1987, as amended at 80 (1) An identification of the peti-
FR 19199, Apr. 10, 2015] tioner, its place of business, and ad-
dress;
1245.109 Assignment of title to NASA. (2) If the petitioner is represented by
(a) The instrument of waiver set counsel, the name, address, and tele-
forth in 1245.115(c) shall be voided by phone number of the counsel;
NASA with respect to the domestic (3) A citation to the section
title to any invention for which a pat- ( 1245.104, 1245.105, or 1245.106) under
ent application has not been filed with- which the petition is submitted, the
in 1 year (or a reasonable time there- nature and extent of the rights re-
after for good cause shown) from notifi- quested, and a positive statement that
cation to NASA of election of title, as waiver of rights under the cited section
required by 1245.104(c)(2), for an ad- is being requested;
vanced waiver pursuant to 1245.104, or (4) If the petitioner is an employee
within 1 year from the granting of a inventor of the contractor, a statement
waiver for an individual invention from the contractor that the con-
granted pursuant to 1245.105. tractor does not object to this petition.
(b) The instrument of waiver set (5) Information identifying the pro-
forth in 1245.115(c) shall be voided by posed contract or resulting contract, if
NASA with respect to title in any for- any;
eign country for which waiver has been (6) A designation of the country or
granted pursuant to 1245.106, if a pat- countries, the United States of Amer-
ent application has not been filed in ica and/or foreign, in which waiver of
that country (or in the European Pat- title is requested;
ent Office or under the Patent Coopera- (7) A copy of the invention disclosure
tion Treaty and that country des- if the request is for an individual iden-
ignated) within either 10 months (or a tified invention (under 1245.105);
173
1245.111 14 CFR Ch. V (1116 Edition)
(8) The name, address, and telephone essing by that agency, or (2) coordina-
number of the party with whom the tion with other agencies, as applicable.
Board is to communicate when the re-
quest is acted upon; 1245.112 Notice of proposed Board
(9) Whether the petitioner is an enti- action and reconsideration.
ty of or under the control of a foreign (a) Notice. Except as provided by
government; 1245.104(d), the Board will notify the
(10) The signature of the petitioner or petitioner, through the contracting of-
its authorized representative; and ficer, with respect to petitions for ad-
(11) The date of the petition. vance waiver prior to contract execu-
(b) Advance waiver petitions shall
tion, and directly to the petitioner for
also identify the invention(s) and/or
all other petitions:
class(es) of inventions that the Con-
tractor believes will be made under the (1) When it proposes to recommend to
contract and for which waiver of rights the Administrator that the petition be:
is being requested, in accordance with (i) Granted in an extent different
1245.104(c)(2). from that requested; or
(c) No specific forms need be used. (ii) Denied.
Requests for advanced waiver should, (2) Of the reasons for the rec-
preferably, be included with the pro- ommended action adverse to or dif-
posal, but in any event in advance of ferent from the waiver of rights re-
negotiations. quested by the petitioner.
(d) Petitions for waiver under contracts (b) Request for reconsideration and
funded by another agency. The content statements required. (1) If, under para-
of the petitions for waiver of title to graph (a) of this section, the Board no-
inventions made under contracts tifies the petitioner that the Board
awarded by NASA on behalf of the De- proposes to recommend action adverse
partment of Energy under 1245.103(c) to or different from the waiver re-
shall follow the procedures and form quested, the petitioner may, within the
prescribed by and shall be acted on by period as the Board may set, but not
that agency. Petitions under contracts less than 15 days from the notification,
awarded by NASA on behalf of other request reconsideration by the Board.
agencies will be coordinated with the
(2) If reconsideration has been re-
agency before action is taken by the
quested within the prescribed time, the
Board.
petitioner shall, within 30 days from
[52 FR 43748, Nov. 16, 1987, as amended at 80 the date of the request for reconsider-
FR 19199, Apr. 10, 2015] ation, or within any other time as the
Board may set, file its statement set-
1245.111 Submission of petitions.
ting forth the points, authorities, argu-
(a) Petitions for advance waiver of ments, and any additional material on
domestic rights under 1245.104 or for which it relies.
advance waiver of foreign rights under (3) Upon filing of the reconsideration
1245.106 presented prior to contract statement by the petitioner, the peti-
execution, must be submitted to the tion will be assigned for reconsider-
contracting officer. Any petition sub- ation by the Board upon the contents
mitted by a prospective contractor and of the petition, the record, and the re-
selected for negotiation of a contract consideration statement submitted by
will be processed and forwarded to the the petitioner.
Board for consideration. All other peti-
(4) The Board, after its reconsider-
tions will be submitted to the patent
ation, will promptly notify the peti-
representative designated in the con-
tioner of its proposed recommendation
tract for processing prior to forwarding
to the Administrator. If the Boards
to the Board.
proposed action is adverse to, or dif-
(b) A copy of any waiver petitions
ferent from, the waiver requested, the
submitted under 1245.103(c) should be
petitioner may request an oral hearing
forwarded to the appropriate NASA
within the time as the Board has set.
field installation patent counsel, if not

supplied earlier, for (1) transmittal to [52 FR 43748, Nov. 16, 1987, as amended at 80
the Department of Energy for proc- FR 19199, Apr. 10, 2015]
174
1245.113 Hearing procedure. petitioner does not request reconsider-

(a) If the petitioner requests an oral ation or a hearing during the period set
hearing within the time set, under for the action or informs the Board
1245.112(b)(4), the Board shall set the that the action will not be requested,
time and place for the hearing and or fails to file the required statements
shall notify the petitioner. within the prescribed time, the Board
(b) Oral hearings held by the Board shall transmit the petition, a summary
shall be open to the public and shall be record of hearing proceedings, if appli-
held in accordance with the following cable, its findings of fact, and its rec-
procedures: ommendation to the Administrator.
(1) Oral hearings shall be conducted
in an informal manner, with the objec- 1245.115 Action by the Adminis-
tive of providing the petitioner with a trator.
full opportunity to present facts and (a) After receiving the transmittal
arguments in support of the petition. from the Board, the Administrator
Evidence may be presented through shall determine, in accordance with the
means of witnesses, exhibits, and vis- policy of 1245.103, whether or not to
ual aids as are arranged for by the peti- grant any petition for waiver of rights
tioner. Petitioner may be represented to the petitioner.
by any person including its attorney. (b) In the event of denial of the peti-
While proceedings will be ex parte, tion by the Administrator, a written
members of the Board and its counsel notice of such denial will be promptly
may address questions to witnesses transmitted by the Board to the peti-
called by the petitioner, and the Board tioner. The written notice will be ac-
may, at its option, enlist the aid of companied with a statement of the
technical advisors or expert witnesses. grounds for denial.
Any person present at the hearing may (c) If the waiver is granted by the Ad-
make a statement for the record. ministrator, the petitioner shall be
(2) A transcript or equivalent record
sent for execution, an instrument of
of the proceeding shall be arranged for
waiver confirmatory of the conditions
by the Board. The petitioner shall sub-
and reservations of the waiver grant.
mit for the record a copy of any exhibit
The petitioner shall promptly return
or visual aid utilized during the hear-
the executed copy of the instrument of
ing.
waiver to the Chairperson.
1245.114 Findings and recommenda-
tions of the Board. 1245.116 Miscellaneous provisions.
(a) Findings of the Board. The Board (a) Filing of patent applications and re-
shall consider the petition, the NASA imbursement of costs. In order to protect
contract, if relevant, the goals cited in the interests of the Government and
1245.103(a), the effect of the waiver on the petitioner in inventions, a peti-
the objectives of the related NASA pro- tioner may file United States patent
grams, and any other available facts applications for such inventions prior
and information presented to the Board to the Administrators determination
by an interested party. The Board shall on a petition for waiver. If an applica-
document its findings. tion on an identified invention is filed
(b) Recommendation of the Board. (1) during the pendency of the petition, or
Except as provided in 1245.104(d), after within 60 days prior to the receipt of a
making the findings of fact, the Board petition, NASA will reimburse the peti-
shall formulate its proposed rec- tioner for any reasonable costs of the
ommendation to the Administrator as filing and patent prosecution that may
to the grant of waiver as requested, the have occurred, provided:
grant of waiver upon terms other than (1) Similar patent filing and prosecu-
as requested, or denial of waiver. tion costs are not normally reimbursed
(2) If the Board proposes to rec- to the petitioner as direct or indirect
ommend, initially or upon reconsider- costs chargeable to the Government
ation or after oral hearing, that the pe- contracts;

tition be granted in the extent re- (2) The petition is ultimately denied
quested or, in other cases, where the with respect to domestic rights, or
175
1245.117 14 CFR Ch. V (1116 Edition)
with respect to foreign and domestic person may reasonably specify. No uti-
rights, if both are requested, and lization reports need be submitted
(3) Prior to reimbursement, peti- after the term of the patent.
tioner assigns the application to the (2) Such reports on the utilization of
United States of America as rep- a waived invention, as well as informa-
resented by the Administrator of the tion on the utilization or efforts at ob-
National Aeronautics and Space Ad- taining utilization obtained as part of
ministration. a march-in proceeding under 1245.117,
(b) Statement of Government rights. shall be treated by NASA as commer-
The waiver recipient shall include, cial and financial information obtained
within the specification of any United from a person and privileged and con-
States patent application and any pat- fidential and not subject to disclosure
ent issuing thereon for a waived inven- under 5 U.S.C. 552.
tion, the following statement: (g) Communications. Unless otherwise
The invention described herein was specifically set forth in this subpart,
made in the performance of work under all communications relating to waived
NASA Contract No. lll, and is subject inventions, and all information and
to the provisions of Section 20135 of the documents required to be submitted to
National Aeronautics and Space Act (51 NASA in this subpart, shall be fur-
U.S.C. Chapter 201). nished to the patent representative
(c) License to the Government. The designated in the contract under which
waiver recipient shall return to NASA the waived invention was made.
a duly executed and approved license to (Recordkeeping and reporting requirements
the Government (which will be pre- contained in paragraph (f) were approved by
pared by the Government) fully con- the Office of Management and Budget under
firming of all the rights, domestic and control number 27000050)
foreign, to which the Government is [52 FR 43748, Nov. 16, 1987, as amended at 80
entitled. FR 19199, Apr. 10, 2015]
(d) Patent filing and issuance informa-
tion. The waiver recipient shall furnish 1245.117 March-in and waiver rev-
to either the Chairperson or the patent ocation procedures.
representative, the filing date, serial (a) The exercise of march-in proce-
number and title, and upon request, a dures shall be in conformance with 35
copy of any domestic or foreign patent U.S.C. 203 and the applicable provisions
application including an English lan- of 37 CFR 401.6, entitled Exercise of
guage version if filed in a language march-in rights for inventions made by
other than English, and a copy of the nonprofit organizations and small busi-
patent or patent number and issue ness firms.
date, for any waived invention. (b) Whenever NASA receives informa-
(e) Transfer of rights. The waiver re- tion that it believes might warrant the
cipient shall notify the Chairperson exercise of march-in rights, before ini-
prior to any transfer of principal rights tiating any march-in proceeding, it
in any waived invention to any party. shall notify the waiver recipient in
Such transfer shall be subject to all writing of the information and request
rights reserved by the Government, informal written or oral comments
and all obligations of the waiver recipi- from the waiver recipient as well as in-
ent, as set forth in this subpart. formation relevant to the matter. In
(f) Utilization reports. (1) The waiver the absence of any comments from the
recipient shall provide to the Chair- waiver recipient within 30 days, NASA
person upon request, and no more fre- may, at its discretion, proceed with the
quently than annually, reports on the procedures set forth in 37 CFR 401.6. If
utilization of a waived invention or on a comment is received within 30 days,
efforts at obtaining such utilization or later if NASA has not initiated the
being made by the waiver recipient or procedures, then NASA shall, within 60
its licensees or assigns. Such reports days after it receives the comment, ei-
shall include information regarding the ther initiate the procedures or notify
status of the development, date of first the waiver recipient, in writing, that it
commercial sale or use, and such other will not pursue march-in rights on the
data and information as the Chair- basis of the available information.
176
(c) If march-in procedures are to be 1245.200 Purpose.

initiated, the Administrator of NASA, The purpose of this subpart is to set
or designee, shall undertake or refer forth policies and procedures for the
the matter for fact finding to the filing and disposition of claims of in-
NASA Board of Contract Appeals (BCA) fringement of privately owned rights in
and its Chairperson. patented inventions or copyrighted
(d) Fact-finding shall be conducted works asserted against NASA.
by the NASA BCA and its Chairperson
in accordance with its procedures that 1245.201 Objectives.
are consistent with the procedures set Whenever a claim of infringement of
forth in 37 CFR 401.6. Any portion of privately owned rights in patented in-
the march-in proceeding, including a ventions or copyrighted works is as-
fact-finding hearing that involves tes- serted against NASA, all necessary
timony or evidence relating to the uti- steps shall be taken to investigate and
lization or efforts at obtaining utiliza- to administratively settle, deny, or
tion that are being made by the waiver otherwise dispose of such claim prior
recipient, its assignee, or licensees to suit against the United States. The
shall be closed to the public, including General Counsel, or designee, is au-
potential licensees. In accordance with thorized to investigate, settle, deny, or
35 U.S.C. 202(c)(5), NASA shall not dis- otherwise dispose of all claims of pat-
close any such information obtained ent and copyright infringement, pursu-
during a march-in proceeding to per- ant to the above-cited statutory au-
sons outside the Government except thority.
when such release is authorized by the 1245.202 Contents of communication
waiver recipient (assignee or licensee). initiating claim.
(e) The preparation of written find-
(a) Requirements for claim. A patent or
ings of fact and recommended deter-
copyright infringement claim for com-
mination by the Chairperson of the
pensation, asserted against the United
NASA BCA and the determination by States as represented by NASA under
the Administrator, or designee, of any of the applicable statutes cited
NASA shall be in accordance with 37 above, must be actually communicated
CFR 401.6. to and received by an organization, of-
(f) NASA may, at any time, termi- fice, or within a NASA Center. Claims
nate a march-in proceeding if it is sat- must be in writing and must include
isfied that it does not wish to exercise the following:
march-in rights. (1) An allegation of infringement.
[52 FR 43748, Nov. 16, 1987, as amended at 80 (2) A request for compensation, ei-
FR 19199, Apr. 10, 2015] ther expressed or implied.
(3) A citation to the patent(s) or
1245.118 Record of decisions. copyright(s) alleged to be infringed.
(4) In the case of a patent infringe-
The findings of fact and rec-
ment claim, a sufficient designation to
ommendations made to the Adminis-
permit identification of the accused
trator by the Board with respect to subject matter (e.g. article(s) or proc-
each petition for waiver shall be re- ess(es)) alleged to infringe the pat-
corded by the Board and be available to ent(s), giving the commercial designa-
the public. tion, if known to the claimant, or, in
the case of a copyright infringement
Subpart 2Claims for Patent and claim, the accused subject matter (e.g.
Copyright Infringement act(s) or work(s)) alleged to infringe
the copyright.
AUTHORITY: 51 U.S.C. 2011220113; 22 U.S.C.
(5) In the case of a patent infringe-
2356; 35 U.S.C. 181188 and 286; and 28 U.S.C. ment claim, a designation of at least
1498. one claim of each patent alleged to be
infringed or, in the case of a copyright

SOURCE: 77 FR 14687, Mar. 13, 2012, unless infringement claim, a copy of each
otherwise noted. work alleged to be infringed.
177
1245.202 14 CFR Ch. V (1116 Edition)
(6) As an alternative to paragraphs the status or ultimate disposition of

(a)(4) and (5) of this section, certifi- each.
cation that the claimant has made a (6) A brief description of all litiga-
bona fide attempt to determine the action involving the patent(s) which was
cused subject matter, which is alleged initiated at any time prior to the claim
to infringe the patent(s), or the ac- being filed and their present status.
cused subject matter alleged to in- This includes any defenses or counter-
fringe the copyright(s), but was unable claims made and positions maintained
to do so, giving reasons and stating a by opposing parties regarding inva-
reasonable basis for the claimants be- lidity of the patent(s).
lief that the patent(s) or copyright(s) is
(7) A description of Government em-
being infringed.
(b) Additional information for patent ployment or military service, if any, by
infringement claims. In addition to the the inventor(s) or patent owner(s) in-
information listed in paragraph (a) of cluding a statement from the inven-
this section, the following material and tor(s) or patent owner(s) certifying
information generally are necessary in whether the invention claimed in the
the course of processing a claim of pat- patents was conceived or reduced to
ent infringement. Claimants are en- practice, in part or in whole, during
couraged to furnish this information at Government employment and whether
the time of filing a claim to permit such inventor(s) or owner(s) occupied
rapid processing and resolution of the any position from which such inven-
claim. tor(s) or owner(s) was capable of order-
(1) A copy of the asserted patent(s) ing, influencing, or inducing use of the
and identification of all claims of the invention by the Government.
patent(s) alleged to be infringed. (8) A list of all contract(s) between
(2) Identification of all procurements the Government and inventor(s), pat-
known to the claimants that involve ent owner(s), or anyone in privity with
the accused item(s) or process(es), in- the patent owner(s), under which work
cluding the identity of the vendor(s) or relating to the patented subject matter
contractor(s) and the Government ac- was performed.
quisition activity or activities.
(9) Evidence of title to the asserted
(3) A detailed identification and de-
scription of the accused article(s) or patent(s) or other right to make the
process(es) used or acquired by the claim.
Government, particularly where the ar- (10) A copy of the United States Pat-
ticle(s) or process(es) relate to a com- ent and Trademark Office (USPTO) file
ponent(s) or subcomponent(s) of an history of each patent, if it is available
item acquired, and an element-by-ele- to the claimant. Indicate whether the
ment comparison of representative patent has been the subject of any in-
claim(s) with the accused article(s) or terference proceedings, certification of
process(es). If available, the identifica- correction request, reexamination, or
tion and description should include reissue proceedings at the USPTO, or
documentation and drawings to illus- lapsed for failure to pay any mainte-
trate the accused article(s) or proc- nance fee. In addition, the status of all
ess(es) in sufficient detail to enable de- corresponding foreign patents and pat-
termining whether the claim(s) of the ent applications and full copies of the
asserted patent(s) read on the accused same.
article(s) or process(es). (11) Pertinent prior art known to the
(4) Names and addresses of all past claimant not contained in the USPTO
and present licensees under the pat- file, for example, publications and for-
ent(s) and copies of all license agree- eign prior art. In addition to the fore-
ments and releases involving the pat-
going, if claimant can provide a state-
ent(s). In addition, an identification of
ment that the investigation may be
all assignees of the patent(s).
(5) A list of all persons to whom no- limited to the specifically identified
accused article(s) or process(es) or to a
tices of infringement have been sent,

including all departments and agencies specific acquisition (e.g. identified con-
of the Government, and a statement of tract(s)), it may speed disposition of
178
the claim. Claimants are also encour- ington, DC 205460001. If any commu-
aged to provide information on any an- nication relating to a claim or possible
cillary matters that may have a bear- claim of patent or copyright infringe-
ing on validity or infringement. ment is received by an agency, organi-
(c) Denial for refusal to provide infor- zation, office, or field installation
mation. In the course of investigating a within NASA, it shall be forwarded to
claim, it may become necessary for the Agency Counsel for Intellectual
NASA to request information in the Property.
control and custody of the claimant (b) Disposition and notification. The
that is relevant to the disposition of General Counsel, or designee, shall in-
the claim. Failure of the claimant to vestigate and administratively settle,
respond to a request for such informa- deny, or otherwise dispose of each
tion shall be sufficient reason alone for claim. When a claim is denied, the
denying a claim. Agency shall so notify the claimant or
the claimants authorized representa-
1245.203 Incomplete notice of in- tive and provide the claimant with the
fringement. reasons for denying the claim. Disclo-
(a) If a communication alleging pat- sure of information shall be subject to
ent infringement or copyright infringe- applicable statutes, regulations, and
ment is received that does not meet directives pertaining to security, ac-
the requirements set forth in cess to official records, and the rights
1245.202(a), the sender shall be advised of others.
in writing by the Agency Counsel for (c) Termination of claims. If, while an
Intellectual Property: administrative claim for patent or
(1) That the claim for infringement copyright infringement is pending
has not been satisfactorily presented; against NASA, the claimant brings suit
and for patent or copyright infringement
(2) Of the elements necessary to es- against the United States in the Court
tablish a claim. of Federal Claims based on the same
(b) A communication, in which no in- facts or transactions as the adminis-
fringement is alleged in accordance trative claim, the administrative claim
with 1245.202(a), such as a mere proffer shall thereupon be automatically dis-
of a license, shall not be considered a missed, with no further action being
claim for infringement. required of NASA.
1245.204 Indirect notice of infringe-
ment. Subpart 3NASA Foreign Patent
A communication by a patent or
Program
copyright owner to addressees other
than those specified in 1245.202(a), AUTHORITY: 51 U.S.C. 20135(g) and E.O. 9865,
such as NASA contractors, including 12 FR 3907, 3 CFR, 19431948 Comp., p. 651, and
E.O. 10096, 15 FR 389, 3 CFR, 19491953 Comp.,
contractors operating Government-
p. 292.
owned facilities, alleging that acts of
infringement have occurred in the per- SOURCE: 30 FR 1844, Feb. 10, 1965, unless
formance of a Government contract, otherwise noted.
grant, or other arrangement, shall not
be considered a claim within the mean-
ing of 1245.202(a) until such commu- This subpart establishes policy, cri-
nication meets the requirements speci- teria, and procedures concerning the
fied therein. NASA Foreign Patent Program.
1245.205 Processing of administra- 1245.301 Inventions under NASA con-

tive claims. tracts.
(a) Filing and forwarding of claims. All (a) Pursuant to 1245.113, NASA has
communications regarding claims facilitated the filing of foreign patent
should be addressed to: Agency Counsel applications by contractors by pro-
for Intellectual Property, Office of the viding for the granting of a waiver of
General Counsel, National Aeronautics title to a contractor to any identified
and Space Administration, Wash- invention in countries other than the
179
1245.302 14 CFR Ch. V (1116 Edition)
United States in the event the Admin- (a) Inventions which may be utilized
istrator of NASA does not desire to file abroad in governmental programs of
a patent application covering the in- the United States.
vention in such countries. However, (b) Inventions which may be ex-
any such waiver is subject to the res- ploited abroad in the public interest by
ervation by the Administrator of the license to U.S. nationals or others.
license required to be retained by (c) Inventions which may be utilized
NASA under 51 U.S.C. 20135(g) of the in applications type satellites, such as
National Aeronautics and Space Act, communications and meteorological
as amended. satellites.
(b) Conversely, where the principal (d) Inventions considered to be basic
rights in an invention made under a discoveries or of major significance in
NASA contract remain in the con- an art.
tractor by virtue of waiver, (e) Inventions in fields which directly
1245.19(a)(5) provides that the con- concern the public health or public
tractor, upon written request, will con- welfare.
vey to the Administrator of NASA the
entire right, title, and interest in the 1245.304 Procedures.
invention in any foreign country in (a) The patent counsel at each NASA
which the contractor has elected not to field installation will review all inven-
file a patent application. tion disclosures at the time of dock-
(c) With respect to inventions in eting and will expedite the processing
which NASA has acquired and retained and preparation of a U.S. patent appli-
the principal rights, NASA will file cation, if justified, on those inventions
patent applications in countries other which appear to fall within the criteria
than the United States on inventions set forth in 1245.303. The patent coun-
selected in accordance with the cri- sel will make a recommendation as to
teria set forth in 1245.303. whether or not foreign patent coverage
[30 FR 1844, Feb. 10, 1965, as amended at 80 appears justified at the time of assign-
FR 42029, July 16, 2015] ing a priority evaluation to a disclosed
invention.
1245.302 Inventions by NASA employ- (b) Preparation and filing of patent
ees. applications in foreign countries will
(a) The foreign rights of NASA and of be subject to approval of the Assistant
the NASA employee making an inven- General Counsel for Patent Matters,
tion are determinable in accordance NASA Headquarters.
with Executive Orders 9865 and 10096 (c) The Office of Assistant General
and Government Patent Board Admin- Counsel for Patent Matters will budget
istrative Order No. 6 issued pursuant for and administer the filing of all pat-
thereto. ent applications in countries other
(b) Where NASA acquires an assign- than the United States.
ment of the domestic rights in an in- (d) Coordination with other inter-
vention made by a NASA employee, ested NASA offices will be undertaken
NASA will also obtain an option to ac- by the Assistant General Counsel for
quire the foreign rights, including the Patent Matters.
right to file foreign patent applications
on the invention. Subparts 45 [Reserved]
(c) Where NASA is entitled to only a
governmental license in the invention, PART 1250NONDISCRIMINATION
the principal foreign rights in the in- IN FEDERALLY-ASSISTED PRO-
vention are retained by the employee GRAMS OF NASAEFFEC-
unless he agrees in writing to assign
such rights to NASA.
TUATION OF TITLE VI OF THE
CIVIL RIGHTS ACT OF 1964
1245.303 Criteria.
Sec.
The following categories of inven- 1250.100 Purpose.
tions will be considered for the filing of 1250.101 Applicability.

patent applications by NASA in coun- 1250.102 Definitions.
tries other than the United States: 1250.103 Discrimination prohibited.
180
1250.1031 General. effective date of this part pursuant to
1250.1032 Specific discriminatory acts pro- an application approved prior to such
hibited. effective date.
1250.1033 Employment practices.
1250.1034 Illustrative applications. (b) Excluded activities. This part does
1250.1035 Special benefits. not apply to (1) any Federal financial
1250.1036 Medical emergencies. assistance by way of insurance or guar-
1250.104 Assurances. anty contracts, (2) money paid, prop-
1250105 Compliance information. erty transferred, or other assistance
1250.106 Conduct of investigations. extended before the effective date of
1250.107 Procedure for effecting compliance.
1250.108 Hearings. this part, except as provided in para-
1250.109 Decisions and notices. graph (a) of this section, (3) any assist-
1250.110 Judicial review. ance to any individual who is the ulti-
1250.111 Effect on other regulations; forms mate beneficiary, (4) any employment
and instructions. practice, under any such program, of
1250.112 Relationship with other officials. any employer, employment agency, or
APPENDIX A TO PART 1250NASA FEDERAL labor organization, except as provided
FINANCIAL ASSISTANCE TO WHICH THIS in 1250.1033, (5) contracts not covered
PART APPLIES
in the types of Federal financial assist-
AUTHORITY: Sec. 602, 78 Stat. 252, 42 U.S.C. ance listed in appendix A, or (6) ad-
2000d1; and the laws listed in appendix A to vances, V-loans, and other financial as-
this part. sistance made incident to NASA pro-
SOURCE: 30 FR 301, Jan. 9, 1965, unless oth- curements not covered in the types of
erwise noted. Federal financial assistance listed in
appendix A.
1250.100 Purpose.
The purpose of this part is to effec- [30 FR 301, Jan. 9, 1965, as amended at 68 FR
51350, Aug. 26, 2003]
tuate the provisions of Title VI of the
Civil Rights Act of 1964 (hereafter re- 1250.102 Definitions.
ferred to as the Act) to the end that
no person in the United States shall, As used in this part
on the ground of race, color or national (a) Administrator means the Adminis-
origin, be excluded from participation trator of the NASA.
in, be denied the benefits of, or be oth- (b) Applicable means one who submits
erwise subjected to discrimination an application, request, proposal, or
under any program or activity receiv- plan required to be approved by a re-
ing Federal financial assistance from sponsible NASA official, or by a pri-
the National Aeronautics and Space mary recipient, as a condition to eligi-
Administration, hereinafter referred to bility for Federal financial assistance;
as NASA. and the term application means such an
application, request, proposal or plan.
1250.101 Applicability. (c) Facility includes all or any portion
(a) Covered programs. (1) This part ap- of structures, equipment, or other real
plies to any program for which Federal or personal property or interests there-
financial assistance is authorized under in, and the provision of facilities in-
a law administered by NASA, including cludes the construction, expansion,
the types of Federal financial assist- renovation, remodeling, alteration or
ance listed in appendix A to this part. acquisition of facilities.
The fact that a type of Federal assist- (d) Federal financial assistance in-
ance is not listed in appendix A shall cludes (1) grants and loans of Federal
not mean, if Title VI of the Act is oth- funds, (2) the grant or donation of Fed-
erwise applicable, that a program is eral property and interests in property,
not covered. Other types of Federal fi- (3) the detail of Federal personnel, (4)
nancial assistance under statutes now the sale and lease of, and the permis-
in force or hereafter enacted may be sion to use (on other than a casual or
added to appendix A by notice pub- transient basis), Federal property or
lished in the FEDERAL REGISTER. any interest in such property without
(2) This part applies to money paid, consideration or at a nominal consider-

property transferred, or other Federal ation, or at a consideration which is re-
financial assistance extended after the duced for the purpose of assisting the
181
1250.103 14 CFR Ch. V (1116 Edition)
recipient, or in recognition of the pub- ity to which Federal financial assist-

lic interest to be served by such sale or ance is extended, in the case of any
lease to the recipient, and (5) any Fed- other corporation, partnership, private
eral agreement, arrangement, or other organization, or sole proprietorship; or
contract which has as one of its pur- (4) Any other entity which is estab-
poses the provision of assistance. lished by two or more of the entities
(e) NASA means the National Aero- described in paragraph (h)(1), (2), or (3)
nautics and Space Administration. of this section.
(f) Primary recipient means any recipi- (i) Recipient means any State, polit-
ent which is authorized or required to ical subdivision of any State, or instru-
extend Federal financial assistance to mentality of any State or political sub-
another recipient. division, any public or private agency,
(g) Principal Compliance Officer means institution, or organization, or other
the Director, Equal Employment Op- entity, or any individual, in any State,
portunity Office, Office of Organization to whom Federal financial assistance is
and Management, NASA Headquarters, extended, directly or through another
or any successor officer to whom the recipient, including any successor, as-
Administrator should delegate author- sign, or transferee thereof, but such
ity to perform the functions assigned term does not include any ultimate
to the Principal Compliance Officer by beneficiary.
this part. (j) Responsible NASA official means:
(h) Program or activity and program (1) The heads of Offices at NASA
mean all of the operations of any enti- Headquarters responsible for making
ty described in paragraphs (h)(1) grants, and contracts of the kind listed
through (4) of this section, any part of in appendix A; and
which is extended Federal financial as- (2) Each Director of a field installa-
sistance: tion which makes or administers
(1)(i) A department, agency, special grants and contracts of the kind listed
purpose district, or other instrumen- in appendix A, or any officer to whom
tality of a State or of a local govern- he has delegated authority to act with-
ment; or in the areas of responsibility assigned
(ii) The entity of such State or local to him under this part.
government that distributes such as- (k) United States means the States of
sistance and each such department or the United States, the District of Co-
agency (and each other State or local lumbia, Puerto Rico, the Virgin Is-
government entity) to which the as- lands, American Samoa, Guam, Wake
sistance is extended, in the case of as- Island, the Canal Zone, and the terri-
sistance to a State or local govern- tories and possessions of the United
ment; States, and the term State means any
(2)(i) A college, university, or other one of the foregoing.
postsecondary institution, or a public [30 FR 301, Jan. 9, 1965, as amended at 38 FR
system of higher education; or 17936, July 5, 1973; 68 FR 51350, Aug. 26, 2003]
(ii) A local educational agency (as de-
fined in 20 U.S.C. 7801), system of voca- 1250.103 Discrimination prohibited.
tional education, or other school sys-
tem; 1250.1031 General.
(3)(i) An entire corporation, partner- No person in the United States shall,
ship, or other private organization, or on the ground of race, color or national
an entire sole proprietorship origin be excluded from participation
(A) If assistance is extended to such in, be denied the benefits of, or be oth-
corporation, partnership, private orga- erwise subjected to discrimination
nization, or sole proprietorship as a under any program to which this part
whole; or applies.
(B) Which is principally engaged in
the business of providing education, 1250.1032 Specific discriminatory
health care, housing, social services, or acts prohibited.
parks and recreation; or (a) A recipient to which this part ap-

(ii) The entire plant or other complies may not, directly or through con-
parable, geographically separate facil- tractual or other arrangements, on
182
ground of race, color, or national ori- gram, or the class of individuals to be

gin: afforded an opportunity to participate
(1) Deny an individual any service, fi- in any such program, may not, directly
nancial aid, or other benefit provided or through contractual or other ar-
under the program; rangements, utilize criteria or methods
(2) Provide any service, financial aid, of administration which have the effect
or other benefit to an individual which of subjecting individuals to discrimina-
is different, or is provided in a different tion because of their race, color, or na-
manner, from that provided to others tional origin, or have the effect of de-
under the program; feating or substantially impairing ac-
(3) In determining the site or loca- complishment of the objectives of the
tion of facilities, a recipient or appli- program as respects individuals of a
cant may not make selections with the particular race, color, or national ori-
purpose or effect of excluding individ- gin.
uals from, denying them the benefits (c) As used in this section the serv-
of, or subjecting them to discrimina- ices, financial aid, or other benefits
tion under any program to which this provided under a program receiving
regulation applies, on the grounds of Federal financial assistance shall be
race, color, or national origin; or with deemed to include any service, finan-
the purpose or effect of defeating or cial aid, or other benefit provided in or
substantially impairing the accom- through a facility provided with the
plishment of the objectives of the Act aid of Federal financial assistance.
or this regulation. (d) A recipient may not take action
(4) Subject an individual to segrega- that is calculated to bring about indi-
tion or separate treatment in any mat- rectly what this part forbids it to ac-
ter related to his receipt of any service, complish directly.
financial aid, or other benefit under (e) The enumeration of specific forms
the program; of prohibited discrimination in this
(5) Restrict an individual in any way section does not limit the generality of
in the enjoyment of any advantage or the prohibition in 1250.1031. This reg-
privilege enjoyed by others receiving ulation does not prohibit the consider-
any service, financial aid, or other ben- ation of race, color, or national origin
efit under the program; if the purpose and effect are to remove
(6) Treat an individual differently or overcome the consequences of prac-
from others in determining whether he tices or impediments which have re-
satisfies any admission, enrollment, stricted the availability of, or partici-
quota, eligibility, membership or other pation in, the program or activity re-
requirement or condition which indi- ceiving Federal financial assistance, on
viduals must meet in order to be pro- the grounds of race, color, or national
vided any service, financial aid, or origin. Where previous discriminatory
other benefit provided under the pro- practices or usage tends, on the
gram; grounds of race, color, or national ori-
(7) Deny an individual an opportunity gin, to exclude individuals from par-
to participate in the program through ticipation in, to deny them the benefits
the provision of services or otherwise of, or to subject them to discrimina-
or afford him an opportunity to do so tion under any program or activity to
which is different from that afforded which this regulation applies the appli-
others under the program (including cant or recipient has an obligation to
the opportunity to participate in the take reasonable action to remove or
program as an employee but only to overcome the consequences of the prior
the extent set forth in 1250.1033). discriminatory practice or usage, and
(b) A recipient, in determining the to accomplish the purpose of the Act.
types of services, financial aid, or other [30 FR 301, Jan. 9, 1965, as amended at 38 FR
benefits, or facilities which will be pro- 17936, July 5, 1973; 68 FR 51350, Aug. 26, 2003]
vided under any such program, or the
class of individuals to whom, or the sit- 1250.1033 Employment practices.
uations in which, such services, finan- (a) Where a primary objective of the
cial aid, other benefits, or facilities Federal financial assistance to a pro-
will be provided under any such program to which this part applies is to
183
1250.1034 14 CFR Ch. V (1116 Edition)
provide employment, a recipient may 1250.1034 Illustrative applications.

not directly or through contractual or (a) In training grant services dis-
other arrangements subject an indi- crimination is forbidden in the selec-
vidual to discrimination on the ground tion or eligibility of individuals to be
of race, color, or national origin in its trained and in their treatment by the
employment practices under such pro- grantee during their training. In any
gram (including recruitment or re- case where selection is made from a
cruitment advertising, employment, predetermined group, such as the stu-
layoff or termination, upgrading, de- dents in an institution, the group must
motion, or transfer, rates of pay or have been selected without discrimina-
other forms of compensation, and use tion.
of facilities), including programs where (b) In a research or training grant to
a primary objective of the Federal fi- a university for activities to be con-
nancial assistance is (1) to assist such ducted in a graduate school, discrimi-
individuals through employment to nation in the admission and treatment
meet expenses incident to the com- of students in the graduate school is
mencement or continuation of their prohibited and the prohibition extends
education or training, or (2) to provide to the entire university.
work experience which contributes to (c) Discrimination in the treatment
the education or training of such indi- of students or other trainees includes
viduals. the prohibition of discrimination
(b) Employment opportunities pro- among the students or trainees in the
vided in connection with any of the availability or use of any academic,
types of Federal financial assistance dormitory, eating, recreational, or
listed in appendix A, which opportuni- other facilities of the grantee or other
ties are limited, or for which pref- recipient.
erence is given, to students, fellows, or (d) In a research or training grant,
other persons in training for the same discrimination is prohibited with re-
or related employments, are programs spect to the availability of any edu-
of the kind described in paragraph cational activity and any provision of
(a)(1) and (2) of this section. medical or other services and any fi-
(c) The requirements applicable to nancial aid to individuals incident to
construction employment under any the grant.
such program shall be those specified (e) Upon transfers of real or personal
in or pursuant to Executive Order 11246 property for research or educational
or any Executive order which super- uses, discrimination is forbidden to the
sedes it. same extent as in the case of grants for
(d) Where a primary objective of the the construction of facilities or the
Federal financial assistance is not to provision of equipment for like pur-
provide employment, but discrimina- poses.
tion on the grounds of race, color, or (f) In some situations even though
national origin in the employment past discriminatory practices have
practices of the recipient or other per- been abandoned, the consequences of
sons subject to the regulation tends, on such practices continue to impede the
the grounds of race, color, or national full availability of a benefit. If the ef-
origin, to exclude individuals from par- forts required of the applicant or re-
ticipation in, to deny them the benefits cipient under 1250.105 to provide infor-
of, or to subject them to discrimina- mation as to the availability of the
tion under any program to which this program or activity, and the rights of
regulation applies, the provisions of beneficiaries under this regulation,
paragraph (a) of this section shall have failed to overcome these con-
apply to the employment practices of sequences, it will become necessary for
the recipient or other persons subject such applicant or recipient to take ad-
to the regulation, to the extent nec- ditional steps to make the benefits
essary to assure equality of oppor- fully available to racial and nation-
tunity to, and nondiscriminatory ality groups previously subjected to
treatment of, beneficiaries.
discrimination. This action might take

[30 FR 301, Jan. 9, 1965, as amended at 38 FR the form, for example, of special ar-
17936, July 5, 1973; 68 FR 51350, Aug. 26, 2003] rangements for obtaining referrals or
184
making selections which will insure tension of any Federal financial assist-
that groups previously subjected to dis- ance pursuant to the application, con-
crimination are adequately served. tain, be accompanied by, or identify
(g) Even though an applicant or re- and make reference to, an assurance
cipient has never used discriminatory that the program will be conducted or
policies, the services and benefits of the facility operated in compliance
the program or activity it administers with all requirements imposed by or
may not in fact be equally available to pursuant to this part. If the assurance
some racial or nationality groups. In is not made a part of the application,
such circumstances an applicant or re- the application shall identify the as-
cipient may properly give special con- surance which is applicable to the ap-
sideration to race, color, or national
plication. One assurance shall suffice
origin to make the benefits of its pro-
for all applications of an applicant if
gram more widely available to such
groups, not then being adequately the assurance complies with the condi-
served. For example, where a univer- tions made applicable by this part to
sity is not adequately serving members each such application for Federal fi-
of a particular racial or nationality nancial assistance. Every assurance
group, it may establish special recruit- shall include provisions which give the
ment policies to make its program bet- United States a right to seek its judi-
ter known and more readily available cial enforcement.
to such group, and take other steps to (b) Duration of assurances. The period
provide that group with more adequate of time to be covered by the assurances
service. required under this 1250.104 shall be as
[30 FR 301, Jan. 9, 1965, as amended at 38 FR follows:
17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003] (1) Real property. In the case of an ap-
plication for Federal financial assist-
1250.1035 Special benefits. ance for providing real property or
An individual shall not be deemed structures thereon, the assurance shall
subjected to discrimination by reason obligate the recipient, or in the case of
of his exclusion from the benefits lim- a subsequent transfer, the transferee,
ited by Federal law to individuals of a for the period during which the real
particular race, color, or national ori- property or structures are used for a
gin different from his. purpose for which the Federal financial
[30 FR 301, Jan. 9, 1965, as amended at 68 FR assistance is extended or for another
51350, Aug. 26, 2003] purpose involving the provision of
similar services or benefits.
1250.1036 Medical emergencies. (2) Personal property. In the case of an
Notwithstanding the provisions of application for Federal financial assist-
1250.103 to 1250.1035, a recipient of ance for providing personal property,
Federal financial assistance shall not the assurance shall obligate the recipi-
be deemed to have failed to comply ent for the period during which he re-
with 1250.1031, if immediate provision tains ownership or possession of the
of a service or other benefit to an indi- property.
vidual is necessary to prevent his death (3) Other kinds of Federal financial as-
or serious impairment of his health, sistance. In the case of an application
and such service or other benefit can- for any other kind of Federal financial
not be provided except by or through a assistance, the assurance shall obligate
medical institution which refuses or the recipient for the period during
fails to comply with 1250.1031. which Federal financial assistance is
1250.104 Assurances. extended pursuant to the application.
(c) Assurances for research, training, or
(a) General requirement. Every appli-
educational programs. (1) In the case of
cation for Federal financial assistance
application by an institution of higher
to which this part applies, and every
education or any other organization for
application for Federal financial assist-

ance to provide a facility shall, as a
condition to its approval and the ex-
185
1250.105 14 CFR Ch. V (1116 Edition)
Federal financial assistance for a pro- breach of the covenant where, in the
gram or activity which involves par- discretion of the responsible NASA of-
ticipation by students, fellows or train- ficial, such a condition and right of re-
ees, including but not limited to assist- verter is appropriate to the statute
ance for research, training, or the pro- under which the real property is ob-
vision of facilities, the assurance retained and to the nature of the grant
quired by this 1250.104 shall extend to and the grantee.
admission practices and to all other (f) Assurances for transfer of surplus
practices relating to the treatment of real property. Transfers of surplus prop-
students or other participants. erty are subject to regulations issued
(2) The assurances from such an ap- by the Administrator of General Serv-
plicant shall be applicable to the entire ices (41 CFR 1016.2).
organization of the applicant. (g) Form of assurances. The respon-
(d) Assurances for construction of facili- sible NASA officials shall specify the
ties. In the case of assistance for the form of assurances required by this
construction of a facility, or part 1250.104 and the extent to which like
thereof, the assurance shall extend to assurances will be required by sub-
the entire facility and to facilities op- grantees, contractors and subcontrac-
erated in connection therewith. In tors, transferees, successors in inter-
grants to assist in the construction of est, and other participants in the pro-
facilities for the provision of research, gram.
training, or educational services, as- (h) Requests for proposals. Any request
surances will be required that services for proposals issued by NASA which re-
will be provided without discrimina- lates to covered financial assistance
tion, to the same extent that discrimi- listed in appendix A shall have set
nation would be forbidden as a condi- forth therein or have attached thereto
tion of grants for the support of such the assurance prescribed in accordance
services. Thus, as a condition of grants with paragraph (g) of this section, and
for the construction of academic, re- shall require that the proposer either
search or other facilities at institu- include the assurance as a part of his
tions of higher education, assurances signed proposal or identify and refer to
will be required that there will be no an assurance already signed and sub-
discrimination in the admission or mitted by the proposer.
treatment of students. Also, see para-
graph (c) of this section for the require- [30 FR 301, Jan. 9, 1965, as amended at 38 FR
ment as to the applicability of the as- 17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003]
surance to the applicants organiza-
1250.105 Compliance information.
tion.
(e) Instrument effecting or recording (a) Cooperation and assistance. Each
transfers of real property. The instru- responsible NASA official shall to the
ment effecting or recording the trans- fullest extent practicable seek the co-
fer, shall contain a covenant running operation of recipients in obtaining
with the land assuring nondiscrimina- compliance with this part and shall
tion for the period during which the provide assistance and guidance to re-
real property is used for a purpose for cipients to help them comply volun-
which the Federal financial assistance tarily with this part.
is extended or for another purpose in- (b) Compliance reports. Each recipient
volving the provision of similar serv- shall keep such records and submit to
ices or benefits. Where no transfer of the Principal Compliance Officer or his
property is involved, but property is designee timely, complete and accurate
improved with Federal financial assist- compliance reports at such times, and
ance, the recipient shall agree to in- in such form and containing such infor-
clude such a covenant in any subse- mation, as the Principal Compliance
quent transfer of such property. Where Officer or his designee may determine
the property is obtained from the Fed- to be necessary to enable him to ascer-
eral Government, such covenant may tain whether the recipient has com-
also include a condition coupled with a plied or is complying with this part. In
right to be reserved by NASA to revert the case in which a primary recipient
title to the property in the event of a extends Federal financial assistance to
186
any other recipient, such other recipi- (c) Investigations. The Principal Com-
ent shall also submit such compliance pliance Officer or his designee will
reports to the primary recipient as make a prompt investigation whenever
may be necessary to enable the pri- a compliance review, report, com-
mary recipient to carry out its obliga- plaint, or any other information indi-
tions under this part. cates a possible failure to comply with
(c) Access to sources of information. this part. The investigation should in-
Each recipient shall permit access by clude, where appropriate, a review of
the Principal Compliance Officer or his the pertinent practices and policies of
designee during normal business hours the recipient, the circumstances under
to such of its books, records, accounts
which the possible noncompliance with
and other sources of information, and
this part occurred, and other factors
its facilities as may be pertinent to as-
relevant to a determination as to
certain compliance with this part.
Where any information required of a whether the recipient has failed to
recipient is in the exclusive possession comply with this part.
of any other agency, institution or per- (d) Resolution of matters. (1) If an in-
son and that agency, institution or per- vestigation pursuant to paragraph (c)
son shall fail or refuse to furnish this of this section indicates a failure to
information, the recipient shall so cer- comply with this part, the Principal
tify in its report and shall set forth Compliance Officer or his designee will
what efforts it has made to obtain the so inform the recipient and the matter
information. will be resolved by informal means
(d) Information to beneficiaries and whenever possible. If it has been deter-
participants. Each recipient shall make mined that the matter cannot be re-
available to participants, beneficiaries, solved by informal means, action will
and other interested persons such in- be taken as provided for in 1250.107.
formation regarding the provisions of (2) If an investigation does not war-
this part and its applicability to the rant action pursuant to paragraph
program for which the recipient re- (d)(1) of this section, the responsible
ceives Federal financial assistance, and NASA official or his designee will so
make such information available to
inform the recipient and the complain-
them in such manner, as the Principal
ant, if any, in writing.
Compliance Officer finds necessary to
apprise such persons of the protection (e) Intimidatory or retaliatory acts pro-
against discrimination assured them hibited. No recipient or other person
by the Act and this part. shall intimidate, threaten, coerce, or
discriminate against any individual for
[30 FR 301, Jan. 9, 1965, as amended at 68 FR the purpose of interfering with any
51350, Aug. 26, 2003]
right or privilege secured by section 601
1250.106 Conduct of investigations. of the Act or this part, or because he
has made a complaint, testified, as-
(a) Periodic compliance reviews. The re-
sisted, or participated in any manner
sponsible NASA official or his designee
in an investigation, proceeding, or
shall from time to time review the
hearing under this part. The identity of
practices of recipients to determine
whether they are complying with this complainants shall be kept confiden-
part. tial except to the extent necessary to
(b) Complaints. Any person who be- carry out the purposes of this part, in-
lieves himself or any specific class of cluding the conduct of any investiga-
individuals to be subjected to discrimi- tion, hearing, or judicial proceeding
nation prohibited by this part may by arising thereunder.
himself or by a representative file with
the Principal Compliance Officer or his 1250.107 Procedure for effecting com-
pliance.
designee a written complaint. A com-
plaint must be filed not later than 90 (a) General. If there appears to be a
days from the date of the alleged dis- failure or threatened failure to comply
crimination, unless the time for filing with this part, and if the noncompli-
is extended by the Principal Compli- ance or threatened noncompliance can-
ance Officer or his designee. not be corrected by informal means,
187
1250.108 14 CFR Ch. V (1116 Edition)
compliance with this part may be ef- nate or to refuse to grant or to con-
fected by the suspension or termi- tinue Federal financial assistance shall
nation of or refusal to grant or to con- be limited to the particular political
tinue Federal financial assistance or by entity, or part thereof, or other appli-
any other means authorized by law. cant or recipient as to whom such a
Such other means may include, but are finding has been made and shall be lim-
not limited to, (1) a reference to the ited in its effect to the particular pro-
Department of Justice with a rec- gram, or part thereof, in which such
ommendation that appropriate pro- noncompliance has been so found.
ceedings be brought to enforce any (d) Other means authorized by law. No
rights of the United States under any action to effect compliance by any
law of the United States (including other means authorized by law shall be
other titles of the Act), or any assur- taken until (1) the Principal Compli-
ance or other contractual undertaking, ance Officer has determined that com-
and (2) any applicable proceeding under pliance cannot be secured by voluntary
State or local law. means, (2) the recipient or other person
(b) Noncompliance with 1250.104. If an has been notified of its failure to com-
applicant fails or refuses to furnish an ply and of the action to be taken to ef-
assurance required under 1250.104 or fect compliance and (3) the expiration
otherwise fails or refuses to comply of at least 10 days from the mailing of
with a requirement imposed by or pur- such notice to the recipient or other
suant to that section, Federal financial person. During this period of at least 10
assistance may be refused in accord- days additional efforts shall be made to
ance with the procedures of paragraph persuade the recipient or other person
(c) of this section. NASA shall not be to comply with this part and to take
obligated to provide assistance in such such corrective action as may be ap-
a case during the pendency of the ad- propriate.
ministrative proceedings under such [30 FR 301, Jan. 9, 1965, as amended at 38 FR
subsection except that NASA shall con- 17937, July 5, 1973]
tinue assistance during the pendency of
such proceedings where such assistance 1250.108 Hearings.
is due and payable pursuant to an ap- (a) Opportunity for hearing. Whenever
plication therefor approved prior to the an opportunity for a hearing is re-
effective date of this part. quired by 1250.107(c), reasonable no-
(c) Termination of or refusal to grant or tice shall be given by registered or cer-
to continue Federal financial assistance. tified mail, return receipt requested, to
No order suspending, terminating or the affected applicant or recipient.
refusing to grant or continue Federal This notice shall advise the applicant
financial assistance shall become effec- or recipient of the action proposed to
tive until (1) the responsible NASA of- be taken, the specific provision under
ficial has advised the applicant or re- which the proposed action against it is
cipient of his failure to comply and has to be taken, and the matters of fact or
determined that compliance cannot be law asserted as the basis for this ac-
secured by voluntary means, (2) there tion, and either (1) fix a date not less
has been an express finding on the than 20 days after the date of such no-
record, after opportunity for hearing, tice within which the applicant or re-
of a failure by the applicant or recipi- cipient may request of the Principal
ent to comply with a requirement im- Compliance Officer that the matter be
posed by or pursuant to this part, (3) scheduled for hearing or (2) advise the
the action has been approved by the applicant or recipient that the matter
Administrator pursuant to 1250.109(e), in question has been set down for hear-
and (4) the expiration of 30 days after ing at a stated place and time. The
the Administrator has filed with the time and place so fixed shall be reason-
committee of the House and the com- able and shall be subject to change for
mittee of the Senate having legislative cause. The complainant, if any, shall
jurisdiction over the program involved, be advised of the time and place of the
a full written report of the cir- hearing. An applicant or recipient may

cumstances and the grounds for such waive a hearing and submit written in-
action. Any action to suspend or termi- formation and argument for the record.
188
The failure of an applicant or recipient documents and other evidence offered

to request a hearing under this para- or taken for the record shall be open to
graph or to appear at a hearing for examination by the parties and oppor-
which a date has been set shall be tunity shall be given to refute facts
deemed to be a waiver of the right to a and arguments advanced on either side
hearing under section 602 of the Act of the issues. A transcript shall be
and 1250.107(c) of this part and consent made of the oral evidence except to the
to the making of a decision on the extent the substance thereof is stipu-
basis of such information as is avail- lated for the record. All decisions shall
able. be based upon the hearing record and
(b) Time and place of hearing. Hear- written findings shall be made.
ings shall be held at NASA Head- (e) Consolidated or joint hearings. In
quarters in Washington, DC, at a time cases in which the same or related
fixed by the Principal Compliance Offi- facts are asserted to constitute non-
cer unless he determines that the con- compliance with this part with respect
venience of the applicant or recipient to two or more Federal statutes, au-
or of NASA requires that another place thorities, or other means by which
be selected. Hearings shall be held be- Federal financial assistance is ex-
fore the Administrator, or, at his dis- tended and to which this part applies,
cretion, before a hearing examiner des- or non-compliance with this part and
ignated in conformity with 5 U.S.C. the regulations of one or more other
3105 and 3344 (section 11 of the Adminis- Federal departments or agencies issued
trative Procedure Act). under Title VI of the Act, the Adminis-
(c) Right to counsel. In all proceedings trator may, by agreement with such
under this section, the applicant or re- other departments or agencies where
cipient and NASA shall have the right applicable, provide for the conduct of
to be represented by counsel. consolidated or joint hearings, and for
(d) Procedures, evidence, and record. (1) the application to such hearings of
The hearing, decision, and any admin- rules of procedures not inconsistent
istrative review thereof shall be con- with the part. Final decisions in such
ducted in conformity with 5 U.S.C. 554 cases, insofar as this part is concerned,
557 (section 58 of the Administrative shall be made in accordance with
Procedure Act), and in accordance with 1250.109.
such rules of procedure as are proper [30 FR 301, Jan. 9, 1965, as amended at 38 FR
(and not inconsistent with this section) 17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003]
relating to the conduct of the hearing,
giving of notices subsequent to those 1250.109 Decisions and notices.
provided for in paragraph (a) of this (a) Decision by person other than the
section, taking of testimony, exhibits, NASA Principal Compliance Officer. If
arguments, and briefs, requests for the hearing is held by a hearing exam-
findings, and other related matters. iner, such hearing examiner shall ei-
Both NASA and the applicant or recipi- ther make an initial decision, if so au-
ent shall be entitled to introduce all thorized, or certify the entire record
relevant evidence on the issues as stat- including his recommended findings
ed in the notice for hearing or as deter- and proposed decision to the Principal
mined by the officer conducting the Compliance Officer for a final decision,
hearing at the outset of or during the and a copy of such initial decision or
hearing. certification shall be mailed to the ap-
(2) Technical rules of evidence shall plicant or recipient. Where the initial
not apply to hearings conducted pursu- decision is made by the hearing exam-
ant to this part, but rules or principles iner, the applicant or recipient may,
designed to assure production of the within 30 days of the mailing of such
most credible evidence available and to notice of initial decision, file with the
subject testimony to test by cross-ex- Principal Compliance Officer his excep-
amination shall be applied where rea- tions to the initial decision with his
sonably necessary by the officer con- reasons therefor. In the absence of ex-
ducting the hearing. The hearing offi- ceptions, the Principal Compliance Of-
cer may exclude irrelevant, immate- ficer may on his own motion, within 45
rial, or unduly repetitious evidence. All days after the initial decision, serve on
189
1250.109 14 CFR Ch. V (1116 Edition)
the applicant or recipient a notice that tinue Federal financial assistance, in

he will review the decision. Upon the whole or in part, to which this regula-
filing of such exceptions or of such no- tion applies, and may contain such
tice of review the Principal Compliance terms, conditions, and other provisions
Officer shall review the initial decision as are consistent with and will effec-
and issue his own decision thereon in- tuate the purposes of the Act and this
cluding the reasons therefor. In the ab- part including provisions designed to
sence of either exceptions or a notice of assure that no Federal financial assist-
review the initial decision shall con- ance to which this regulation applies
stitute the final decision of the Prin- will thereafter be extended to the ap-
cipal Compliance Officer. plicant or recipient determined by such
(b) Decisions on record or review by the decision to be in default in its perform-
NASA Principal Compliance Officer. ance of an assurance given by it pursu-
Whenever a record is certified to the ant to this part, or to have otherwise
Principal Compliance Officer for deci- failed to comply with this part, unless
sion or he reviews the decision of a and until it corrects its non-compli-
hearing examiner pursuant to para- ance and satisfies the Principal Com-
graph (a) of this section, or whenever pliance Officer that it will fully comply
the Administrator conducts the hear- with this part.
ing, the applicant or recipient shall be (g) Post termination proceedings. (1) An
given reasonable opportunity to file applicant or recipient adversely af-
with him briefs or other written state- fected by an order issued under para-
ments of its contentions, and a copy of graph (f) of this section shall be re-
the final decision of the Principal Com- stored to full eligibility to receive Fed-
pliance Officer shall be given in writing eral financial assistance if it satisfies
to the applicant or recipient and to the the terms and conditions of that order
complainant, if any. for such eligibility or if it brings itself
(c) Decisions on record where a hearing into compliance with this regulation
is waived. Whenever a hearing is waived and provides reasonable assurance that
pursuant to 1250.108, a decision shall it will fully comply with this regula-
be made by the Principal Compliance tion.
Officer on the record and a copy of such (2) Any applicant or recipient ad-
decision shall be given in writing to versely affected by an order entered
the applicant or recipient, and to the pursuant to paragraph (f) of this sec-
complainant, if any. tion may at any time request the Prin-
(d) Rulings required. Each decision of cipal Compliance Officer to restore
a hearing officer or the Principal Com- fully the eligibility to receive Federal
pliance Officer shall set forth his rul- financial assistance. Any such request
ing on each finding, conclusion, or ex- shall be supported by information
ception presented, and shall identify showing that the applicant or recipient
the requirement or requirements im- has met the requirements of paragraph
posed by or pursuant to this part with (g)(1) of this section. If the Principal
which it is found that the applicant or Compliance Officer determines that
recipient has failed to comply. those requirements have been satisfied,
(e) Approval by administrator. Any he shall restore such eligibility.
final decision of the NASA Principal (3) If the Principal Compliance Offi-
Compliance Officer which provides for cer denies any such request, the appli-
the suspension or termination of, or cant or recipient may submit a request
the refusal to grant or continue Fed- for a hearing in writing, specifying why
eral financial assistance, or the imposi- it believes such official to have been in
tion of any other sanction available error. It shall thereupon be given an
under this part or the Act, shall expeditious hearing, with a decision on
promptly be transmitted to the Admin- the record, in accordance with rules of
istrator, who may approve such deci- procedure issued by the Principal Com-
sion, may vacate it, or remit or miti- pliance Officer. The applicant or recipi-
gate any sanction imposed. ent will be restored to such eligibility
(f) Content of orders. The final deci- if it proves at such a hearing that it
sion may provide for suspension or ter- satisfied the requirements of paragraph
mination of, or refusal to grant or con- (g)(1) of this section. While proceedings
190
under this paragraph are pending, the of other departments or agencies of the
sanctions imposed by the order issued Government, with the consent of such
under paragraph (f) of this section shall departments or agencies, responsibil-
remain in effect. ities in connection with the effec-
[30 FR 301, Jan. 9, 1965, as amended at 38 FR tuation of the purposes of Title VI of
17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003] the Act and this part (other than re-
sponsibility for final decision as pro-
1250.110 Judicial review. vided in 1250.109), including the
Action taken pursuant to section 602 achievement of effective coordination
of the Act is subject to judicial review and maximum uniformity within
as provided in section 603 of the Act. NASA and within the Executive
Branch of the Government in the appli-
1250.111 Effect on other regulations;
forms and instructions. cation of Title VI and this part to simi-
lar programs and in similar situations.
(a) Effect on other regulations. All reg- Any action taken, determination made,
ulations, orders, or like directions or requirement imposed by an official
heretofore issued by any officer of
of another department or agency act-
NASA which impose requirements de-
ing pursuant to an assignment of re-
signed to prohibit any discrimination
against individuals on the ground of sponsibility under this subsection shall
race, color, or national origin under have the same effect as though such ac-
any program to which this part applies, tion has been taken by the responsible
and which authorize the suspension or official of this agency.
termination of or refusal to grant or to [30 FR 301, Jan. 9, 1965, as amended at 38 FR
continue Federal financial assistance 17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003]
to any applicant for or recipient of
such assistance for failure to comply 1250.112 Relationship with other offi-
with such requirements, are hereby su- cials.
perseded to the extent that such dis-
NASA officials, in performing the
crimination is prohibited by this part,
except that nothing in this part shall functions assigned to them by this
be deemed to relieve any person of any part, are responsible for recognizing
obligation assumed or imposed under the delegations of authority and re-
any such superseded regulation, order, sponsibility of other NASA officials
instruction, or like direction prior to and for seeing the actions taken or in-
the effective date of this Instruction. structions issued by them are properly
Nothing in this part, however, shall be coordinated with the offices and divi-
deemed to supersede any of the fol- sions having joint interests.
lowing (including future amendments
thereof): (1) Executive Orders 10925 and APPENDIX A TO PART 1250NASA FED-
11246 and regulations or instructions ERAL FINANCIAL ASSISTANCE TO
issued thereunder, or (2) any other reg- WHICH THIS PART APPLIES
ulations or instructions, insofar as
1. Grants made under the authority of Pub.
such other regulations or instructions
L. 85934, approved September 6, 1958 (42
prohibit discrimination on the ground U.S.C. 18911893).
of race, color, or national origin in any 2. Contracts with nonprofit institutions of
program or situation to which this part higher education or with nonprofit organiza-
is inapplicable, or prohibit discrimina- tions whose primary purpose is the conduct
tion on any other ground. of scientific research, wherein title to equip-
(b) Forms and instructions. Each re- ment purchased with funds under such con-
sponsible NASA official shall issue and tracts may be vested in such institutions or
promptly make available to interested organizations under the authority of section
persons forms and detailed instructions 2 of Pub. L. 85934, approved September 6,
and procedures for effectuating this 1938 (42 U.S.C. 1892).
part as applied to financial assistance 3. Training grants made under the author-
to which this part applies and for ity of the National Aeronautics and Space
which he is responsible. Act of 1958, as amended (42 U.S.C. 24512460,

(c) Supervision and coordination. The 24722473).
Administrator may assign to officials
191
4. Facilities grants made under authority 1251.550 Program accessibility: Existing fa-
in annual NASA authorization and appro- cilities.
priation acts. 1251.551 Program accessibility: New con-
struction and alterations.
[30 FR 301, Jan. 9, 1965, as amended at 38 FR
17936, July 5, 1973] 1251.5521251.559 [Reserved]
1251.560 Communications.
1251.5611251.569 [Reserved]
PART 1251NONDISCRIMINATION 1251.570 Compliance procedures.
ON BASIS OF HANDICAP 1251.5711251.999 [Reserved]
AUTHORITY: 29 U.S.C. 794.
Subpart 1251.1General Provisions
SOURCE: 51 FR 26862, July 28, 1986, unless
Sec. otherwise noted.
1251.100 Purpose.
1251.101 Application.
Subpart 1251.1General
1251.103 Discrimination prohibited. Provisions
1251.104 Assurances required.
1251.105 Remedial action, voluntary action, 1251.100 Purpose.
and self-evaluation. This part effectuates section 504 of
1251.106 Designation of responsible em-
ployee and adoption of grievance proce-
the Rehabilitation Act of 1973, which is
dures. designed to eliminate discrimination
1251.107 Notice. on the basis of handicap in any pro-
1251.108 Administrative requirements for gram or activity receiving Federal fi-
small recipients. nancial assistance.
1251.109 Effect of State or local law or other
requirements and effect of employment 1251.101 Application.
opportunities.
This part applies to each recipient of
Subpart 1251.2Employment Practices Federal financial assistance from the
National Aeronautics and Space Ad-
1251.200 Discrimination prohibited. ministration and to each program or
1251.201 Reasonable accommodation. activity that receives such assistance.
1251.202 Employment criteria.
1251.203 Preemployment inquiries. [51 FR 26862, July 28, 1986, as amended at 68
FR 51351, Aug. 26, 2003]
Subpart 1251.3Accessibility
1251.300 Discrimination prohibited.
1251.301 Existing facilities. As used in this part, the term:
1251.302 New construction. (a) The Act means the Rehabilitation
Act of 1973, Pub. L. 93112, as amended
Subpart 1251.4Procedures by the Rehabilitation Act Amendments
1251.400 Procedures for compliance. of 1974, Pub. L. 93516, 29 U.S.C. 794.
(b) Section 504 means section 504 of
Subpart 1251.5Enforcement of Non- the Act.
discrimination on the Basis of Handi- (c) Assistant Administrator means the
cap in Programs or Activities Con- Assistant Administrator for Equal Op-
ducted by the National Aeronautics portunity Programs for NASA.
and Space Administration (d) Recipient means any state or its
political subdivision, any instrumen-
1251.501 Purpose.
1251.502 Application. tality of a state or its political subdivi-
1251.503 Definitions. sion, any public or private agency, in-
1251.5041251.509 [Reserved] stitution, organization, or other entry,
1251.510 Self-evaluation. or any person to which Federal finan-
1251.511 Notice. cial assistance is extended directly or
1251.5121251.529 [Reserved] through another recipient, including
1251.530 General prohibitions against dis- any successor, assignee, or transferee
crimination.
of a recipient, but excluding the ulti-
1251.5311251.539 [Reserved]
1251.540 Employment. mate beneficiary of the assistance.
1251.5411251.548 [Reserved] (e) Applicant for assistance means one

1251.549 Program accessibility: Discrimina- who submits an application, request, or
tion prohibited. plan required to be approved by a
192
NASA official or by a recipient as a cancer, heart disease, diabetes, mental

condition to becoming a recipient. retardation, emotional illness, drug ad-
(f) Federal financial assistance means diction, and alcoholism.
any grant, loan, contract (other than a (ii) Major life activities means func-
procurement contract or a contract of tions such as caring for ones self, per-
insurance or guaranty), or any other forming manual tasks, walking, seeing,
arrangement by which the agency pro- hearing, speaking, breathing, learning,
vides or otherwise makes available as- and working.
sistance in the form of: (iii) Has a record of such an impairment
(1) Funds; means has a history of, or has been
(2) Services of Federal personnel; or misclassified as having, a mental or
(3) Real and personal property or any physical impairment that substantially
interest in or use of such property, in- limits one or more major life activi-
cluding: ties.
(i) Transfers or leases of such prop- (iv) Is regarded as having an impair-
erty for less than fair market value or ment means:
for reduced consideration; and (A) Has a physical or mental impair-
(ii) Proceeds from a subsequent ment that does not substantially limit
transfer or lease of such property if the major life activities but that is treated
Federal share of its fair market value by a recipient as constituting such a
is not returned to the Federal Govern- limitation;
ment. (B) Has a physical or mental impair-
(g) Facility means all or any portion ment that substantially limits major
of buildings, structures, equipment, life activities only as a result of the at-
roads, walks, parking lots, or other titudes of others toward such impair-
real or personal property or interest in ment; or
such property.
(C) Has none of the impairments de-
(h) Handicapped person. (1) Handi-
fined in this paragraph but is treated
capped persons means any person who:
by a recipient as having such an im-
(i) Has a physical or mental impair-
pairment.
ment which substantially limits one or
(i) Qualified handicapped person
more major life activities;
means:
(ii) Has a record of such an impair-
ment; or (1) With respect to employment, a
(iii) Is regarded as having such an im- handicapped person who, with reason-
pairment. able accommodation, can perform the
(2) As used in paragraph (h)(1) of this essential functions of the job in ques-
section, the phrase: tion;
(i) Physical or mental impairment (2) With respect to other services, a
means: handicapped person who meets the es-
(A) Any physiological disorder or sential eligibility requirements for the
condition, cosmetic disfigurement, or receipt of such services.
anatomical loss affecting one or more (j) Handicap means any condition or
of the following body systems: neuro- characteristic that renders a person a
logical; musculoskeletal; special sense handicapped person as defined in para-
organs; respiratory, including speech graph (h) of this section.
organs; cardiovascular; reproductive; (k) Program or activity means all of
digestive; genitourinary; hemic and the operations of any entity described
lymphatic; skin; and endocrine; or in paragraphs (k)(1) through (4) of this
(B) Any mental or psychological dis- section, any part of which is extended
order, such as mental retardation, or- Federal financial assistance:
ganic brain syndrome, emotional or (1)(i) A department, agency, special
mental illness, and specific learning purpose district, or other instrumen-
disabilities. The term physical or mental tality of a State or of a local govern-
impairment includes, but is not limited ment; or
to, such diseases and conditions as or- (ii) The entity of such State or local
thopedic, visual, speech, and hearing government that distributes such as-
impairments, cerebral palsy, epilepsy, sistance and each such department or
muscular dystrophy, multiple sclerosis, agency (and each other State or local
193
1251.103 14 CFR Ch. V (1116 Edition)
government entity) to which the as- (iii) Provide a qualified handicapped

sistance is extended, in the case of as- person with an aid, benefit, or service
sistance to a State or local govern- that is not as effective as that provided
ment; to others;
(2)(i) A college, university, or other (iv) Provide different or separate aid,
postsecondary institution, or a public benefits, or services to handicapped
system of higher education; or persons or to any class of handicapped
(ii) A local educational agency (as de- persons unless such action is necessary
fined in 20 U.S.C. 7801), system of voca- to provide qualified handicapped per-
tional education, or other school sys- sons with aid, benefits, or services that
tem; are as effective as those provided to
(3)(i) An entire corporation, partner- others;
ship, or other private organization, or (v) Aid or perpetuate discrimination
an entire sole proprietorship against a qualified handicapped person
(A) If assistance is extended to such by providing significant assistance to
corporation, partnership, private orga- an agency, organization, or person that
nization, or sole proprietorship as a discriminates on the basis of handicap
whole; or in providing any aid, benefit, or service
(B) Which is principally engaged in to beneficiaries of the recipients pro-
the business of providing education, gram or activity;
health care, housing, social services, or (vi) Deny a qualified handicapped
parks and recreation; or person the opportunity to participate
(ii) The entire plant or other com- as a member of planning or advisory
parable, geographically separate facil- boards; or
ity to which Federal financial assist- (vii) Otherwise limit a qualified
ance is extended, in the case of any handicapped person in the enjoyment
other corporation, partnership, private of any right, privilege, advantage, or
organization, or sole proprietorship; or opportunity enjoyed by others receiv-
(4) Any other entity which is estab- ing an aid, benefit, or service.
lished by two or more of the entities (2) For purposes of this part, aids,
described in paragraph (k) (1), (2), or (3) benefits, and services, to be equally ef-
of this section. fective, are not required to produce the
[51 FR 26862, July 28, 1986, as amended at 68 identical result or level of achievement
FR 51351, Aug. 26, 2003] for handicapped persons and nonhandi-
capped persons, but must afford handi-
1251.103 Discrimination prohibited. capped persons equal opportunity to
(a) General. No qualified handicapped obtain the same result, to gain the
person shall, on the basis of handicap, same benefit, or to reach the same
be excluded from participation in, be level of achievement, in the most inte-
denied the benefits of, or otherwise be grated setting appropriate to the per-
subjected to discrimination under any sons needs.
program or activity which receives (3) Recipients shall take appropriate
Federal financial assistance. steps to ensure that no handicapped in-
(b) Discriminatory actions prohibited. dividual is denied the benefits of, ex-
(1) A recipient, in providing any aid, cluded from participation in, or other-
benefits, or services, may not, directly wise subjected to discrimination in any
or through contractual, licensing, or program or activity receiving Federal
other arrangements, on the basis of financial assistance because of the ab-
handicap: sence of auxiliary aids for individuals
(i) Deny a qualified handicapped per- with impaired sensory, manual, or
son the opportunity to participate in speaking skills.
or benefit from the aid, benefit, or (4) Despite the existence of separate
service; or different aid, benefits, or services
(ii) Afford a qualified handicapped provided in accordance with this part,
person an opportunity to participate in a recipient may not deny a qualified
or benefit from aid, benefit, or service handicapped person the opportunity to

that is not equal to that afforded oth- participate in such programs or activi-
ers; ties that are not separate or different.
194
(5) A recipient may not, directly or 1251.104 Assurances required.

through contractual or other arrange- (a) Assurances. An applicant for Fed-
ments, utilize criteria or methods of eral financial assistance to which this
administration: part applies shall submit an assurance,
(i) That have the effect of subjecting on a form specified by the Assistant
qualified handicapped persons to dis- Administrator, that the program or ac-
crimination of the basis of handicap; tivity will be operated in compliance
(ii) That have the purpose or effect of with this part. An applicant may incor-
defeating or substantially impairing porate these assurances by reference in
accomplishment of the objectives of subsequent applications to NASA.
the recipients program or activity (b) Duration of obligation. (1) In the
with respect to handicapped persons; or case of Federal financial assistance ex-
(iii) That perpetuate the discrimina- tended in the form of real property or
tion of another recipient if both recipi- to provide real property or structures
ents are subject to common adminis- on the property, the assurance will ob-
trative control or are agencies of the ligate the recipient or, in the case of a
same State. subsequent transfer, the transferee, for
(6) In determining the site or loca- the period during which the real prop-
tion of a facility, an applicant for as- erty or structures are used for the pur-
sistance or a recipient may not make pose for which Federal financial assist-
selections: ance is extended or for another purpose
(i) That have the effect of excluding involving the provision of similar serv-
handicapped persons from, denying ices or benefits.
them the benefits of, or otherwise sub- (2) In the case of Federal financial as-
jecting them to discrimination under sistance extended to provide personal
any program or activity that receives property, the assurance will obligate
Federal financial assistance; or the recipient for the period during
(ii) That have the purpose or effect of which it retains ownership or posses-
defeating or substantially impairing sion of the property.
the accomplishment of the objectives (3) In all other cases, the assurance
of the program or activity with respect will obligate the recipient for the pe-
to handicapped persons. riod during which Federal financial as-
(7) As used in this section, the aid, sistance is extended.
benefit, or service provided under a (c) Covenants. (1) Where Federal fi-
program or activity receiving Federal nancial assistance is provided in the
financial assistance includes any aid, form of real property or interest in the
benefit, or service provided in or property from NASA, the instrument
through a facility that has been con- effecting or recording this transfer
structed, expanded, altered, leased or shall contain a covenant running with
rented, or otherwise acquired, in whole the land to assure nondiscrimination
or in part, with Federal financial as- for the period during which the real
sistance. property is used for a purpose for which
the Federal financial assistance is ex-
(8) Recipients shall take appropriate
tended or for another purpose involving
steps to ensure that communications
the provision of similar services or
with their applicants, employees, and
benefits.
beneficiaries are available to persons
(2) Where no transfer of property is
with impaired vision and hearing.
involved but property is purchased or
(c) Aid, benefits, or services limited by improved with Federal financial assist-
Federal law. The exclusion of nonhandi- ance, the recipient shall agree to in-
capped persons from aid, benefits, or clude the covenant described in para-
services limited by Federal statute of graph (c)(3) of this section in the in-
Executive order to handicapped persons strument effecting or recording any
from aid, benefits, or services limited subsequent transfer of the property.
by Federal statute or Executive order (3) Where Federal financial assist-
to a different class of handicapped per- ance is provided in the form of real
sons is not prohibited by this part.
property or interest in the property

[51 FR 26862, July 28, 1986, as amended at 68 from NASA, the covenant shall also in-
FR 51351, Aug. 26, 2003] clude a condition coupled with a right
195
1251.105 14 CFR Ch. V (1116 Edition)
to be reserved by NASA to revert title equal and integrated treatment within

to the property in the event of a breach the program or activity.
of the covenant. If a transferee of real (b) Voluntary action. A recipient may
property proposes to mortgage or oth- take steps, in addition to any action
erwise encumber the real property as that is required by this part, to over-
security for financing construction of come the effects of conditions that re-
new, or improvement of existing facili- sulted in limited participation in the
ties on the property for the purposes recipients program or activity by
for which the property was transferred, qualified handicapped persons.
the Assistant Administrator may, upon (c) Self-evaluation. (1) A recipient
request of the transferee and if nec- shall, within 1 year of the effective
essary to accomplish such financing date of this part; or within 1 year of
and upon such conditions as he or she first becoming a recipient:
deems appropriate, agree to forbear the (i) Evaluate, with the assistance of
exercise of such right to revert title for interested persons, including handi-
so long as the lien of such mortgage or capped persons or organizations rep-
other encumbrance remains effective. resenting handicapped persons, its cur-
[51 FR 26862, July 28, 1986, as amended at 68 rent policies and practices and the ef-
FR 51351, Aug. 26, 2003] fects thereof that do not or may not
meet the requirements of this part;
1251.105 Remedial action, voluntary (ii) Modify, after consultation with
action, and self-evaluation. interested persons, including handi-
(a) Remedial action. (1) If the Assist- capped persons or organizations rep-
ant Administrator finds that a recipi- resenting handicapped persons, any
ent has discriminated against persons policies and practices that do not meet
on the basis of handicap in violation of the requirements of this part; and
section 504 or this part, the recipient (iii) Take, after consultation with in-
shall take such remedial action as the terested persons, including handi-
Assistant Administrator deems nec- capped persons or organizations rep-
essary to overcome the effects to the resenting handicapped persons, appro-
discrimination. priate remedial steps to eliminate the
(2) Where a recipient is found to have effects of any discrimination that re-
discriminated against persons on the sulted from adherence to these policies
basis of handicap in violation of sec- and practices.
tion 504 or this part and where another (2) A recipient that employs 15 or
recipient exercises control over the re- more persons shall, for at least 3 years,
cipient that has discriminated, the As- follow completion of the evaluation re-
sistant Administrator, where appro- quired under paragraph (c)(1) of this
priate, may require either or both re- section, maintain on file, make avail-
cipients to take remedial action. able for public inspection, and provide
(3) The Assistant Administrator may, to the Assistant Administrator upon
where necessary to overcome the ef- request:
fects of discrimination in violation of (i) A list of the interested persons
section 504 or this part, require a re- consulted;
cipient to take remedial action: (ii) A description of areas examined
(i) With respect to handicapped per- and any problems identified; and
sons who are no longer participants in (iii) A description of any modifica-
the recipients program or activity but tions made and of any remedial steps
who were participants in the program taken.
or activity when such discrimination [51 FR 26862, July 28, 1986, as amended at 68
occurred; or FR 51351, Aug. 26, 2003]
(ii) With respect to handicapped per-
sons who would have been participants 1251.106 Designation of responsible
in the program or activity had the dis- employee and adoption of grievance
crimination not occurred; or procedures.
(iii) With respect to handicapped per- (a) Designation of responsible employee.

sons presently in the program or activ- A recipient that employs 15 or more
ity, but not receiving full benefits or persons shall designate at least one
196
person to coordinate its efforts to com- by revising and reprinting the mate-
ply with this part. rials and publications.
(b) Adoption of grievance procedures. A [51 FR 26862, July 28, 1986, as amended at 68
recipient that employs 15 or more per- FR 51351, Aug. 26, 2003]
sons shall adopt grievance procedures
that incorporate appropriate due proc- 1251.108 Administrative require-
ess standards and that provide for the ments for small recipients.
prompt and equitable resolution of The Assistant Administrator may re-
complaints alleging any action prohib- quire any recipient with fewer than 15
ited by this part. Such procedures need employees, or any class of such recipi-
not to be established with respect to ents, to comply with 1251.106 and
complaints from applicants for employ- 1251.107, in whole or in part, when the
ment or from applicants for admission Assistant Administrator finds a viola-
to postsecondary educational institution of this part or finds that such
tions. compliance will not significantly im-
pair the ability of the recipient or class
1251.107 Notice. of recipients to provide benefits or
(a) A recipient that employs 15 or services.
more persons shall take appropriate 1251.109 Effect of State or local law
initial and continuing steps to notify or other requirements and effect of
participants, beneficiaries, applicants, employment opportunities.
and employees, including those with (a) The obligation to comply with
impaired vision or hearing, and unions this part is not obviated or alleviated
or professional organizations holding by the existence of any state or local
collective bargaining or professional law or other requirement that, on the
agreements with the recipient that it basis of handicap, imposes prohibitions
does not discriminate on the basis of or limits upon the eligibility of quali-
handicap in violation of section 504 and fied handicapped persons to receive
this part. The notification shall state, services or to practice any occupation
where appropriate, that the recipient or profession.
does not discriminate in admission or (b) The obligation to comply with
access to, or treatment or employment this part is not obviated or alleviated
in, its programs or activities. The noti- because employment opportunities in
fication shall also include an identi- any occupation or profession are or
fication of the responsible employee may be more limited for handicapped
designated pursuant to 1251.106(a). A persons than for nonhandicapped per-
recipient shall make the initial notifi- sons.
cation required by this paragraph with-
in 90 days of the effective date of this Subpart 1251.2Employment
part. Methods of initial and continuing Practices
notification may include the posting of
notices, publication in newspapers and 1251.200 Discrimination prohibited.
magazines, placement of notices in re- (a) General. (1) No qualified handi-
cipients publication, and distribution capped person shall, on the basis of
of memoranda or other written com- handicap, be subjected to discrimina-
munications. tion in employment under any program
(b) If a recipient publishes or uses re- or activity to which this part applies.
cruitment materials or publications (2) A recipient that receives assist-
containing general information that it ance shall take positive steps to em-
makes available to participants, bene- ploy and advance in employment quali-
ficiaries, applicants, or employees, it fied handicapped persons in programs
shall include in those materials or pub- or activities assisted under the Act.
lications a statement of the policy de- (3) A recipient shall make all deci-
scribed in paragraph (a) of this section. sions concerning employment under
A recipient may meet the requirement any program or activity to which this
of this section and this paragraph ei- part applies in a manner which ensures
ther by including appropriate inserts in that discrimination on the basis of
existing materials and publications or handicap does not occur and may not
197
1251.201 14 CFR Ch. V (1116 Edition)
limit, segregate, or classify applicants this subpart. The relationships referred

or employees in any way that ad- to in this paragraph include relation-
versely affects their opportunities or ships with employment and referral
status because of handicap. agencies, with labor unions, with orga-
(4) A recipient may not participate in nizations providing or administering
a contractual or other relationship fringe benefits to employees of the re-
that has the effect of subjecting quali- cipient, and with organizations pro-
fied handicapped applicants or employ- viding training and apprenticeships.
ees to discrimination prohibited by
this subpart. The relationships referred [51 FR 26862, July 28, 1986, as amended at 68
to in this subparagraph include rela- FR 51351, Aug. 26, 2003]
tionships with employment and refer-
ral agencies, with labor unions, with 1251.201 Reasonable accommodation.
organizations providing or admin- (a) A recipient shall make reasonable
istering fringe benefits to employees of accommodation to the known physical
the recipient, and with organizations or mental limitations of an otherwise
providing training and apprenticeships. qualified handicapped applicant or em-
(b) Specific activities. The provisions ployee unless the recipient can dem-
of this subpart apply to: onstrate that the accommodation
(1) Recruitment, advertising, and the would impose an undue hardship on the
processing of applications for employ- operation of its program or activity.
ment;
(b) Reasonable accommodation may
(2) Hiring, upgrading, promotion,
include:
award of tenure, demotion, transfer,
layoff, termination, right of return (1) Making facilities used by employ-
from layoff, and rehiring; ees readily accessible to and usable by
(3) Rates of pay or any other form of handicapped persons; and
compensation and changes in com- (2) Job restructuring, part-time or
pensation; modified work schedules, acquisition
(4) Job assignments, job classifica- or modification of equipment or de-
tions, organizational structures, posi- vices, the provision of readers or inter-
tion descriptions, lines of progression, preters, and other similar actions.
and seniority lists; (c) In determining pursuant to para-
(5) Leaves of absence, sick leave, or graph (a) of this section whether an ac-
any other leave; commodation would impose an undue
(6) Fringe benefits available by vir- hardship on the operation of a recipi-
tue of employment, whether or not ad- ents programor activity, factors to be
ministered by the recipient; considered include:
(7) Selection and financial support (1) The overall size of the recipients
for training, including apprenticeship, program or activity with respect to
professional meetings, conferences, and
number of employees, number and type
other related activities, and selection
of facilities, and size of budget;
for leaves of absence to pursue train-
ing; (2) The type of the recipients oper-
(8) Employer sponsored activities, in- ation, including the composition and
cluding those that are social or rec- structure of the recipients workforce;
reational; and and
(9) Any other term, condition, or (3) The nature and cost of the accom-
privilege of employment. modation needed.
(c) A recipients obligation to comply (d) A recipient may not deny any em-
with this subpart is not affected by any ployment opportunity to a qualified
inconsistent term of any collective handicapped employee or applicant if
bargaining agreement to which it is a the basis for the denial is the need to
party. make reasonable accommodation to
(d) A recipient may not participate in the physical or mental limitations of
a contractual or other relationship the employee or applicant.
that has the effect of subjecting quali-

fied handicapped applicants or employ- [51 FR 26862, July 28, 1986, as amended at 68
ees to discrimination prohibited by FR 51351, Aug. 26, 2003]
198
1251.202 Employment criteria. purpose or makes clear orally if no

(a) A recipient may not make use of written questionnaire is used that the
any employment test or other selection information requested is intended for
criterion that screens out or tends to use solely in connection with its reme-
screen out handicapped persons or any dial action obligations or its voluntary
class of handicapped persons unless: of affirmative action efforts; and
(1) The test score or other selection (2) The recipient states clearly that
criterion, as used by the recipient, is the information is being requested on a
shown to be job-related for the position voluntary basis, that it will be kept
in question; and confidential as provided in paragraph
(2) Alternative job-related tests of (d) of this section, that refusal to pro-
criteria that do not screen out or tend vide it will not subject the applicant or
to screen out as many handicapped per- employee to any adverse treatment,
sons are not shown by the Assistant and that it will be used only in accord-
Administrator to be available. ance with this part.
(b) A recipient shall select and ad- (c) Nothing in this section shall pro-
minister tests concerning employment hibit a recipient from conditioning an
so as best to ensure that, when admin- offer of employment on the results of a
istered to an applicant or employee medical examination conducted prior
who has a handicap that impairs sen- to the employees entrance on duty,
sory, manual, or speaking skills, the provided that:
test results accurately reflect the ap- (1) All entering employees are sub-
plicants or employees job skills, apti- jected to such an examination regard-
tude, or whatever other factor the test less of handicap; and
purports to measure, rather than re- (2) The results of such an examina-
flecting the applicants or employees tion are used only in accordance with
impaired sensory, manual, or speaking the requirements of this part.
skills (except where those skills are (d) Information obtained in accord-
the factors that the test purports to ance with this section as to the med-
measure). ical condition or history of the appli-
cant shall be collected and maintained
1251.203 Preemployment inquiries. on separate forms that shall be ac-
(a) Except as provided in paragraphs corded confidentiality as medical
(b) and (c) of this section, a recipient records, except that:
may not conduct a preemployment (1) Supervisors and managers may be
medical examination or may not make informed regarding restrictions on the
preemployment inquiry of an applicant work or duties of handicapped persons
as to whether the applicant is a handi- and regarding necessary accommoda-
capped person or as to the nature or se- tions;
verity of a handicap. A recipient may, (2) First aid and safety personnel
however, make preemployment inquiry may be informed, where appropriate, if
into an applicants ability to perform the condition might require emergency
job-related functions. treatment; and
(b) When a recipient is taking reme- (3) Government officials inves-
dial action to correct the effects of tigating compliance with the Act shall
past discrimination pursuant to be provided relevant information upon
1251.105(a), when a recipient is taking request.
voluntary action to overcome the ef-
fects of conditions that resulted in lim- Subpart 1251.3Accessibility
ited participation in its Federally as-
sisted program or activity pursuant to 1251.300 Discrimination prohibited.
1251.105(b), or when a recipient is tak- No qualified handicapped person
ing affirmative action pursuant to sec- shall, because a recipients facilities
tion 504 of the Act, the recipient may are inaccessible to or unusable by
invite applicants for employment to in- handicapped persons, be denied the
dicate whether and to what extent they benefits of, be excluded from participa-
are handicapped, provided that: tion in, or otherwise be subjected to

(1) The recipient states clearly on discrimination under any program or
any written questionnaire used for this activity to which this part applies.
199
1251.301 14 CFR Ch. V (1116 Edition)
1251.301 Existing facilities. made available for public inspection.

The plan shall, at a minimum:
(a) Accessibility. A recipient shall op- (1) Identify physical obstacles in the
erate each program or activity to recipients facilities that limit the ac-
which his part applies so that when cessibility of its program or activity to
each part is viewed in its entirety it is handicapped persons;
readily accessible to handicapped per- (2) Describe in detail the methods
sons. This paragraph does not require a that will be used to make the facilities
recipient to make each of its existing accessible;
facilities or every part of a facility ac- (3) Specify the schedule for taking
cessible to and usable by handicapped the steps necessary to achieve full ac-
persons. cessibility under paragraph (a) of this
(b) Methods. A recipient may comply section and, if the time period of the
with the requirement of paragraph (a) transition plan is longer than 1 year,
of this section through such means as identify steps that will be taken during
redesign of equipment; reassignment of each year of the transition period; and
classes or other services to accessible (4) Indicate the person responsible for
buildings; assignment of aides to bene- implementation of the plan.
ficiaries; home visits; delivery of (e) Notice. The recipient shall adopt
health, welfare, or other social services and implement procedures to ensure
at alternate accessible sites; alteration that interested persons, including per-
of existing facilities and construction sons with inpaired vision or hearing,
of new facilities in conformance with can obtain information as to the exist-
the requirements of 1251.302; or any ence and location of services, activi-
other methods that result in making ties, and facilities that are accessible
its program or activity accessible to to and usable by handicapped persons.
handicapped persons. A recipient is not [51 FR 26862, July 28, 1986, as amended at 68
required to make structural changes in FR 51351, Aug. 26, 2003]
existing facilities where other methods
are effective in achieving compliance 1251.302 New construction.
with paragraph (a) of this section. In (a) Design and construction. Each fa-
choosing among available methods for cility or part of a facility constructed
meeting the requirement of paragraph by, on behalf of, or for the use of a re-
(a) of this section, a recipient shall cipient shall be designed and con-
give priority to those methods that structed in such manner that the facil-
serve to handicapped persons in the ity or part of the facility is readily ac-
most integrated setting appropriate. cessible to and usable by handicapped
(c) Time period. A recipient shall com- persons, if the construction (ground
ply with the requirement of paragraph breaking) was commenced after the ef-
(a) of this section within 60 days of the fective date of this part.
effective date of this part except that (b) Alteration. Each facility or part of
where structural changes in facilities a facility which is altered by, on behalf
are necessary, such changes shall be of, or for the use of a recipient after
made within 3 years of the effective the effective date of this part in a man-
date of this part, but in any event as ner that affects or could affect the
expeditiously as possible. usability of the facility or part of the
(d) Transition plan. In the event that facility shall, to the maximum extent
structural changes to facilities are nec- feasible, be altered in such manner
essary to meet the requirement of that the altered portion of the facility
paragraph (a) of this section, a recipi- is readily accessible to and usable by
ent shall develop, within 6 months of handicapped persons.
the effective date of this part, a transi- (c) Conformance with Uniform Federal
tion plan setting forth the steps nec- Accessibility Standards. (1) Effective as
essary to complete such changes. The of January 18, 1991, design, construc-
plan shall be developed with the assist- tion, or alteration of buildings in con-
ance of interested persons, including formance with sections 3-8 of the Uni-
handicapped persons or organizations form Federal Accessibility Standards

representing handicapped persons. A (USAF) (appendix A to 41 CFR subpart
copy of the transition plan shall be 10119.6) shall be deemed to comply
200
with the requirements of this section 1251.502 Application.

with respect to those buildings. Depar-
This regulation ( 1251.5011251.570)
tures from particular technical and
applies to all programs or activities
scoping requirements of UFAS by the
conducted by the agency, except for
use of other methods are permitted
programs or activities conducted out-
where substantially equivalent or side the United States that do not in-
greater access to and usability of the volve individuals with handicaps in the
building is provided. United States.
(2) For purposes of this section, sec-
tion 4.1.6(1)(g) of UFAS shall be inter- 1251.503 Definitions.
preted to exempt from the require-
For purposes of this regulation, the
ments of UFAS only mechanical rooms
term
and other spaces that, because of their
Assistant Attorney General means the
intended use, will not require accessi-
Assistant Attorney General, Civil
bility to the public or beneficiaries or
Rights Division, United States Depart-
result in the employment or residence
ment of Justice.
therein of persons with physical handi-
Auxiliary aids means services or de-
caps.
vices that enable persons with im-
(3) This section does not require re-
paired sensory, manual, or speaking
cipients to make building alterations
skills to have an equal opportunity to
that have little likelihood of being ac- participate in, and enjoy the benefits
complished without removing or alter- of, programs or activities conducted by
ing a load-bearing structural member. the agency. For example, auxiliary aids
[51 FR 26862, July 28, 1986, as amended at 55 useful for persons with impaired vision
FR 52138, 52140, Dec. 19, 1990] include readers, Brailled materials,
audio recordings, and other similar
Subpart 1251.4Procedures services and devices. Auxiliary aids
useful for persons with impaired hear-
1251.400 Procedures for compliance. ing include telephone handset ampli-
fiers, telephones compatible with hear-
The procedural provisions applicable ing aids, telecommunication devices
to Title VI of the Civil Rights Act of for deaf persons (TDDs), interpreters,
1964 apply to this part. These proce- notetakers, written materials, and
dures are found in 1250.106, 1250.108 other similar services and devices.
and 1250.110 of this chapter. Complete complaint means a written
statement that contains the complain-
Subpart 1251.5Enforcement of ants name and address and describes
Nondiscrimination on the the agencys alleged discriminatory ac-
Basis of Handicap in Programs tion in sufficient detail to inform the
or Activities Conducted by agency of the nature and date of the al-
the National Aeronautics and leged violation of section 504. It shall
be signed by the complainant or by
Space Administration someone authorized to do so on his or
her behalf. Complaints filed on behalf
SOURCE: 53 FR 25882, 25885, July 8, 1988, un- of classes or third parties shall describe
less otherwise noted. or identify (by name, if possible) the
alleged victims of discrimination.
1251.501 Purpose. Facility means all or any portion of
The purpose of this regulation is to buildings, structures, equipment,
effectuate section 119 of the Rehabili- roads, walks, parking lots, rolling
tation, Comprehensive Services, and stock or other conveyances, or other
Developmental Disabilities Amend- real or personal property.
ments of 1978, which amended section Historic preservation programs means
504 of the Rehabilitation Act of 1973 to programs conducted by the agency that
prohibit discrimination on the basis of have preservation of historic properties
handicap in programs or activities con- as a primary purpose.

ducted by Executive agencies or the Historic properties means those prop-
United States Postal Service. erties that are listed or eligible for
201
1251.503 14 CFR Ch. V (1116 Edition)
listing in the National Register of His- (iii) Has none of the impairments de-
toric Places or properties designated as fined in paragraph (1) of this definition
historic under a statute of the appro- but is treated by the agency as having
priate State or local government body. such an impairment.
Individual with handicaps means any Qualified individual with handicaps
person who has a physical or mental means
impairment that substantially limits (1) With respect to preschool, elemen-
one or more major life activities, has a tary, or secondary education services
record of such an impairment, or is re- provided by the agency, an individual
garded as having such an impairment. with handicaps who is a member of a
As used in this definition, the phrase: class of persons otherwise entitled by
(1) Physical or mental impairment in- statute, regulation, or agency policy to
cludes receive education services from the
(i) Any physiological disorder or con- agency;
dition, cosmetic disfigurement, or ana- (2) With respect to any other agency
tomical loss affecting one or more of program or activity under which a per-
the following body systems: Neuro- son is required to perform services or
logical; musculoskeletal; special sense to achieve a level of accomplishment,
organs; respiratory, including speech an individual with handicaps who
organs; cardiovascular; reproductive; meets the essential eligibility require-
digestive; genitourinary; hemic and ments and who can achieve the purpose
lymphatic; skin; and endocrine; or of the program or activity without
(ii) Any mental or psychological dis- modifications in the program or activ-
order, such as mental retardation, ority that the agency can demonstrate
ganic brain syndrome, emotional or would result in a fundamental alter-
mental illness, and specific learning
ation in its nature;
disabilities. The term physical or mental
(3) With respect to any other pro-
impairment includes, but is not limited
to, such diseases and conditions as or- gram or activity, an individual with
thopedic, visual, speech, and hearing handicaps who meets the essential eli-
impairments, cerebral palsy, epilepsy, gibility requirements for participation
muscular dystrophy, multiple sclerosis, in, or receipt of benefits from, that pro-
cancer, heart disease, diabetes, mental gram or activity; and
retardation, emotional illness, and (4) Qualified handicapped person as
drug addiction and alcoholism. that term is defined for purposes of em-
(2) Major life activities includes func- ployment in 29 CFR 1613.702(f), which is
tions such as caring for ones self, per- made applicable to this regulation by
forming manual tasks, walking, seeing, 1251.540.
hearing, speaking, breathing, learning, Section 504 means section 504 of the
and working. Rehabilitation Act of 1973 (Pub. L. 93
(3) Has a record of such an impairment 112, 87 Stat. 394 (29 U.S.C. 794)), as
means has a history of, or has been amended by the Rehabilitation Act
misclassified as having, a mental or Amendments of 1974 (Pub. L. 93516, 88
physical impairment that substantially Stat. 1617); the Rehabilitation, Com-
limits one or more major life activi- prehensive Services, and Develop-
ties. mental Disabilities Amendments of
(4) Is regarded as having an impairment 1978 (Pub. L. 95602, 92 Stat. 2955); and
means the Rehabilitation Act Amendments of
(i) Has a physical or mental impair- 1986 (Pub. L. 99506, 100 Stat. 1810). As
ment that does not substantially limit used in this regulation, section 504 ap-
major life activities but is treated by plies only to programs or activities
the agency as constituting such a limi- conducted by Executive agencies and
tation; not to federally assisted programs.
(ii) Has a physical or mental impair- Substantial impairment means a sig-
ment that substantially limits major nificant loss of the integrity of finished
life activities only as a result of the at- materials, design quality, or special
titudes of others toward such impair- character resulting from a permanent
ment; or alteration.
202
1251.5041251.509 [Reserved] (i) Deny a qualified individual with

handicaps the opportunity to partici-
1251.510 Self-evaluation. pate in or benefit from the aid, benefit,
(a) The agency shall, by September 6, or service;
1989, evaluate its current policies and (ii) Afford a qualified individual with
practices, and the effects thereof, that handicaps an opportunity to partici-
do not or may not meet the require- pate in or benefit from the aid, benefit,
ments of this regulation and, to the ex- or service that is not equal to that af-
tent modification of any such policies forded others;
and practices is required, the agency (iii) Provide a qualified individual
shall proceed to make the necessary with handicaps with an aid, benefit, or
modifications. service that is not as effective in af-
(b) The agency shall provide an op- fording equal opportunity to obtain the
portunity to interested persons, includ- same result, to gain the same benefit,
ing individuals with handicaps or orga- or to reach the same level of achieve-
nizations representing individuals with ment as that provided to others;
handicaps, to participate in the self- (iv) Provide different or separate aid,
evaluation process by submitting com- benefits, or services to individuals with
ments (both oral and written). handicaps or to any class of individuals
(c) The agency shall, for at least with handicaps than is provided to oth-
three years following completion of the ers unless such action is necessary to
self-evaluation, maintain on file and provide qualified individuals with
make available for public inspection: handicaps with aid, benefits, or serv-
(1) A description of areas examined ices that are as effective as those pro-
and any problems identified; and vided to others;
(2) A description of any modifications (v) Deny a qualified individual with
made. handicaps the opportunity to partici-
pate as a member of planning or advi-
1251.511 Notice. sory boards;
The agency shall make available to (vi) Otherwise limit a qualified indi-
employees, applicants, participants, vidual with handicaps in the enjoy-
beneficiaries, and other interested per- ment of any right, privilege, advan-
sons such information regarding the tage, or opportunity enjoyed by others
provisions of this regulation and its ap- receiving the aid, benefit, or service.
plicability to the programs or activi- (2) The agency may not deny a quali-
ties conducted by the agency, and fied individual with handicaps the op-
make such information available to portunity to participate in programs or
them in such manner as the head of the activities that are not separate or dif-
agency finds necessary to apprise such ferent, despite the existence of permis-
persons of the protections against dis- sibly separate or different programs or
crimination assured them by section activities.
504 and this regulation. (3) The agency may not, directly or
through contractual or other arrange-
1251.5121251.529 [Reserved] ments, utilize criteria or methods of
administration the purpose or effect of
1251.530 General prohibitions which would
against discrimination. (i) Subject qualified individuals with
(a) No qualified individual with handicaps to discrimination on the
handicaps shall, on the basis of handi- basis of handicap; or
cap, be excluded from participation in, (ii) Defeat or substantially impair ac-
be denied the benefits of, or otherwise complishment of the objectives of a
be subjected to discrimination under program or activity with respect to in-
any program or activity conducted by dividuals with handicaps.
the agency. (4) The agency may not, in deter-
(b)(1) The agency, in providing any mining the site or location of a facil-
aid, benefit, or service, may not, di- ity, make selections the purpose or ef-
rectly or through contractual, licens- fect of which would

ing, or other arrangements, on the (i) Exclude individuals with handi-
basis of handicap caps from, deny them the benefits of,
203
1251.5311251.539 14 CFR Ch. V (1116 Edition)
or otherwise subject them to discrimi- 1251.5411251.548 [Reserved]

nation under any program or activity
conducted by the agency; or 1251.549 Program accessibility: Dis-
(ii) Defeat or substantially impair crimination prohibited.
the accomplishment of the objectives Except as otherwise provided in
of a program or activity with respect 1251.550, no qualified individual with
to individuals with handicaps. handicaps shall, because the agencys
(5) The agency, in the selection of facilities are inaccessible to or unus-
procurement contractors, may not use able by individuals with handicaps, be
criteria that subject qualified individ- denied the benefits of, be excluded from
participation in, or otherwise be sub-
uals with handicaps to discrimination
jected to discrimination under any pro-
on the basis of handicap.
gram or activity conducted by the
(6) The agency may not administer a agency.
licensing or certification program in a
manner that subjects qualified individ- 1251.550 Program accessibility: Exist-
uals with handicaps to discrimination ing facilities.
on the basis of handicap, nor may the (a) General. The agency shall operate
agency establish requirements for the each program or activity so that the
programs or activities of licensees or program or activity, when viewed in its
certified entities that subject qualified entirety, is readily accessible to and
individuals with handicaps to discrimi- usable by individuals with handicaps.
nation on the basis of handicap. How- This paragraph does not
ever, the programs or activities of enti- (1) Necessarily require the agency to
ties that are licensed or certified by make each of its existing facilities ac-
the agency are not, themselves, cov- cessible to and usable by individuals
ered by this regulation. with handicaps;
(c) The exclusion of nonhandicapped (2) In the case of historic preserva-
persons from the benefits of a program tion programs, require the agency to
limited by Federal statute or Execu- take any action that would result in a
substantial impairment of significant
tive order to individuals with handi-
historic features of an historic prop-
caps or the exclusion of a specific class
erty; or
of individuals with handicaps from a (3) Require the agency to take any
program limited by Federal statute or action that it can demonstrate would
Executive order to a different class of result in a fundamental alteration in
individuals with handicaps is not pro- the nature of a program or activity or
hibited by this regulation. in undue financial and administrative
(d) The agency shall administer pro- burdens. In those circumstances where
grams and activities in the most inte- agency personnel believe that the pro-
grated setting appropriate to the needs posed action would fundamentally
of qualified individuals with handicaps. alter the program or activity or would
result in undue financial and adminis-
1251.5311251.539 [Reserved] trative burdens, the agency has the
burden of proving that compliance with
1251.540 Employment. 1251.550(a) would result in such alter-
No qualified individual with handi- ation or burdens. The decision that
caps shall, on the basis of handicap, be compliance would result in such alter-
subject to discrimination in employ- ation or burdens must be made by the
ment under any program or activity agency head or his or her designee
conducted by the agency. The defini- after considering all agency resources
tions, requirements, and procedures of available for use in the funding and op-
section 501 of the Rehabilitation Act of eration of the conducted program or
1973 (29 U.S.C. 791), as established by activity, and must be accompanied by
a written statement of the reasons for
the Equal Employment Opportunity
reaching that conclusion. If an action
Commission in 29 CFR part 1613, shall
would result in such an alteration or

apply to employment in federally con-
such burdens, the agency shall take
ducted programs or activities. any other action that would not result
204
in such an alteration or such burdens (c) Time period for compliance. The
but would nevertheless ensure that in- agency shall comply with the obliga-
dividuals with handicaps receive the tions established under this section by
benefits and services of the program or November 7, 1988, except that where
activity. structural changes in facilities are un-
(b) Methods(1) General. The agency dertaken, such changes shall be made
may comply with the requirements of by September 6, 1991, but in any event
this section through such means as reas expeditiously as possible.
design of equipment, reassignment of (d) Transition plan. In the event that
services to accessible buildings, assign- structural changes to facilities will be
ment of aides to beneficiaries, home undertaken to achieve program acces-
visits, delivery of services at alternate sibility, the agency shall develop, by
accessible sites, alteration of existing March 6, 1989, a transition plan setting
facilities and construction of new fa- forth the steps necessary to complete
cilities, use of accessible rolling stock, such changes. The agency shall provide
or any other methods that result in
an opportunity to interested persons,
making its programs or activities read-
including individuals with handicaps or
ily accessible to and usable by individ-
organizations representing individuals
uals with handicaps. The agency is not
required to make structural changes in with handicaps, to participate in the
existing facilities where other methods development of the transition plan by
are effective in achieving compliance submitting comments (both oral and
with this section. The agency, in mak- written). A copy of the transition plan
ing alterations to existing buildings, shall be made available for public in-
shall meet accessibility requirements spection. The plan shall, at a min-
to the extent compelled by the Archi- imum
tectural Barriers Act of 1968, as amend- (1) Identify physical obstacles in the
ed (42 U.S.C. 41514157), and any regula- agencys facilities that limit the acces-
tions implementing it. In choosing sibility of its programs or activities to
among available methods for meeting individuals with handicaps;
the requirements of this section, the (2) Describe in detail the methods
agency shall give priority to those that will be used to make the facilities
methods that offer programs and ac- accessible;
tivities to qualified individuals with (3) Specify the schedule for taking
handicaps in the most integrated set- the steps necessary to achieve compli-
ting appropriate. ance with this section and, if the time
(2) Historic preservation programs. In period of the transition plan is longer
meeting the requirements of than one year, identify steps that will
1251.550(a) in historic preservation be taken during each year of the tran-
programs, the agency shall give pri- sition period; and
ority to methods that provide physical (4) Indicate the official responsible
access to individuals with handicaps. for implementation of the plan.
In cases where a physical alteration to
an historic property is not required be- 1251.551 Program accessibility: New
cause of 1251.550(a)(2) or (3), alter- construction and alterations.
native methods of achieving program
accessibility include Each building or part of a building
that is constructed or altered by, on
(i) Using audio-visual materials and
behalf of, or for the use of the agency
devices to depict those portions of an
historic property that cannot other- shall be designed, constructed, or al-
wise be made accessible; tered so as to be readily accessible to
(ii) Assigning persons to guide indi- and usable by individuals with handi-
viduals with handicaps into or through caps. The definitions, requirements,
portions of historic properties that and standards of the Architectural Bar-
cannot otherwise be made accessible; riers Act (42 U.S.C. 41514157), as estab-
lished in 41 CFR 10119.600 to 10119.607,
or
(iii) Adopting other innovative meth- apply to buildings covered by this sec-
ods. tion.
205
1251.5521251.559 14 CFR Ch. V (1116 Edition)
1251.5521251.559 [Reserved] sult in such alteration or burdens must

be made by the agency head or his or
1251.560 Communications. her designee after considering all agen-
(a) The agency shall take appropriate cy resources available for use in the
steps to ensure effective communica- funding and operation of the conducted
tion with applicants, participants, per- program or activity and must be ac-
sonnel of other Federal entities, and companied by a written statement of
members of the public. the reasons for reaching that conclu-
(1) The agency shall furnish appro- sion. If an action required to comply
priate auxiliary aids where necessary with this section would result in such
to afford an individual with handicaps an alteration or such burdens, the
an equal opportunity to participate in, agency shall take any other action
and enjoy the benefits of, a program or that would not result in such an alter-
activity conducted by the agency. ation or such burdens but would never-
(i) In determining what type of auxil- theless ensure that, to the maximum
iary aid is necessary, the agency shall extent possible, individuals with handi-
give primary consideration to the re- caps receive the benefits and services
quests of the individual with handi- of the program or activity.
caps.
(ii) The agency need not provide indi- 1251.5611251.569 [Reserved]
vidually prescribed devices, readers for
1251.570 Compliance procedures.
personal use or study, or other devices
of a personal nature. (a) Except as provided in paragraph
(2) Where the agency communicates (b) of this section, this section applies
with applicants and beneficiaries by to all allegations of discrimination on
telephone, telecommunication devices the basis of handicap in programs and
for deaf persons (TDDs) or equally ef- activities conducted by the agency.
fective telecommunication systems (b) The agency shall process com-
shall be used to communicate with per- plaints alleging violations of section
sons with impaired hearing. 504 with respect to employment accord-
(b) The agency shall ensure that in- ing to the procedures established by
terested persons, including persons the Equal Employment Opportunity
with impaired vision or hearing, can Commission in 29 CFR part 1613 pursu-
obtain information as to the existence ant to section 501 of the Rehabilitation
and location of accessible services, ac- Act of 1973 (29 U.S.C. 791).
tivities, and facilities. (c) The Assistant Administrator for
(c) The agency shall provide signage Equal Opportunity Programs shall be
at a primary entrance to each of its in- responsible for coordinating implemen-
accessible facilities, directing users to tation of this section. Complaints may
a location at which they can obtain in- be sent to the Office of Equal Oppor-
formation about accessible facilities. tunity Programs, Room 6119, 400 Mary-
The international symbol for accessi- land Avenue, SW., Washington, DC
bility shall be used at each primary en- 20546.
trance of an accessible facility. (d) The agency shall accept and in-
(d) This section does not require the vestigate all complete complaints for
agency to take any action that it can which it has jurisdiction. All complete
demonstrate would result in a funda- complaints must be filed within 180
mental alteration in the nature of a days of the alleged act of discrimina-
program or activity or in undue finan- tion. The agency may extend this time
cial and administrative burdens. In period for good cause.
those circumstances where agency per- (e) If the agency receives a complaint
sonnel believe that the proposed action over which it does not have jurisdic-
would fundamentally alter the program tion, it shall promptly notify the com-
or activity or would result in undue fi- plainant and shall make reasonable ef-
nancial and administrative burdens, forts to refer the complaint to the ap-
the agency has the burden of proving propriate Government entity.
that compliance with 1251.560 would (f) The agency shall notify the Archi-
result in such alteration or burdens. tectural and Transportation Barriers
The decision that compliance would re- Compliance Board upon receipt of any
206
complaint alleging that a building or 1251.5711251.999 [Reserved]

facility that is subject to the Architec-
tural Barriers Act of 1968, as amended PART 1252NONDISCRIMINATION
(42 U.S.C. 41514157), is not readily ac- ON THE BASIS OF AGE IN PRO-
cessible to and usable by individuals
GRAMS OR ACTIVITIES RECEIV-
with handicaps.
ING FEDERAL FINANCIAL ASSIST-
(g) Within 180 days of the receipt of a
complete complaint for which it has ju-
ANCE
risdiction, the agency shall notify the
Subpart 1252.1General
complainant of the results of the inves-
tigation in a letter containing Sec.
(1) Findings of fact and conclusions 1252.100 What is the purpose of NASAs age
of law; discrimination regulations?
(2) A description of a remedy for each 1252.102 To what programs or activities do
these regulations apply?
violation found; and
(3) A notice of the right to appeal.
(h) Appeals of the findings of fact and Subpart 1252.2Standards for Determining
conclusions of law or remedies must be Age Discrimination
filed by the complainant within 90 days
of receipt from the agency of the letter 1252.200 Rules against age discrimination.
required by 1251.570(g). The agency 1252.201 Exceptions to the rules against age
discrimination.
may extend this time for good cause.
1252.202 Burden of proof.
(i) Timely appeals shall be accepted 1252.203 Special benefits for children and
and processed by the head of the agen- the elderly.
cy.
(j) The head of the agency shall no- Subpart 1252.3Responsibilities of
tify the complainant of the results of Recipients
the appeal within 60 days of the receipt
1252.300 General responsibilities of recipi-
of the request. If the head of the agen- ents.
cy determines that additional informa- 1252.301 Notice to subrecipients.
tion is needed from the complainant, 1252.302 Assurance of compliance and recipi-
he or she shall have 60 days from the ent assessment of age distinctions.
date of receipt of the additional infor- 1252.303 Information requirements.
mation to make his or her determina-
tion on the appeal. Subpart 1252.4Investigation, Conciliation,
(k) The time limits cited in para- and Enforcement Procedures
graphs (g) and (j) of this section may be 1252.400 Compliance reviews.
extended with the permission of the 1252.401 Complaints.
Assistant Attorney General. 1252.402 Mediation.
(l) The agency may delegate its au- 1252.403 Investigation.
thority for conducting complaint in- 1252.404 Prohibition against intimidation or
vestigations to other Federal agencies, retaliation.
except that the authority for making 1252.405 Compliance procedure.
the final determination may not be 1252.406 Hearings.
delegated to another agency. 1252.407 Notices, decisions, and post-termi-
nation proceedings.
[53 FR 25882, 25885, July 8, 1989] 1252.408 Remedial action by recipients.
1252.409 Alternate funds disbursal proce-
dure.
1252.410 Exhaustion of administrative rem-
edies.
1252.411 Age distinctions.
AUTHORITY: Age Discrimination Act of 1975,
as amended, 42 U.S.C. 6101 et seq. (45 CFR
part 90).
SOURCE: 50 FR 13311, Apr. 4, 1985, unless

otherwise noted.
207
1252.100 14 CFR Ch. V (1116 Edition)
Subpart 1252.1General 1252.103 Definitions.

As used in these regulations, the
1252.100 What is the purpose of
NASAs age discrimination regula- term:
tions? (a) Act means the Age Discrimination
Act of 1975, as amended. (Title III of
The purpose of these regulations is to Pub. L. 94135.)
set out NASAs policies and to imple- (b) Action means any act, activity,
ment agencywide or agency procedures policy, rule, standard, or method of ad-
under the Age Discrimination Act of ministration; or the use of any policy,
1975 according to the government-wide rule, standard, or method of adminis-
age discrimination regulations at 45 tration.
CFR part 90. (Published at 44 FR 33768,
(c) Age means how old a person is, or
June 12, 1979.) The Act and the govern-
the number of elapsed years from the
ment-wide regulations prohibit dis-
date of a persons birth.
crimination on the basis of age in pro-
(d) Age distinction means any action
grams or activities receiving Federal
using age or an age-related term.
financial assistance. The Act and the
(e) Age-related term means a word or
governmentwide regulations permit
words which necessarily imply a par-
federally assisted programs or activi-
ticular age or range of ages (for exam-
ties and recipients of Federal funds, to
ple, children, adult, older per-
continue to use age distinctions and
sons, but not student).
factors other than age which meet the
requirements of the Act and the gov- (f) Discrimination means unlawful
ernmentwide regulations. treatment based on age.
(g) NASA means the National Aero-
[50 FR 13311, Apr. 4, 1985, as amended at 68 nautics and Space Administration.
FR 51352, Aug. 26, 2003] (h) Federal financial assistance means
any grant, entitlement, loan, coopera-
1252.102 To what programs or activi-
ties do these regulations apply? tive agreement contract (other than a
procurement contract or a contract of
(a) These regulations apply to each insurance or guaranty), or any other
NASA recipient and to each program or arrangement by which the agency pro-
activity operated by the recipient vides or otherwise makes available as-
which receives Federal financial assist- sistance in the form of:
ance provided by NASA. (1) Funds;
(b) The Age Discrimination Act of (2) Services of Federal personnel; or
1975 does not apply to: interest in or use of property, includ-
(1) An age distinction contained in ing:
that part of a Federal, State, or local (i) Transfer or lease of property for
statute or ordinance adopted by an less than fair market value or for re-
elected body which: duced consideration; and
(i) Provides any benefits or assist- (ii) Proceeds from a subsequent
ance to persons based on age; or transfer or lease of property if the Fed-
(ii) Establishes criteria for participa- eral share of its fair market value is
tion in age-related terms; or not returned to the Federal Govern-
(iii) Describes intended beneficiaries ment.
or target groups in age-related terms. (i) FMCS means the Federal Medi-
(2) Any employment practice of any ation and Conciliation Service.
employer, employment agency, labor (j) Recipient means any State or its
organization, or any labor-manage- political subdivision, any instrumen-
ment joint apprenticeship training pro- tality of a State or its political sub-
gram, except for any program or activ- division, any public or private agency,
ity receiving Federal financial assist- institution, organization, or other enti-
ance for public service employment ty, or any person to which Federal fi-
under the Comprehensive Employment nancial assistance is extended, directly
and Training Act of 1974 (CETA) (29 or through another recipient. Recipient
U.S.C. 801 et seq.).
includes any successor, assignee, or

[50 FR 13311, Apr. 4, 1985, as amended at 68 transferee, but excludes the ultimate
FR 51352, Aug. 26, 2003] beneficiary of the assistance.
208
(k) Administrator means the Adminis- other corporation, partnership, private

trator of the National Aeronautics and organization, or sole proprietorship; or
Space Administration or designee. (4) Any other entity which is estab-
(l) Subrecipient means any of the enti- lished by two or more of the entities
ties in the definition of recipient to described in paragraph (n)(1), (2), or (3)
which a recipient extents or passes on of this section.
Federal financial assistance. A sub- [50 FR 13311, Apr. 4, 1985, as amended at 68
recipient is generally regarded as a re- FR 51351, Aug. 26, 2003]
cipient of Federal financial assistance
and has all the duties of a recipient in Subpart 1252.2Standards for
these regulations. Determining Age Discrimination
(m) United States means the 50 States,
the District of Columbia, Puerto Rico, 1252.200 Rules against age discrimi-
the Virgin Islands, American Samoa, nation.
Guam, Wake Island, the Canal Zone, The rules stated in this section are
the Trust Territory of the Pacific Is- limited by the exceptions contained in
lands, the Northern Marianas, and the 1252.201.
territories and possessions of the (a) General rule: No person in the
United States. United States shall, on the basis of age
(n) Program or activity means all of be excluded from participation in, be
the operations of any entity described denied the benefits of, or be subjected
in paragraphs (n)(1) through (4) of this to discrimination under any program
section, any part of which is extended or activity receiving Federal financial
Federal financial assistance: assistance.
(1)(i) A department, agency, special (b) Specific rules: A recipient may not,
purpose district, or other instrumen- in any program or activity receiving
tality of a State or of a local govern- Federal financial assistance, directly
ment; or or through contractual, licensing, or
(ii) The entity of such State or local other arrangements use age distinc-
government that distributes such as- tions or take any other actions which
sistance and each such department or have the effect, on the basis of age, of:
agency (and each other State or local (1) Excluding individuals from, deny-
government entity) to which the as- ing them the benefits of, or subjecting
sistance is extended, in the case of as- them to discrimination under a pro-
sistance to a State or local govern- gram or activity receiving Federal fi-
ment; nancial assistance; or
(2)(i) A college, university, or other (2) Denying or limiting individuals in
postsecondary institution, or a public their opportunity to participate in any
system of higher education; or program or activity receiving Federal
financial assistance.
(ii) A local educational agency (as de-
(c) The specific forms of age discrimi-
fined in 20 U.S.C. 7801), system of voca-
nation listed in paragraph (b) of this
tional education, or other school sys-
section do not necessarily constitute a
tem;
complete list.
(3)(i) An entire corporation, partner-
ship, or other private organization, or 1252.201 Exceptions to the rules
an entire sole proprietorship against age discrimination.
(A) If assistance is extended to such (a) Definitions. For purposes of this
corporation, partnership, private orga- section, the terms normal operation and
nization, or sole proprietorship as a statutory objective shall have the fol-
whole; or lowing meaning:
(B) Which is principally engaged in (1) Normal operation means the oper-
the business of providing education, ation of a program or activity without
health care, housing, social services, or significant changes that would impair
parks and recreation; or its ability to meet its objectives.
(ii) The entire plant or other com- (2) Statutory objective means any pur-
parable, geographically separate facil- pose of a program or activity expressly

ity to which Federal financial assist- stated in any Federal statute, state
ance is extended, in the case of any statute or local statute or ordinance
209
1252.202 14 CFR Ch. V (1116 Edition)
adopted by any elected, general pur- of the program or activity, notwith-

pose legislative body. standing the provision of 1252.10.
(b) Normal operation or statutory ob- [50 FR 13311, Apr. 4, 1985, as amended at 68
jective of any program or activity. A FR 51352, Aug. 26, 2003]
recipient is permitted to take an ac-
tion otherwise prohibited by 1252.200 if
the action reasonably takes into ac- Subpart 1252.3Responsibilities of
count age as a factor necessary to the Recipients
normal operation of the achievement
1252.300 General responsibilities of
of any statutory objective of a program recipients.
or activity. An action reasonably takes
into account age as a factor necessary Each NASA recipient must ensure
to the normal operation or the achieve- that its programs or activities comply
ment of any statutory objective of a with these regulations.
program or activity, if: [50 FR 13311, Apr. 4, 1985, as amended at 68
(1) Age is used as a measure of ap- FR 51352, Aug. 26, 2003]
proximation of one or more other char-
acteristics; and 1252.301 Notice to subrecipients.
(2) The other characteristic(s) must Where a recipient passes on Federal
be measured or approximated in order financial assistance from NASA to sub-
for the normal operation of the pro- recipients, the recipient shall provide
gram or activity to continue, or to the subrecipient written notice of their
achieve any statutory objective of the obligations under these regulations.
program or activity; and
(3) The other characteristic(s) can be 1252.302 Assurance of compliance
reasonably measured or approximated and recipient assessment of age dis-
by the use of age; and tinctions.
(4) The other characteristic(s) are (a) Each recipient of Federal finan-
impractical to measure directly on an cial assistance from NASA shall sign a
individual basis. written assurance as specified by
(c) Reasonable factors other than NASA that it will comply with the Act
age. A recipient is permitted to take an and these regulations.
action otherwise prohibited by (b) Recipient assessment of age distinc-
1252.200 which is based on a factor tions. (1) As part of a compliance review
other than age, even though that ac- under 91.41, NASA may require a re-
tion may have a disproportionate effect cipient employing the equivalent of 15
on persons of different ages. An action or more employees to complete a writ-
may be based on a factor other than ten self-evaluation, in a manner speci-
age only if the factor bears a direct and fied by the responsible Agency official,
substantial relationship to the normal of any age distinction imposed in its
operation of the program or activity or program or activity receiving Federal
to the achievement of a statutory ob- financial assistance from NASA to as-
jective. sess the recipients compliance with
the Act.
1252.202 Burden of proof. (2) Whenever an assessment indicates
The burden of proving that an age a violation of the Act and the NASA
distinction or other action falls within regulations, the recipient shall take
the exceptions outlined in 1252.201 (b) corrective action.
and (c) is on the recipient of Federal fi-
nancial assistance. 1252.303 Information requirements.
(a) Keep records in a form that con-
1252.203 Special benefits for children tains information which NASA deter-
and the elderly. mines may be necessary to ascertain
If a recipient operating a program or whether the recipient is complying
activity provides special benefits to with the Act and these regulations.
the elderly or to children, such use of (b) Provide to NASA, upon request,
age distinctions shall be presumed to information and reports which NASA
be necessary to the normal operation determines are necessary to ascertain
210
whether the recipient is complying plained of, and assigned by the com-
with the Act and these regulations. plainant.
(c) Permit reasonable access by (2) Freely permitting a complainant
NASA to the books, records, accounts, to add information to the complaint to
and other recipient facilities and meet the requirements of a sufficient
sources of information to the extent complaint.
NASA determines is necessary to as- (3) Widely disseminating information
certain whether the recipient is com- regarding the obligations of recipients
plying with the Act and these regula- under the Act and these regulations.
tions. (4) Notifying the complainant and
the recipient of their rights and obliga-
Subpart 1252.4Investigation, tions under the complaint procedure,
Conciliation, and Enforcement including the right to have a represent-
Procedures ative at all stages of the complaint
procedure.
1252.400 Compliance reviews. (5) Notifying the complainant and
(a) NASA may conduct compliance the recipient (or their representatives)
reviews and pre-award reviews of re- of their right to contact NASA for in-
cipients or use other similar proce- formation and assistance regarding the
dures that will permit it to investigate complaint resolution process.
and correct violations of the Act and (c) NASA will return to the com-
these regulations. NASA may conduct plainant any complaint outside the ju-
these reviews even in the absence of a risdiction of these regulations, and will
complaint against a recipient. The re- state the reason(s) why it is outside
view may be as comprehensive as nec- the jurisdiction of these regulations.
essary to determine whether a viola-
tion of these regulations has occurred. 1252.402 Mediation.
(b) If a compliance review or pre-
(a) Referral of complaints for medi-
award review indicates a violation of
ation. NASA will refer to the Federal
the Act or these regulations, NASA
Mediation and Conciliation Service all
will attempt to secure the recipients
complaints that:
voluntary compliance with the Act. If
voluntary compliance cannot be (1) Fall within the jurisdiction of the
achieved, NASA will arrange for en- Act and these regulations; and
forcement as described in 1252.405. (2) Contain all information necessary
for further processing.
1252.401 Complaints. (b) Both the complainant and the re-
(a) Any person, individually or as a cipient shall participate in the medi-
member of a class or on behalf of oth- ation process to the extent necessary
ers, may file a complaint with NASA, to reach an agreement or make an in-
alleging discrimination prohibited by formed judgment that an agreement is
the Act or these regulations based on not possible. There must be at least
an action occurring on or after July 1, one meeting with the mediator before
1979. A complaint must be filed within NASA will accept a judgment that an
180 days from the date the complainant agreement is not possible. However,
first had knowledge of the alleged act the recipient and the complainant need
of discrimination. However, for good not meet with the mediator at the
cause shown, NASA may extend this same time.
time limit. (c) If the complainant and the recipi-
(b) NASA will attempt to facilitate ent reach an agreement, the mediator
the filing of complaints wherever pos- shall prepare a written statement of
sible, including taking the following the agreement and have the complain-
measures: ant and recipient sign it. The mediator
(1) Accepting as a sufficient com- shall send a copy of the agreement to
plaint, any written statement, which NASA. NASA will take no further ac-
identifies the parties involved and the tion on the complaint unless the com-
date the complainant first had knowl- plainant or the recipient fails to com-
edge of the alleged violation, describes ply with the agreement. However,
generally the action or practice com- NASA retains the right to monitor the
211
1252.403 14 CFR Ch. V (1116 Edition)
recipients compliance with the agree- tions, NASA will attempt to obtain
ment. voluntary compliance. If NASA cannot
(d) The mediator shall protect the obtain voluntary compliance, it will
confidentiality of all information ob- begin enforcement as described in
tained in the course of the mediation 1252.405.
process. No mediator shall testify in [50 FR 13311, Apr. 4, 1985, as amended at 68
any adjudicative proceeding, produce FR 51352, Aug. 26, 2003]
any document, or otherwise disclose
any information obtained in the course 1252.404 Prohibition against intimi-
of the mediation process without prior dation or retaliation.
approval of the head of the mediation A recipient may not engage in acts of
agency. intimidation or retaliation against any
(e) NASA will use the mediation person who:
process for a maximum of 60 days after (a) Attempts to assert a right pro-
receiving a complaint. tected by the Act or these regulations;
(f) Mediation ends if: or
(1) 60 days elapse from the time (b) Cooperates in any mediation, in-
NASA receives the complaint; or quiry, hearing, or other part of NASAs
(2) Prior to the end of that 60-day pe- investigation, conciliation, and en-
riod, an agreement is reached; or forcement process.
(3) Prior to the end of that 60-day pe-
riod, the mediator determines that an 1252.405 Compliance procedure.
agreement cannot be reached. (a) NASA may enforce the Act and
(g) The mediator shall return unre- these regulations through:
solved complaints to NASA. (1) Termination of a recipients Fed-
eral financial assistance from NASA
1252.403 Investigation. under the program or activity involved
(a) Informal inquiry. (1) NASA will in- where the recipient has violated the
vestigate complaints that are unre- Act or these regulations. The deter-
solved after mediation or are reopened mination of the recipients violation
because of a violation of a mediation may be made only after a recipient has
agreement. had an opportunity for a hearing on the
(2) As part of the initial inquiry, record before an administrative law
NASA will use informal fact finding judge. Therefore, cases which are set-
methods, including joint or separate tled in mediation, or prior to a hearing,
discussions with the complainant and will not involve termination of a re-
recipient to establish the facts, and, if cipients Federal financial assistance
possible, settle the complaint on terms from NASA.
that are mutually agreeable to the par- (2) Any other means authorized by
ties. NASA may seek the assistance of law including but not limited to:
any involved State agency. (i) Referral to the Department of Jus-
(3) NASA will put any agreement in tice for proceedings to enforce any
writing and have it signed by the par- rights of the United States or obliga-
ties and an authorized official at tions of the recipient created by the
NASA. Act or these regulations.
(4) The settlement shall not affect (ii) Use of any requirement of or re-
the operation of any other enforcement ferral to any Federal, State, or local
effort of NASA, including compliance government agency that will have the
reviews and investigation of other com- effect of correcting a violation of the
plaints which may involve the recipi- Act or these regulations.
ent. (b) NASA will limit any termination
(5) The settlement is not a finding of under 1252.405(a)(1) to the particular
discrimination against a recipient. program or activity NASA finds in vio-
(b) Formal investigation. If NASA can- lations of these regulations. NASA will
not resolve the complaint through in- not base any part of a termination on
formal means it will develop formal a finding with respect to any program
findings through further investigations or activity of the recipient which does

of the complaint. If the investigation not receive Federal financial assist-
indicates a violation of these regula- ance from NASA.
212
(c) NASA will take no action under 1252.408 Remedial action by recipi-
paragraph (a) until: ents.
(1) The Administrator has advised (a) Where NASA finds a recipient has
the recipient of its failure to comply discriminated on the basis of age, the
with the Act and these regulations and recipient shall take any remedial ac-
has determined that voluntary compli- tion that NASA may require to over-
ance cannot be obtained. come the effects of the discrimination.
(2) 30 days have elapsed after the Ad- If another recipient exercises control
ministrator has sent a written report over the recipient that has discrimi-
of the circumstances and grounds of nated, NASA may require both recipi-
the action to the committees of Con- ents to take remedial action.
gress having legislative jurisdiction (b) Even in the absence of discrimina-
over the program or activity involved. tion, a recipient may take affirmative
The Administrator will file a report action to overcome the effects of condi-
whenever any action is taken under tions that resulted in limited partici-
paragraph (a) of this section. pation in the recipients program or ac-
(d) NASA also may defer granting tivity on the basis of age.
new Federal financial assistance from
NASA to a recipient when a hearing 1252.409 Alternate funds disbursal
under 1252.405(a)(1) is initiated. procedure.
(1) New Federal financial assistance (a) When NASA withholds funds from
from NASA includes all assistance for a recipient under these regulations, the
which NASA requires an application or Administrator may disburse the with-
approval, including renewal or continu- held funds directly to an alternate re-
ation of existing activities during the cipient.
deferral period. New Federal financial (b) The Administrator will require
assistance from NASA does not include any alternate recipient to dem-
assistance approved prior to the begin- onstrate:
ning of a hearing under 1252.405(a)(1). (1) The ability to comply with these
(2) NASA will not begin a deferral regulations; and
until the recipient has received a no- (2) The ability to achieve the goals of
tice of an opportunity for a hearing the Federal statute authorizing the
under 1252.405(a)(1). NASA will not Federal financial assistance.
continue a deferral for more than 60
[50 FR 13311, Apr. 4, 1985, as amended at 68
days unless a hearing has begun within FR 51352, Aug. 26, 2003]
that time or the time for beginning the
hearing has been extended by mutual 1252.410 Exhaustion of administra-
consent of the recipient and the Ad- tive remedies.
ministrator. NASA will not continue a
(a) A complainant may file a civil ac-
deferral for more than 30 days after the
tion following the exhaustion of admin-
close of the hearing, unless the hearing
istrative remedies under the Act. Ad-
results in a finding against the recipi-
ministrative remedies are exhausted if:
ent.
(1) 180 days have elapsed since the
[50 FR 13311, Apr. 4, 1985, as amended at 68 complainant filed the complaint and
FR 51352, Aug. 26, 2003] NASA has made no finding with regard
to the complaint; or
1252.406 Hearings. (2) NASA issues any findings in favor
The procedural provisions for those of the recipient.
hearings required by 1252.405 are con- (b) If NASA fails to make a finding
tained in 14 CFR 1250.108. within 180 days or issues a finding in
favor of the recipient, NASA will:
1252.407 Notices, decisions, and post- (1) Promptly advise the complainant
termination proceedings. of this fact; and
All notices, decisions, and post-ter- (2) Advise the complainant of his or
mination proceedings, insofar as NASA her right to bring a civil action for in-
is concerned, shall be made in accord- junctive relief; and
ance with 14 CFR 1250.109. (3) Inform the complainant:
213
1252.411 14 CFR Ch. V (1116 Edition)
(i) That the complainant may bring a 1253.205 Educational institutions and other
civil action only in a United States dis- entities controlled by religious organiza-
trict court for the district in which the tions.
1253.210 Military and merchant marine edu-
recipient is located or transacts busi-
cational institutions.
ness; 1253.215 Membership practices of certain or-
(ii) That a complainant prevailing in ganizations.
a civil action has the right to be 1253.220 Admissions.
awarded the costs of the action, includ- 1253.225 Educational institutions eligible to
ing reasonable attorneys fees, but that submit transition plans.
the complainant must demand these 1253.230 Transition plans.
costs in the complaint. 1253.235 Statutory amendments.
(iii) That before commencing the ac-
Subpart CDiscrimination on the Basis of
tion the complainant shall give 30 days
Sex in Admission and Recruitment Pro-
notice by registered mail to the Ad-
hibited
ministrator, the Attorney General of
the United States, and 1253.300 Admission.
(iv) That the notice must state: the 1253.305 Preference in admission.
alleged violation of the act; the relief 1253.310 Recruitment.
requested; the court in which the com-
plainant is bringing the action; and, Subpart DDiscrimination on the Basis of
whether or not attorneys fees are de- Sex in Education Programs or Activities
manded in the event the complainant Prohibited
prevails; and 1253.400 Education programs or activities.
(v) That the complainant may not 1253.405 Housing.
bring an action if the same alleged vio- 1253.410 Comparable facilities.
lation of the Act by the same recipient 1253.415 Access to course offerings.
is the subject of a pending action in 1253.420 Access to schools operated by
any court of the United States. LEAs.
1253.425 Counseling and use of appraisal and
1252.411 Age distinctions. counseling materials.
1253.430 Financial assistance.
There are no Federal statutes or reg- 1253.435 Employment assistance to stu-
ulations containing age distinctions dents.
which affect financial assistance ad- 1253.440 Health and insurance benefits and
ministered by the agency. services.
1253.445 Marital or parental status.
1253.450 Athletics.
PART 1253NONDISCRIMINATION 1253.455 Textbooks and curricular material.
ON THE BASIS OF SEX IN EDU-
CATION PROGRAMS OR ACTIVI- Subpart EDiscrimination on the Basis of
TIES RECEIVING FEDERAL FINAN- Sex in Employment in Education Pro-
CIAL ASSISTANCE grams or Activities Prohibited
1253.500 Employment.
Subpart AIntroduction 1253.505 Employment criteria.
1253.510 Recruitment.
Sec. 1253.515 Compensation.
1253.100 Purpose and effective date. 1253.520 Job classification and structure.
1253.105 Definitions. 1253.525 Fringe benefits.
1253.110 Remedial and affirmative action 1253.530 Marital or parental status.
and self-evaluation. 1253.535 Effect of state or local law or other
1253.115 Assurance required. requirements.
1253.120 Transfers of property. 1253.540 Advertising.
1253.125 Effect of other requirements.
1253.545 Pre-employment inquiries.
1253.130 Effect of employment opportuni-
1253.550 Sex as a bona fide occupational
ties.
qualification.
1253.135 Designation of responsible em-
ployee and adoption of grievance proce-
Subpart FProcedures
dures.
1253.140 Dissemination of policy. 1253.600 Notice of covered programs.
1253.605 Enforcement procedures.

Subpart BCoverage
AUTHORITY: 20 U.S.C. 1681, 1682, 1683, 1685,
1253.200 Application. 1686, 1687, 1688.
214
SOURCE: 65 FR 52865, 52876, Aug. 30, 2000, un- Federal financial assistance means any
less otherwise noted. of the following, when authorized or
extended under a law administered by
Subpart AIntroduction the Federal agency that awards such
assistance:
1253.100 Purpose and effective date. (1) A grant or loan of Federal finan-
The purpose of these Title IX regula- cial assistance, including funds made
tions is to effectuate Title IX of the available for:
Education Amendments of 1972, as (i) The acquisition, construction, ren-
amended (except sections 904 and 906 of ovation, restoration, or repair of a
those Amendments) (20 U.S.C. 1681, building or facility or any portion
1682, 1683, 1685, 1686, 1687, 1688), which is thereof; and
designed to eliminate (with certain ex- (ii) Scholarships, loans, grants,
ceptions) discrimination on the basis of wages, or other funds extended to any
sex in any education program or activ- entity for payment to or on behalf of
ity receiving Federal financial assist- students admitted to that entity, or
ance, whether or not such program or extended directly to such students for
activity is offered or sponsored by an payment to that entity.
educational institution as defined in (2) A grant of Federal real or per-
these Title IX regulations. The effec- sonal property or any interest therein,
tive date of these Title IX regulations including surplus property, and the
shall be September 29, 2000. proceeds of the sale or transfer of such
1253.105 Definitions. property, if the Federal share of the
fair market value of the property is
As used in these Title IX regulations, not, upon such sale or transfer, prop-
the term: erly accounted for to the Federal Gov-
Administratively separate unit means a ernment.
school, department, or college of an (3) Provision of the services of Fed-
educational institution (other than a eral personnel.
local educational agency) admission to
(4) Sale or lease of Federal property
which is independent of admission to
or any interest therein at nominal con-
any other component of such institu-
sideration, or at consideration reduced
tion.
for the purpose of assisting the recipi-
Admission means selection for part-
ent or in recognition of public interest
time, full-time, special, associate,
to be served thereby, or permission to
transfer, exchange, or any other enroll-
use Federal property or any interest
ment, membership, or matriculation in
therein without consideration.
or at an education program or activity
operated by a recipient. (5) Any other contract, agreement, or
Applicant means one who submits an arrangement that has as one of its pur-
application, request, or plan required poses the provision of assistance to any
to be approved by an official of the education program or activity, except
Federal agency that awards Federal fi- a contract of insurance or guaranty.
nancial assistance, or by a recipient, as Institution of graduate higher edu-
a condition to becoming a recipient. cation means an institution that:
Designated agency official means Asso- (1) Offers academic study beyond the
ciate Administrator for Equal Oppor- bachelor of arts or bachelor of science
tunity Programs. degree, whether or not leading to a cer-
Educational institution means a local tificate of any higher degree in the lib-
educational agency (LEA) as defined by eral arts and sciences;
20 U.S.C. 8801(18), a preschool, a private (2) Awards any degree in a profes-
elementary or secondary school, or an sional field beyond the first profes-
applicant or recipient that is an insti- sional degree (regardless of whether
tution of graduate higher education, an the first professional degree in such
institution of undergraduate higher field is awarded by an institution of
education, an institution of profes- undergraduate higher education or pro-
sional education, or an institution of fessional education); or

vocational education, as defined in this (3) Awards no degree and offers no
section. further academic study, but operates
215
1253.110 14 CFR Ch. V (1116 Edition)
ordinarily for the purpose of facili- ed by section 3 of Public Law 93568, 88

tating research by persons who have Stat. 1855, by section 412 of the Edu-
received the highest graduate degree in cation Amendments of 1976, Public Law
any field of study. 94482, 90 Stat. 2234, and by Section 3 of
Institution of professional education Public Law 100259, 102 Stat. 28, 2829
means an institution (except any insti- (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687,
tution of undergraduate higher edu- 1688).
cation) that offers a program of aca- Title IX regulations means the provi-
demic study that leads to a first profes- sions set forth at 1253.100 through
sional degree in a field for which there 1253.605.
is a national specialized accrediting Transition plan means a plan subject
agency recognized by the Secretary of to the approval of the Secretary of
Education. Education pursuant to section 901(a)(2)
Institution of undergraduate higher of the Education Amendments of 1972,
education means: 20 U.S.C. 1681(a)(2), under which an edu-
(1) An institution offering at least cational institution operates in mak-
two but less than four years of college- ing the transition from being an edu-
level study beyond the high school cational institution that admits only
level, leading to a diploma or an asso- students of one sex to being one that
ciate degree, or wholly or principally admits students of both sexes without
creditable toward a baccalaureate de- discrimination.
gree; or
(2) An institution offering academic 1253.110 Remedial and affirmative
study leading to a baccalaureate de- action and self-evaluation.
gree; or (a) Remedial action. If the designated
(3) An agency or body that certifies agency official finds that a recipient
credentials or offers degrees, but that has discriminated against persons on
may or may not offer academic study. the basis of sex in an education pro-
Institution of vocational education gram or activity, such recipient shall
means a school or institution (except take such remedial action as the des-
an institution of professional or grad- ignated agency official deems nec-
uate or undergraduate higher edu- essary to overcome the effects of such
cation) that has as its primary purpose discrimination.
preparation of students to pursue a (b) Affirmative action. In the absence
technical, skilled, or semiskilled occu- of a finding of discrimination on the
pation or trade, or to pursue study in a basis of sex in an education program or
technical field, whether or not the activity, a recipient may take affirma-
school or institution offers certificates, tive action consistent with law to over-
diplomas, or degrees and whether or come the effects of conditions that re-
not it offers full-time study. sulted in limited participation therein
Recipient means any State or polit- by persons of a particular sex. Nothing
ical subdivision thereof, or any instru- in these Title IX regulations shall be
mentality of a State or political sub- interpreted to alter any affirmative ac-
division thereof, any public or private tion obligations that a recipient may
agency, institution, or organization, or have under Executive Order 11246, 3
other entity, or any person, to whom CFR, 19641965 Comp., p. 339; as amend-
Federal financial assistance is ex- ed by Executive Order 11375, 3 CFR,
tended directly or through another re- 19661970 Comp., p. 684; as amended by
cipient and that operates an education Executive Order 11478, 3 CFR, 19661970
program or activity that receives such Comp., p. 803; as amended by Executive
assistance, including any subunit, suc- Order 12086, 3 CFR, 1978 Comp., p. 230;
cessor, assignee, or transferee thereof. as amended by Executive Order 12107, 3
Student means a person who has CFR, 1978 Comp., p. 264.
gained admission. (c) Self-evaluation. Each recipient
Title IX means Title IX of the Edu- education institution shall, within one
cation Amendments of 1972, Public Law year of September 29, 2000:
92318, 86 Stat. 235, 373 (codified as (1) Evaluate, in terms of the require-
amended at 20 U.S.C. 16811688) (except ments of these Title IX regulations, its
sections 904 and 906 thereof), as amend- current policies and practices and the
216
effects thereof concerning admission of tended to provide real property or

students, treatment of students, and structures thereon, such assurance
employment of both academic and non- shall obligate the recipient or, in the
academic personnel working in connec- case of a subsequent transfer, the
tion with the recipients education pro- transferee, for the period during which
gram or activity; the real property or structures are used
(2) Modify any of these policies and to provide an education program or ac-
practices that do not or may not meet tivity.
the requirements of these Title IX reg- (2) In the case of Federal financial as-
ulations; and sistance extended to provide personal
(3) Take appropriate remedial steps property, such assurance shall obligate
to eliminate the effects of any dis- the recipient for the period during
crimination that resulted or may have which it retains ownership or posses-
resulted from adherence to these poli- sion of the property.
cies and practices. (3) In all other cases such assurance
(d) Availability of self-evaluation and shall obligate the recipient for the pe-
related materials. Recipients shall main- riod during which Federal financial as-
tain on file for at least three years fol- sistance is extended.
lowing completion of the evaluation re- (c) Form. (1) The assurances required
quired under paragraph (c) of this sec- by paragraph (a) of this section, which
tion, and shall provide to the des- may be included as part of a document
ignated agency official upon request, a that addresses other assurances or obli-
description of any modifications made gations, shall include that the appli-
pursuant to paragraph (c)(2) of this sec- cant or recipient will comply with all
tion and of any remedial steps taken applicable Federal statutes relating to
pursuant to paragraph (c)(3) of this sec- nondiscrimination. These include but
tion. are not limited to: Title IX of the Edu-
cation Amendments of 1972, as amend-
1253.115 Assurance required. ed (20 U.S.C. 16811683, 16851688).
(a) General. Either at the application (2) The designated agency official
stage or the award stage, Federal agen- will specify the extent to which such
cies must ensure that applications for assurances will be required of the ap-
Federal financial assistance or awards plicants or recipients subgrantees,
of Federal financial assistance contain, contractors, subcontractors, trans-
be accompanied by, or be covered by a ferees, or successors in interest.
specifically identified assurance from
the applicant or recipient, satisfactory 1253.120 Transfers of property.
to the designated agency official, that If a recipient sells or otherwise trans-
each education program or activity op- fers property financed in whole or in
erated by the applicant or recipient part with Federal financial assistance
and to which these Title IX regulations to a transferee that operates any edu-
apply will be operated in compliance cation program or activity, and the
with these Title IX regulations. An as- Federal share of the fair market value
surance of compliance with these Title of the property is not upon such sale or
IX regulations shall not be satisfactory transfer properly accounted for to the
to the designated agency official if the Federal Government, both the trans-
applicant or recipient to whom such as- feror and the transferee shall be
surance applies fails to commit itself deemed to be recipients, subject to the
to take whatever remedial action is provisions of 1253.205 through
necessary in accordance with 1253.235(a).
1253.110(a) to eliminate existing dis-
crimination on the basis of sex or to 1253.125 Effect of other require-
eliminate the effects of past discrimi- ments.
nation whether occurring prior to or (a) Effect of other Federal provisions.
subsequent to the submission to the The obligations imposed by these Title
designated agency official of such as- IX regulations are independent of, and
surance. do not alter, obligations not to dis-

(b) Duration of obligation. (1) In the criminate on the basis of sex imposed
case of Federal financial assistance ex- by Executive Order 11246, 3 CFR, 1964
217
1253.130 14 CFR Ch. V (1116 Edition)
1965 Comp., p. 339; as amended by Exec- recipient alleging its noncompliance

utive Order 11375, 3 CFR, 19661970 with these Title IX regulations or al-
Comp., p. 684; as amended by Executive leging any actions that would be pro-
Order 11478, 3 CFR, 19661970 Comp., p. hibited by these Title IX regulations.
803; as amended by Executive Order The recipient shall notify all its stu-
12087, 3 CFR, 1978 Comp., p. 230; as dents and employees of the name, of-
amended by Executive Order 12107, 3 fice address, and telephone number of
CFR, 1978 Comp., p. 264; sections 704 the employee or employees appointed
and 855 of the Public Health Service pursuant to this paragraph.
Act (42 U.S.C. 295m, 298b-2); Title VII of (b) Complaint procedure of recipient. A
the Civil Rights Act of 1964 (42 U.S.C. recipient shall adopt and publish griev-
2000e et seq.); the Equal Pay Act of 1963 ance procedures providing for prompt
(29 U.S.C. 206); and any other Act of and equitable resolution of student and
Congress or Federal regulation. employee complaints alleging any ac-
(b) Effect of State or local law or other tion that would be prohibited by these
requirements. The obligation to comply Title IX regulations.
with these Title IX regulations is not
obviated or alleviated by any State or 1253.140 Dissemination of policy.
local law or other requirement that (a) Notification of policy. (1) Each re-
would render any applicant or student cipient shall implement specific and
ineligible, or limit the eligibility of continuing steps to notify applicants
any applicant or student, on the basis for admission and employment, stu-
of sex, to practice any occupation or dents and parents of elementary and
profession. secondary school students, employees,
(c) Effect of rules or regulations of pri- sources of referral of applicants for ad-
vate organizations. The obligation to mission and employment, and all
comply with these Title IX regulations unions or professional organizations
is not obviated or alleviated by any holding collective bargaining or profes-
rule or regulation of any organization, sional agreements with the recipient,
club, athletic or other league, or asso- that it does not discriminate on the
ciation that would render any appli- basis of sex in the educational pro-
cant or student ineligible to partici- grams or activities that it operates,
pate or limit the eligibility or partici- and that it is required by Title IX and
pation of any applicant or student, on these Title IX regulations not to dis-
the basis of sex, in any education pro- criminate in such a manner. Such noti-
gram or activity operated by a recipi- fication shall contain such informa-
ent and that receives Federal financial tion, and be made in such manner, as
assistance. the designated agency official finds
necessary to apprise such persons of
1253.130 Effect of employment oppor- the protections against discrimination
tunities. assured them by Title IX and these
The obligation to comply with these Title IX regulations, but shall state at
Title IX regulations is not obviated or least that the requirement not to dis-
alleviated because employment oppor- criminate in education programs or ac-
tunities in any occupation or profes- tivities extends to employment there-
sion are or may be more limited for in, and to admission thereto unless
members of one sex than for members 1253.300 through 1253.310 do not apply
of the other sex. to the recipient, and that inquiries
concerning the application of Title IX
1253.135 Designation of responsible and these Title IX regulations to such
employee and adoption of grievance recipient may be referred to the em-
procedures. ployee designated pursuant to
(a) Designation of responsible employee. 1253.135, or to the designated agency
Each recipient shall designate at least official.
one employee to coordinate its efforts (2) Each recipient shall make the ini-
to comply with and carry out its re- tial notification required by paragraph
sponsibilities under these Title IX reg- (a)(1) of this section within 90 days of
ulations, including any investigation of September 29, 2000 or of the date these
any complaint communicated to such Title IX regulations first apply to such
218
recipient, whichever comes later, cation of these Title IX regulations

which notification shall include publi- would not be consistent with the reli-
cation in: gious tenets of such organization.
(i) Newspapers and magazines oper- (b) Exemption claims. An educational
ated by such recipient or by student, institution or other entity that wishes
alumnae, or alumni groups for or in to claim the exemption set forth in
connection with such recipient; and paragraph (a) of this section shall do so
(ii) Memoranda or other written com- by submitting in writing to the des-
munications distributed to every stu- ignated agency official a statement by
dent and employee of such recipient.
the highest-ranking official of the in-
(b) Publications. (1) Each recipient
stitution, identifying the provisions of
shall prominently include a statement
of the policy described in paragraph (a) these Title IX regulations that conflict
of this section in each announcement, with a specific tenet of the religious or-
bulletin, catalog, or application form ganization.
that it makes available to any person
1253.210 Military and merchant ma-
of a type, described in paragraph (a) of
rine educational institutions.
this section, or which is otherwise used
in connection with the recruitment of These Title IX regulations do not
students or employees. apply to an educational institution
(2) A recipient shall not use or dis- whose primary purpose is the training
tribute a publication of the type de- of individuals for a military service of
scribed in paragraph (b)(1) of this sec- the United States or for the merchant
tion that suggests, by text or illustra- marine.
tion, that such recipient treats appli-
cants, students, or employees dif- 1253.215 Membership practices of
ferently on the basis of sex except as certain organizations.
such treatment is permitted by these (a) Social fraternities and sororities.
Title IX regulations. These Title IX regulations do not apply
(c) Distribution. Each recipient shall
to the membership practices of social
distribute without discrimination on
fraternities and sororities that are ex-
the basis of sex each publication de-
scribed in paragraph (b)(1) of this sec- empt from taxation under section
tion, and shall apprise each of its ad- 501(a) of the Internal Revenue Code of
mission and employment recruitment 1954, 26 U.S.C. 501(a), the active mem-
representatives of the policy of non- bership of which consists primarily of
discrimination described in paragraph students in attendance at institutions
(a) of this section, and shall require of higher education.
such representatives to adhere to such (b) YMCA, YWCA, Girl Scouts, Boy
policy. Scouts, and Camp Fire Girls. These Title
IX regulations do not apply to the
Subpart BCoverage membership practices of the Young
Mens Christian Association (YMCA),
1253.200 Application. the Young Womens Christian Associa-
Except as provided in 1253.205 tion (YWCA), the Girl Scouts, the Boy
through 1253.235(a), these Title IX regu- Scouts, and Camp Fire Girls.
lations apply to every recipient and to (c) Voluntary youth service organiza-
each education program or activity options. These Title IX regulations do not
erated by such recipient that receives apply to the membership practices of a
Federal financial assistance. voluntary youth service organization
that is exempt from taxation under
1253.205 Educational institutions and
other entities controlled by reli- section 501(a) of the Internal Revenue
gious organizations. Code of 1954, 26 U.S.C. 501(a), and the
membership of which has been tradi-
(a) Exemption. These Title IX regula-
tionally limited to members of one sex
tions do not apply to any operation of
and principally to persons of less than
an educational institution or other en-

tity that is controlled by a religious nineteen years of age.
organization to the extent that appli-
219
1253.220 14 CFR Ch. V (1116 Edition)
1253.220 Admissions. 1253.230 Transition plans.

(a) Admissions to educational insti- (a) Submission of plans. An institution
tutions prior to June 24, 1973, are not to which 1253.225 applies and that is
covered by these Title IX regulations. composed of more than one administra-
(b) Administratively separate units. For tively separate unit may submit either
the purposes only of this section, a single transition plan applicable to
1253.225 and 1253.230, and 1253.300 all such units, or a separate transition
through 1253.310, each administratively plan applicable to each such unit.
separate unit shall be deemed to be an (b) Content of plans. In order to be ap-
proved by the Secretary of Education,
educational institution.
a transition plan shall:
(c) Application of 1253.300 through (1) State the name, address, and Fed-
1253.310. Except as provided in para- eral Interagency Committee on Edu-
graphs (d) and (e) of this section, cation Code of the educational institu-
1253.300 through 1253.310 apply to tion submitting such plan, the admin-
each recipient. A recipient to which istratively separate units to which the
1253.300 through 1253.310 apply shall plan is applicable, and the name, ad-
not discriminate on the basis of sex in dress, and telephone number of the per-
admission or recruitment in violation son to whom questions concerning the
of 1253.300 through 1253.310. plan may be addressed. The person who
(d) Educational institutions. Except as submits the plan shall be the chief ad-
provided in paragraph (e) of this sec- ministrator or president of the institu-
tion as to recipients that are edu- tion, or another individual legally au-
cational institutions, 1253.300 thorized to bind the institution to all
through 1253.310 apply only to institu- actions set forth in the plan.
tions of vocational education, profes- (2) State whether the educational in-
sional education, graduate higher edu- stitution or administratively separate
cation, and public institutions of un- unit admits students of both sexes as
dergraduate higher education. regular students and, if so, when it
(e) Public institutions of undergraduate began to do so.
higher education. 1253.300 through (3) Identify and describe with respect
1253.310 do not apply to any public in- to the educational institution or ad-
stitution of undergraduate higher edu- ministratively separate unit any obsta-
cation that traditionally and contin- cles to admitting students without dis-
ually from its establishment has had a crimination on the basis of sex.
policy of admitting students of only (4) Describe in detail the steps nec-
one sex. essary to eliminate as soon as prac-
ticable each obstacle so identified and
1253.225 Educational institutions eli- indicate the schedule for taking these
gible to submit transition plans. steps and the individual directly re-
sponsible for their implementation.
(a) Application. This section applies
(5) Include estimates of the number
to each educational institution to
of students, by sex, expected to apply
which 1253.300 through 1253.310 apply
for, be admitted to, and enter each
that: class during the period covered by the
(1) Admitted students of only one sex plan.
as regular students as of June 23, 1972; (c) Nondiscrimination. No policy or
or practice of a recipient to which
(2) Admitted students of only one sex 1253.225 applies shall result in treat-
as regular students as of June 23, 1965, ment of applicants to or students of
but thereafter admitted, as regular stu- such recipient in violation of 1253.300
dents, students of the sex not admitted through 1253.310 unless such treatment
prior to June 23, 1965. is necessitated by an obstacle identi-
(b) Provision for transition plans. An fied in paragraph (b)(3) of this section
educational institution to which this and a schedule for eliminating that ob-
section applies shall not discriminate stacle has been provided as required by
on the basis of sex in admission or re- paragraph (b)(4) of this section.

cruitment in violation of 1253.300 (d) Effects of past exclusion. To over-
through 1253.310. come the effects of past exclusion of
220
students on the basis of sex, each edu- which is extended Federal financial as-
cational institution to which 1253.225 sistance:
applies shall include in its transition (i)(A) A department, agency, special
plan, and shall implement, specific purpose district, or other instrumen-
steps designed to encourage individuals tality of a State or of a local govern-
of the previously excluded sex to apply ment; or
for admission to such institution. Such (B) The entity of such State or local
steps shall include instituting recruit- government that distributes such as-
ment programs that emphasize the in- sistance and each such department or
stitutions commitment to enrolling agency (and each other State or local
students of the sex previously ex- government entity) to which the as-
cluded. sistance is extended, in the case of as-
sistance to a State or local govern-
1253.235 Statutory amendments. ment;
(a) This section, which applies to all (ii)(A) A college, university, or other
provisions of these Title IX regula- postsecondary institution, or a public
tions, addresses statutory amendments system of higher education; or
to Title IX. (B) A local educational agency (as de-
(b) These Title IX regulations shall fined in section 8801 of title 20), system
not apply to or preclude: of vocational education, or other
(1) Any program or activity of the school system;
American Legion undertaken in con- (iii)(A) An entire corporation, part-
nection with the organization or oper- nership, or other private organization,
ation of any Boys State conference, or an entire sole proprietorship
Boys Nation conference, Girls State
(1) If assistance is extended to such
conference, or Girls Nation conference;
corporation, partnership, private orga-
(2) Any program or activity of a sec-
nization, or sole proprietorship as a
ondary school or educational institu-
whole; or
tion specifically for:
(i) The promotion of any Boys State (2) Which is principally engaged in
conference, Boys Nation conference, the business of providing education,
Girls State conference, or Girls Nation health care, housing, social services, or
conference; or parks and recreation; or
(ii) The selection of students to at- (B) The entire plant or other com-
tend any such conference; parable, geographically separate facil-
(3) Father-son or mother-daughter ity to which Federal financial assist-
activities at an educational institution ance is extended, in the case of any
or in an education program or activity, other corporation, partnership, private
but if such activities are provided for organization, or sole proprietorship; or
students of one sex, opportunities for (iv) Any other entity that is estab-
reasonably comparable activities shall lished by two or more of the entities
be provided to students of the other described in paragraphs (c)(1)(i), (ii), or
sex; (iii) of this section.
(4) Any scholarship or other financial (2)(i) Program or activity does not in-
assistance awarded by an institution of clude any operation of an entity that is
higher education to an individual be- controlled by a religious organization
cause such individual has received such if the application of 20 U.S.C. 1681 to
award in a single-sex pageant based such operation would not be consistent
upon a combination of factors related with the religious tenets of such orga-
to the individuals personal appear- nization.
ance, poise, and talent. The pageant, (ii) For example, all of the operations
however, must comply with other non- of a college, university, or other post-
discrimination provisions of Federal secondary institution, including but
law. not limited to traditional educational
(c) Program or activity or program operations, faculty and student hous-
means: ing, campus shuttle bus service, cam-
(1) All of the operations of any entity pus restaurants, the bookstore, and
described in paragraphs (c)(1)(i) other commercial activities are part of
through (iv) of this section, any part of a program or activity subject to
221
1253.300 14 CFR Ch. V (1116 Edition)
these Title IX regulations if the col- (ii) Apply numerical limitations upon
lege, university, or other institution the number or proportion of persons of
receives Federal financial assistance. either sex who may be admitted; or
(d)(1) Nothing in these Title IX regu- (iii) Otherwise treat one individual
lations shall be construed to require or differently from another on the basis of
prohibit any person, or public or pri- sex.
vate entity, to provide or pay for any (2) A recipient shall not administer
benefit or service, including the use of or operate any test or other criterion
facilities, related to an abortion. Med- for admission that has a disproportion-
ical procedures, benefits, services, and ately adverse effect on persons on the
the use of facilities, necessary to save basis of sex unless the use of such test
the life of a pregnant woman or to ad- or criterion is shown to predict validly
dress complications related to an abor- success in the education program or ac-
tion are not subject to this section. tivity in question and alternative tests
(2) Nothing in this section shall be or criteria that do not have such a dis-
construed to permit a penalty to be im- proportionately adverse effect are
posed on any person or individual be- shown to be unavailable.
cause such person or individual is seek- (c) Prohibitions relating to marital or
ing or has received any benefit or serv- parental status. In determining whether
ice related to a legal abortion. Accord- a person satisfies any policy or cri-
ingly, subject to paragraph (d)(1) of terion for admission, or in making any
this section, no person shall be ex- offer of admission, a recipient to which
cluded from participation in, be denied 1253.300 through 1253.310 apply:
the benefits of, or be subjected to dis- (1) Shall not apply any rule con-
crimination under any academic, ex- cerning the actual or potential paren-
tracurricular, research, occupational tal, family, or marital status of a stu-
training, employment, or other edu- dent or applicant that treats persons
cational program or activity operated differently on the basis of sex;
by a recipient that receives Federal fi- (2) Shall not discriminate against or
nancial assistance because such indi- exclude any person on the basis of
vidual has sought or received, or is pregnancy, childbirth, termination of
seeking, a legal abortion, or any ben- pregnancy, or recovery therefrom, or
efit or service related to a legal abor- establish or follow any rule or practice
tion. that so discriminates or excludes;
(3) Subject to 1253.235(d), shall treat
disabilities related to pregnancy, child-
Subpart CDiscrimination on the birth, termination of pregnancy, or re-
Basis of Sex in Admission and covery therefrom in the same manner
Recruitment Prohibited and under the same policies as any
other temporary disability or physical
1253.300 Admission. condition; and
(a) General. No person shall, on the (4) Shall not make pre-admission in-
basis of sex, be denied admission, or be quiry as to the marital status of an ap-
subjected to discrimination in admis- plicant for admission, including wheth-
sion, by any recipient to which er such applicant is Miss or Mrs.
1253.300 through 1253.310 apply, ex- A recipient may make pre-admission
cept as provided in 1253.225 and inquiry as to the sex of an applicant for
1253.230. admission, but only if such inquiry is
(b) Specific prohibitions. (1) In deter- made equally of such applicants of both
mining whether a person satisfies any sexes and if the results of such inquiry
policy or criterion for admission, or in are not used in connection with dis-
making any offer of admission, a re- crimination prohibited by these Title
cipient to which 1253.300 through IX regulations.
1253.310 apply shall not:
(i) Give preference to one person over 1253.305 Preference in admission.
another on the basis of sex, by ranking A recipient to which 1253.300

applicants separately on such basis, or through 1253.310 apply shall not give
otherwise; preference to applicants for admission,
222
on the basis of attendance at any edu- providing any aid, benefit, or service to
cational institution or other school or a student, a recipient shall not, on the
entity that admits as students only or basis of sex:
predominantly members of one sex, if (1) Treat one person differently from
the giving of such preference has the another in determining whether such
effect of discriminating on the basis of person satisfies any requirement or
sex in violation of 1253.300 through condition for the provision of such aid,
1253.310. benefit, or service;
(2) Provide different aid, benefits, or
1253.310 Recruitment. services or provide aid, benefits, or
(a) Nondiscriminatory recruitment. A services in a different manner;
recipient to which 1253.300 through (3) Deny any person any such aid,
1253.310 apply shall not discriminate on benefit, or service;
the basis of sex in the recruitment and (4) Subject any person to separate or
admission of students. A recipient may different rules of behavior, sanctions,
be required to undertake additional re- or other treatment;
cruitment efforts for one sex as reme- (5) Apply any rule concerning the
dial action pursuant to 1253.110(a), and domicile or residence of a student or
may choose to undertake such efforts applicant, including eligibility for in-
as affirmative action pursuant to state fees and tuition;
1253.110(b). (6) Aid or perpetuate discrimination
(b) Recruitment at certain institutions. against any person by providing sig-
A recipient to which 1253.300 through nificant assistance to any agency, or-
1253.310 apply shall not recruit pri- ganization, or person that discrimi-
marily or exclusively at educational nates on the basis of sex in providing
institutions, schools, or entities that any aid, benefit, or service to students
admit as students only or predomi- or employees;
nantly members of one sex, if such ac- (7) Otherwise limit any person in the
tions have the effect of discriminating enjoyment of any right, privilege, ad-
on the basis of sex in violation of vantage, or opportunity.
1253.300 through 1253.310. (c) Assistance administered by a recipi-
ent educational institution to study at a
Subpart DDiscrimination on the foreign institution. A recipient edu-
Basis of Sex in Education Pro- cational institution may administer or
grams or Activities Prohibited assist in the administration of scholar-
ships, fellowships, or other awards es-
1253.400 Education programs or ac- tablished by foreign or domestic wills,
tivities. trusts, or similar legal instruments, or
(a) General. Except as provided else- by acts of foreign governments and re-
where in these Title IX regulations, no stricted to members of one sex, that
person shall, on the basis of sex, be ex- are designed to provide opportunities
cluded from participation in, be denied to study abroad, and that are awarded
the benefits of, or be subjected to dis- to students who are already matricu-
crimination under any academic, ex- lating at or who are graduates of the
tracurricular, research, occupational recipient institution; Provided, that a
training, or other education program recipient educational institution that
or activity operated by a recipient that administers or assists in the adminis-
receives Federal financial assistance. tration of such scholarships, fellow-
Sections 1253.400 through 1253.455 do ships, or other awards that are re-
not apply to actions of a recipient in stricted to members of one sex pro-
connection with admission of its stu- vides, or otherwise makes available,
dents to an education program or ac- reasonable opportunities for similar
tivity of a recipient to which 1253.300 studies for members of the other sex.
through 1253.310 do not apply, or an en- Such opportunities may be derived
tity, not a recipient, to which 1253.300 from either domestic or foreign
through 1253.310 would not apply if the sources.
entity were a recipient. (d) Aids, benefits or services not pro-

(b) Specific prohibitions. Except as provided by recipient. (1) This paragraph (d)
vided in 1253.400 through 1253.455, in applies to any recipient that requires
223
1253.405 14 CFR Ch. V (1116 Edition)
participation by any applicant, stu- one sex, when compared to that pro-
dent, or employee in any education vided to students of the other sex, is as
program or activity not operated whol- a whole:
ly by such recipient, or that facilitates, (A) Proportionate in quantity; and
permits, or considers such participa- (B) Comparable in quality and cost to
tion as part of or equivalent to an edu- the student.
cation program or activity operated by (ii) A recipient may render such as-
such recipient, including participation sistance to any agency, organization,
in educational consortia and coopera- or person that provides all or part of
tive employment and student-teaching such housing to students of only one
assignments. sex.
(2) Such recipient:
(i) Shall develop and implement a 1253.410 Comparable facilities.
procedure designed to assure itself that
A recipient may provide separate toi-
the operator or sponsor of such other
let, locker room, and shower facilities
education program or activity takes no
on the basis of sex, but such facilities
action affecting any applicant, student,
provided for students of one sex shall
or employee of such recipient that
be comparable to such facilities pro-
these Title IX regulations would pro-
vided for students of the other sex.
hibit such recipient from taking; and
(ii) Shall not facilitate, require, per- 1253.415 Access to course offerings.
mit, or consider such participation if
such action occurs. (a) A recipient shall not provide any
course or otherwise carry out any of its
1253.405 Housing. education program or activity sepa-
(a) Generally. A recipient shall not, rately on the basis of sex, or require or
on the basis of sex, apply different refuse participation therein by any of
rules or regulations, impose different its students on such basis, including
fees or requirements, or offer different health, physical education, industrial,
services or benefits related to housing, business, vocational, technical, home
except as provided in this section (in- economics, music, and adult education
cluding housing provided only to mar- courses.
ried students). (b)(1) With respect to classes and ac-
(b) Housing provided by recipient. (1) A tivities in physical education at the el-
recipient may provide separate housing ementary school level, the recipient
on the basis of sex. shall comply fully with this section as
(2) Housing provided by a recipient to expeditiously as possible but in no
students of one sex, when compared to event later than one year from Sep-
that provided to students of the other tember 29, 2000. With respect to phys-
sex, shall be as a whole: ical education classes and activities at
(i) Proportionate in quantity to the the secondary and post-secondary lev-
number of students of that sex apply- els, the recipient shall comply fully
ing for such housing; and with this section as expeditiously as
(ii) Comparable in quality and cost to possible but in no event later than
the student. three years from September 29, 2000.
(c) Other housing. (1) A recipient shall (2) This section does not prohibit
not, on the basis of sex, administer dif- grouping of students in physical edu-
ferent policies or practices concerning cation classes and activities by ability
occupancy by its students of housing as assessed by objective standards of
other than that provided by such re- individual performance developed and
cipient. applied without regard to sex.
(2)(i) A recipient which, through so- (3) This section does not prohibit sep-
licitation, listing, approval of housing, aration of students by sex within phys-
or otherwise, assists any agency, orga- ical education classes or activities dur-
nization, or person in making housing ing participation in wrestling, boxing,
available to any of its students, shall rugby, ice hockey, football, basketball,
take such reasonable action as may be and other sports the purpose or major
necessary to assure itself that such activity of which involves bodily con-
housing as is provided to students of tact.
224
(4) Where use of a single standard of substantially disproportionate number

measuring skill or progress in a phys- of members of one sex in any particular
ical education class has an adverse ef- course of study or classification, the
fect on members of one sex, the recipi- recipient shall take such action as is
ent shall use appropriate standards necessary to assure itself that such dis-
that do not have such effect. proportion is not the result of discrimi-
(5) Portions of classes in elementary nation in the instrument or its applica-
and secondary schools, or portions of tion.
education programs or activities, that (c) Disproportion in classes. Where a
deal exclusively with human sexuality recipient finds that a particular class
may be conducted in separate sessions contains a substantially dispropor-
for boys and girls. tionate number of individuals of one
(6) Recipients may make require- sex, the recipient shall take such ac-
ments based on vocal range or quality tion as is necessary to assure itself
that may result in a chorus or choruses that such disproportion is not the re-
of one or predominantly one sex. sult of discrimination on the basis of
sex in counseling or appraisal mate-
1253.420 Access to schools operated rials or by counselors.
by LEAs.
A recipient that is a local edu- 1253.430 Financial assistance.
cational agency shall not, on the basis (a) General. Except as provided in
of sex, exclude any person from admis- paragraphs (b) and (c) of this section,
sion to: in providing financial assistance to any
(a) Any institution of vocational edu- of its students, a recipient shall not:
cation operated by such recipient; or (1) On the basis of sex, provide dif-
(b) Any other school or educational ferent amounts or types of such assist-
unit operated by such recipient, unless ance, limit eligibility for such assist-
such recipient otherwise makes avail- ance that is of any particular type or
able to such person, pursuant to the source, apply different criteria, or oth-
same policies and criteria of admission, erwise discriminate;
courses, services, and facilities com- (2) Through solicitation, listing, ap-
parable to each course, service, and fa- proval, provision of facilities, or other
cility offered in or through such services, assist any foundation, trust,
schools. agency, organization, or person that
provides assistance to any of such re-
1253.425 Counseling and use of ap- cipients students in a manner that dis-
praisal and counseling materials. criminates on the basis of sex; or
(a) Counseling. A recipient shall not (3) Apply any rule or assist in appli-
discriminate against any person on the cation of any rule concerning eligi-
basis of sex in the counseling or guid- bility for such assistance that treats
ance of students or applicants for ad- persons of one sex differently from per-
mission. sons of the other sex with regard to
(b) Use of appraisal and counseling ma- marital or parental status.
terials. A recipient that uses testing or (b) Financial aid established by certain
other materials for appraising or coun- legal instruments. (1) A recipient may
seling students shall not use different administer or assist in the administra-
materials for students on the basis of tion of scholarships, fellowships, or
their sex or use materials that permit other forms of financial assistance es-
or require different treatment of stu- tablished pursuant to domestic or for-
dents on such basis unless such dif- eign wills, trusts, bequests, or similar
ferent materials cover the same occu- legal instruments or by acts of a for-
pations and interest areas and the use eign government that require that
of such different materials is shown to awards be made to members of a par-
be essential to eliminate sex bias. Re- ticular sex specified therein; Provided,
cipients shall develop and use internal that the overall effect of the award of
procedures for ensuring that such ma- such sex-restricted scholarships, fel-
terials do not discriminate on the basis lowships, and other forms of financial
of sex. Where the use of a counseling assistance does not discriminate on the
test or other instrument results in a basis of sex.
225
1253.435 14 CFR Ch. V (1116 Edition)
(2) To ensure nondiscriminatory 1253.440 Health and insurance bene-

awards of assistance as required in fits and services.
paragraph (b)(1) of this section, recipi- Subject to 1253.235(d), in providing a
ents shall develop and use procedures medical, hospital, accident, or life in-
under which: surance benefit, service, policy, or plan
(i) Students are selected for award of to any of its students, a recipient shall
financial assistance on the basis of not discriminate on the basis of sex, or
nondiscriminatory criteria and not on provide such benefit, service, policy, or
the basis of availability of funds re- plan in a manner that would violate
stricted to members of a particular sex; 1253.500 through 1253.550 if it were
(ii) An appropriate sex-restricted provided to employees of the recipient.
scholarship, fellowship, or other form This section shall not prohibit a recipi-
of financial assistance is allocated to ent from providing any benefit or serv-
ice that may be used by a different pro-
each student selected under paragraph
portion of students of one sex than of
(b)(2)(i) of this section; and the other, including family planning
(iii) No student is denied the award services. However, any recipient that
for which he or she was selected under provides full coverage health service
paragraph (b)(2)(i) of this section be- shall provide gynecological care.
cause of the absence of a scholarship,
fellowship, or other form of financial 1253.445 Marital or parental status.
assistance designated for a member of (a) Status generally. A recipient shall
that students sex. not apply any rule concerning a stu-
(c) Athletic scholarships. (1) To the ex- dents actual or potential parental,
tent that a recipient awards athletic family, or marital status that treats
scholarships or grants-in-aid, it must students differently on the basis of sex.
provide reasonable opportunities for (b) Pregnancy and related conditions.
such awards for members of each sex in (1) A recipient shall not discriminate
proportion to the number of students against any student, or exclude any
of each sex participating in inter- student from its education program or
scholastic or intercollegiate athletics. activity, including any class or extra-
curricular activity, on the basis of such
(2) A recipient may provide separate
students pregnancy, childbirth, false
athletic scholarships or grants-in-aid
pregnancy, termination of pregnancy,
for members of each sex as part of sep- or recovery therefrom, unless the stu-
arate athletic teams for members of dent requests voluntarily to partici-
each sex to the extent consistent with pate in a separate portion of the pro-
this paragraph (c) and 1253.450. gram or activity of the recipient.
(2) A recipient may require such a
1253.435 Employment assistance to student to obtain the certification of a
students.
physician that the student is phys-
(a) Assistance by recipient in making ically and emotionally able to continue
available outside employment. A recipi- participation as long as such a certifi-
ent that assists any agency, organiza- cation is required of all students for
tion, or person in making employment other physical or emotional conditions
available to any of its students: requiring the attention of a physician.
(1) Shall assure itself that such em- (3) A recipient that operates a por-
ployment is made available without tion of its education program or activ-
discrimination on the basis of sex; and ity separately for pregnant students,
(2) Shall not render such services to admittance to which is completely vol-
untary on the part of the student as
any agency, organization, or person
provided in paragraph (b)(1) of this sec-
that discriminates on the basis of sex
tion, shall ensure that the separate
in its employment practices. portion is comparable to that offered
(b) Employment of students by recipi- to non-pregnant students.
ents. A recipient that employs any of (4) Subject to 1253.235(d), a recipient
its students shall not do so in a manner
shall treat pregnancy, childbirth, false

that violates 1253.500 through pregnancy, termination of pregnancy
1253.550. and recovery therefrom in the same
226
manner and under the same policies as scholastic, intercollegiate, club, or in-
any other temporary disability with re- tramural athletics shall provide equal
spect to any medical or hospital ben- athletic opportunity for members of
efit, service, plan, or policy that such both sexes. In determining whether
recipient administers, operates, offers, equal opportunities are available, the
or participates in with respect to stu- designated agency official will con-
dents admitted to the recipients edu- sider, among other factors:
cational program or activity. (i) Whether the selection of sports
(5) In the case of a recipient that does and levels of competition effectively
not maintain a leave policy for its stu-
accommodate the interests and abili-
dents, or in the case of a student who
ties of members of both sexes;
does not otherwise qualify for leave
under such a policy, a recipient shall (ii) The provision of equipment and
treat pregnancy, childbirth, false preg- supplies;
nancy, termination of pregnancy, and (iii) Scheduling of games and prac-
recovery therefrom as a justification tice time;
for a leave of absence for as long a pe- (iv) Travel and per diem allowance;
riod of time as is deemed medically (v) Opportunity to receive coaching
necessary by the students physician, and academic tutoring;
at the conclusion of which the student (vi) Assignment and compensation of
shall be reinstated to the status that coaches and tutors;
she held when the leave began. (vii) Provision of locker rooms, prac-
tice, and competitive facilities;
1253.450 Athletics.
(viii) Provision of medical and train-
(a) General. No person shall, on the ing facilities and services;
basis of sex, be excluded from partici- (ix) Provision of housing and dining
pation in, be denied the benefits of, be
facilities and services;
treated differently from another per-
son, or otherwise be discriminated (x) Publicity.
against in any interscholastic, inter- (2) For purposes of paragraph (c)(1) of
collegiate, club, or intramural ath- this section, unequal aggregate expend-
letics offered by a recipient, and no re- itures for members of each sex or un-
cipient shall provide any such athletics equal expenditures for male and female
separately on such basis. teams if a recipient operates or spon-
(b) Separate teams. Notwithstanding sors separate teams will not constitute
the requirements of paragraph (a) of noncompliance with this section, but
this section, a recipient may operate or the designated agency official may
sponsor separate teams for members of consider the failure to provide nec-
each sex where selection for such essary funds for teams for one sex in
teams is based upon competitive skill assessing equality of opportunity for
or the activity involved is a contact members of each sex.
sport. However, where a recipient oper- (d) Adjustment period. A recipient that
ates or sponsors a team in a particular operates or sponsors interscholastic,
sport for members of one sex but oper- intercollegiate, club, or intramural
ates or sponsors no such team for mem- athletics at the elementary school
bers of the other sex, and athletic op- level shall comply fully with this sec-
portunities for members of that sex
tion as expeditiously as possible but in
have previously been limited, members
no event later than one year from Sep-
of the excluded sex must be allowed to
tember 29, 2000. A recipient that oper-
try out for the team offered unless the
sport involved is a contact sport. For ates or sponsors interscholastic, inter-
the purposes of these Title IX regula- collegiate, club, or intramural ath-
tions, contact sports include boxing, letics at the secondary or postsec-
wrestling, rugby, ice hockey, football, ondary school level shall comply fully
basketball, and other sports the pur- with this section as expeditiously as
pose or major activity of which in- possible but in no event later than
volves bodily contact. three years from September 29, 2000.

(c) Equal opportunity. (1) A recipient
that operates or sponsors inter-
227
1253.455 14 CFR Ch. V (1116 Edition)
1253.455 Textbooks and curricular (2) Hiring, upgrading, promotion,

material. consideration for and award of tenure,
Nothing in these Title IX regulations demotion, transfer, layoff, termi-
nation, application of nepotism poli-
shall be interpreted as requiring or pro-
cies, right of return from layoff, and
hibiting or abridging in any way the
rehiring;
use of particular textbooks or cur-
(3) Rates of pay or any other form of
ricular materials.
compensation, and changes in com-
pensation;
Subpart EDiscrimination on the (4) Job assignments, classifications,
Basis of Sex in Employment in and structure, including position de-
Education Programs or Activi- scriptions, lines of progression, and se-
ties Prohibited niority lists;
(5) The terms of any collective bar-
1253.500 Employment. gaining agreement;
(6) Granting and return from leaves
(a) General. (1) No person shall, on
of absence, leave for pregnancy, child-
the basis of sex, be excluded from par-
birth, false pregnancy, termination of
ticipation in, be denied the benefits of, pregnancy, leave for persons of either
or be subjected to discrimination in sex to care for children or dependents,
employment, or recruitment, consider- or any other leave;
ation, or selection therefor, whether (7) Fringe benefits available by vir-
full-time or part-time, under any edu- tue of employment, whether or not ad-
cation program or activity operated by ministered by the recipient;
a recipient that receives Federal finan- (8) Selection and financial support
cial assistance. for training, including apprenticeship,
(2) A recipient shall make all em- professional meetings, conferences, and
ployment decisions in any education other related activities, selection for
program or activity operated by such tuition assistance, selection for
recipient in a nondiscriminatory man- sabbaticals and leaves of absence to
ner and shall not limit, segregate, or pursue training;
classify applicants or employees in any (9) Employer-sponsored activities, in-
way that could adversely affect any ap- cluding social or recreational pro-
plicants or employees employment grams; and
opportunities or status because of sex. (10) Any other term, condition, or
(3) A recipient shall not enter into privilege of employment.
any contractual or other relationship
which directly or indirectly has the ef- 1253.505 Employment criteria.
fect of subjecting employees or stu- A recipient shall not administer or
dents to discrimination prohibited by operate any test or other criterion for
1253.500 through 1253.550, including any employment opportunity that has
relationships with employment and re- a disproportionately adverse effect on
ferral agencies, with labor unions, and persons on the basis of sex unless:
with organizations providing or admin- (a) Use of such test or other criterion
istering fringe benefits to employees of is shown to predict validly successful
the recipient. performance in the position in ques-
(4) A recipient shall not grant pref- tion; and
erences to applicants for employment (b) Alternative tests or criteria for
on the basis of attendance at any edu- such purpose, which do not have such
cational institution or entity that ad- disproportionately adverse effect, are
mits as students only or predominantly shown to be unavailable.
members of one sex, if the giving of
such preferences has the effect of dis- 1253.510 Recruitment.
criminating on the basis of sex in vio- (a) Nondiscriminatory recruitment and
lation of these Title IX regulations. hiring. A recipient shall not discrimi-
(b) Application. The provisions of nate on the basis of sex in the recruit-
1253.500 through 1253.550 apply to: ment and hiring of employees. Where a
(1) Recruitment, advertising, and the recipient has been found to be pres-
process of application for employment; ently discriminating on the basis of sex
228
in the recruitment or hiring of employ- of employment not subject to the pro-

ees, or has been found to have so dis- vision of 1253.515.
criminated in the past, the recipient (b) Prohibitions. A recipient shall not:
shall recruit members of the sex so dis- (1) Discriminate on the basis of sex
criminated against so as to overcome with regard to making fringe benefits
the effects of such past or present dis- available to employees or make fringe
crimination. benefits available to spouses, families,
(b) Recruitment patterns. A recipient or dependents of employees differently
shall not recruit primarily or exclu- upon the basis of the employees sex;
sively at entities that furnish as appli- (2) Administer, operate, offer, or par-
cants only or predominantly members ticipate in a fringe benefit plan that
of one sex if such actions have the ef- does not provide for equal periodic ben-
fect of discriminating on the basis of efits for members of each sex and for
sex in violation of 1253.500 through equal contributions to the plan by such
1253.550. recipient for members of each sex; or
(3) Administer, operate, offer, or par-
1253.515 Compensation. ticipate in a pension or retirement plan
A recipient shall not make or enforce that establishes different optional or
any policy or practice that, on the compulsory retirement ages based on
basis of sex: sex or that otherwise discriminates in
(a) Makes distinctions in rates of pay benefits on the basis of sex.
or other compensation; 1253.530 Marital or parental status.
(b) Results in the payment of wages
to employees of one sex at a rate less (a) General. A recipient shall not
than that paid to employees of the op- apply any policy or take any employ-
posite sex for equal work on jobs the ment action:
performance of which requires equal (1) Concerning the potential marital,
skill, effort, and responsibility, and parental, or family status of an em-
that are performed under similar work- ployee or applicant for employment
ing conditions. that treats persons differently on the
basis of sex; or
1253.520 Job classification and struc- (2) Which is based upon whether an
ture. employee or applicant for employment
is the head of household or principal
A recipient shall not:
wage earner in such employees or ap-
(a) Classify a job as being for males plicants family unit.
or for females; (b) Pregnancy. A recipient shall not
(b) Maintain or establish separate discriminate against or exclude from
lines of progression, seniority lists, ca- employment any employee or applicant
reer ladders, or tenure systems based for employment on the basis of preg-
on sex; or nancy, childbirth, false pregnancy, ter-
(c) Maintain or establish separate mination of pregnancy, or recovery
lines of progression, seniority systems, therefrom.
career ladders, or tenure systems for (c) Pregnancy as a temporary disability.
similar jobs, position descriptions, or Subject to 1253.235(d), a recipient shall
job requirements that classify persons treat pregnancy, childbirth, false preg-
on the basis of sex, unless sex is a bona nancy, termination of pregnancy, re-
fide occupational qualification for the covery therefrom, and any temporary
positions in question as set forth in disability resulting therefrom as any
1253.550. other temporary disability for all job-
related purposes, including commence-
1253.525 Fringe benefits. ment, duration, and extensions of
(a) Fringe benefits defined. For pur- leave, payment of disability income,
poses of these Title IX regulations, accrual of seniority and any other ben-
fringe benefits means: Any medical, hos- efit or service, and reinstatement, and
pital, accident, life insurance, or re- under any fringe benefit offered to em-
tirement benefit, service, policy or ployees by virtue of employment.

plan, any profit-sharing or bonus plan, (d) Pregnancy leave. In the case of a
leave, and any other benefit or service recipient that does not maintain a
229
1253.535 14 CFR Ch. V (1116 Edition)
leave policy for its employees, or in the 1253.550 Sex as a bona fide occupa-
case of an employee with insufficient tional qualification.
leave or accrued employment time to
A recipient may take action other-
qualify for leave under such a policy, a
recipient shall treat pregnancy, child- wise prohibited by 1253.500 through
birth, false pregnancy, termination of 1253.550 provided it is shown that sex is
pregnancy, and recovery therefrom as a a bona fide occupational qualification
justification for a leave of absence for that action, such that consider-
without pay for a reasonable period of ation of sex with regard to such action
time, at the conclusion of which the is essential to successful operation of
employee shall be reinstated to the sta- the employment function concerned. A
tus that she held when the leave began recipient shall not take action pursu-
or to a comparable position, without ant to this section that is based upon
decrease in rate of compensation or alleged comparative employment char-
loss of promotional opportunities, or acteristics or stereotyped characteriza-
any other right or privilege of employ- tions of one or the other sex, or upon
ment. preference based on sex of the recipi-
ent, employees, students, or other per-
1253.535 Effect of state or local law sons, but nothing contained in this sec-
or other requirements.
tion shall prevent a recipient from con-
(a) Prohibitory requirements. The obli- sidering an employees sex in relation
gation to comply with 1253.500 to employment in a locker room or toi-
through 1253.550 is not obviated or alle- let facility used only by members of
viated by the existence of any State or
one sex.
local law or other requirement that im-
poses prohibitions or limits upon em-
ployment of members of one sex that Subpart FProcedures
are not imposed upon members of the
other sex. 1253.600 Notice of covered programs.
(b) Benefits. A recipient that provides Within 60 days of September 29, 2000,
any compensation, service, or benefit each Federal agency that awards Fed-
to members of one sex pursuant to a eral financial assistance shall publish
State or local law or other requirement in the FEDERAL REGISTER a notice of
shall provide the same compensation, the programs covered by these Title IX
service, or benefit to members of the regulations. Each such Federal agency
other sex. shall periodically republish the notice
1253.540 Advertising. of covered programs to reflect changes
in covered programs. Copies of this no-
A recipient shall not in any adver- tice also shall be made available upon
tising related to employment indicate request to the Federal agencys office
preference, limitation, specification, or
that enforces Title IX.
discrimination based on sex unless sex
is a bona fide occupational qualifica- 1253.605 Enforcement procedures.
tion for the particular job in question.
The investigative, compliance, and
1253.545 Pre-employment inquiries. enforcement procedural provisions of
(a) Marital status. A recipient shall Title VI of the Civil Rights Act of 1964
not make pre-employment inquiry as (42 U.S.C. 2000d) (Title VI) are hereby
to the marital status of an applicant adopted and applied to these Title IX
for employment, including whether regulations. These procedures may be
such applicant is Miss or Mrs. found at 14 CFR 1250.105 through
(b) Sex. A recipient may make pre- 1250.110.
employment inquiry as to the sex of an
[65 FR 52877, Aug. 30, 2000]
applicant for employment, but only if
such inquiry is made equally of such
applicants of both sexes and if the re-
sults of such inquiry are not used in

connection with discrimination prohib-
ited by these Title IX regulations.
230
PART 1259NATIONAL SPACE lished by Title II of the National Aero-

GRANT COLLEGE AND FELLOW- nautics and Space Administration Au-
thorization Act of 1988 (Pub. L. 100147,
SHIP PROGRAM Oct. 30, 1987, 101 Stat. 869875, 42 U.S.C.
Subpart 1Basic Policy 2486). This statute authorizes the Ad-
ministrator of the National Aero-
Sec. nautics and Space Administration
1259.100 Scope of part. (NASA), in order to carry out the pur-
1259.101 Definitions. poses of the National Space Grant Col-
1259.103 Special authoritiesgift accept-
lege and Fellowship Act (the Act), to
ance and other Federal funding. accept conditional or unconditional
gifts and donations, to accept and use
Subpart 2Space Grant Program and funds from other Federal departments,
Project Awards agencies and instrumentalities, to
make awards with respect to such
1259.200 Description.
needs or problems and to designate
1259.201 Types of Space Grant program and
project awardsregular and special. Space Grant colleges. It further directs
1259.202 Application procedures. the Administrator to establish a grad-
1259.203 Limitations. uate fellowship program to provide
educational assistance to qualified in-
Subpart 3National Needs Grants dividuals in fields related to space, and
1259.300 Description. to establish an independent committee
1259.301 Identification of national needs. known as the Space Grant Review
1259.302 Application procedures. Panel to review and advise the Admin-
1259.303 Limitations. istrator with respect to Space Grant
programs.
Subpart 4Space Grant College and (b) The regulations of this part do
Consortium Designation not apply to awards made by NASA
1259.400 Description. under any other authority.
1259.402 Basic criteria and application pro- 1259.101 Definitions.
cedures. For the purposes of this part, the fol-
1259.403 Limitations. lowing definitions shall apply:
1259.404 Suspension or termination of des-
(a) Field related to space means any
ignation.
academic discipline or field of study
Subpart 5Space Grant Fellowships (including the physical, natural and bi-
ological sciences, and engineering,
1259.500 Description. space technology, education, econom-
1259.501 Responsibilities. ics, sociology, communications, plan-
1259.502 Application procedures.
1259.503 Limitations. ning, law, international affairs and
public administration) which is con-
Subpart 6Space Grant Review Panel cerned with or likely to improve the
understanding, assessment, develop-
1259.600 Panel description. ment and utilization of space.
1259.601 Establishment and composition.
1259.602 Conflict of interest. (b) Institution of higher education
1259.603 Responsibilities. means any college or university in any
State which:
AUTHORITY: Pub. L. 100147, 101 Stat. 869
(1) Admits as regular students only
875, 42 U.S.C. 2486; 42 U.S.C. 2452.
individuals who have a certificate of
SOURCE: 54 FR 19880, May 9, 1989, unless graduation or equivalent from a sec-
otherwise noted. ondary school;
(2) Is legally authorized within such
Subpart 1Basic Policy State to provide a program of edu-
cation beyond secondary education;
1259.100 Scope of part. (3) Provides an educational program
(a) This part 1259 establishes the poli- for which a bachelors degree or other
cies, responsibilities and procedures higher degree is awarded;

relative to the National Space Grant (4) Is a public or other nonprofit in-
College and Fellowship Program estab- stitution; and
231
1259.102 14 CFR Ch. V (1116 Edition)
(5) Is accredited by a nationally rec- (l) Specific national need grant means
ognized accrediting agency or associa- any award extended under section 207
tion. of the Act.
(c) National of the United States means (m) State means any State of the
a citizen of the United States or a na- United States, the District of Colum-
tive resident of a possession of the bia, the Commonwealth of Puerto Rico,
United States. It does not refer to or the Virgin Islands, Guam, American
include a citizen of another country Samoa, the Commonwealth of the
who has applied for United States citi- Northern Mariana Islands and any
zenship. other territory or possession of the
(d) Panel means the Space Grant Re- United States.
view Panel established pursuant to sec- (n) State Space Grant cooperating insti-
tion 210 of the Act. tution means any institution of higher
(e) Person means any individual, pub- education in a State which does not
lic or private corporation, partnership have a designated Space Grant college
or other association or entity (includ- that is named by the Administrator or
ing any Space Grant college, Space designee to provide selected Space
Grant consortium, institution of high- Grant program functions within that
er education, institute or laboratory), State.
or any State, political subdivision
thereof, or agency or officer of a State
or political subdivision thereof. (a) In accordance with subsections
(f) Space means aeronautical and space 103(a)(2) and (3) of the National Aero-
activities which has the meaning given nautics and Space Act of 1958, as
to such term in section 103(1) of the Na- amended, (42 U.S.C. 2457(a)(3)), it is
tional Aeronautics and Space Act of NASAs policy, through various edu-
1958, as amended (42 U.S.C. 2452). cational programs, to provide direct
(g) Space Grant college means any support for and encouragement to
public or private institution of higher teachers, students and prospective stu-
education which is designated as such dents in fields related to space.
by the Administrator or designee pur- (b) In compliance with the National
suant to section 208 of the Act. Space Grant College and Fellowship
Act (42 U.S.C. 2486), it shall be NASAs
(h) Space Grant regional consortium
purpose to:
means any association or other alli-
ance which is designated as such by the (1) Increase the understanding, as-
Administrator or designee pursuant to sessment, development and utilization
section 208 of the Act. of space resources by promoting a
strong educational base, responsive re-
(i) Space Grant program means any
search and training activities and
program which:
broad and prompt dissemination of
(1) Is administered by any Space knowledge and techniques;
Grant college, Space Grant regional
(2) Utilize the abilities and talents of
consortium, institution of higher edu-
the universities of the Nation to sup-
cation, institute, laboratory or State
port and contribute to the exploration
or local agency; and and development of the resources and
(2) Includes two or more projects in- opportunities afforded by the space en-
volving education and one or more of vironment;
the following activities in the fields re- (3) Encourage and support the exist-
lated to space: ence of interdisciplinary and multi-
(i) Research; disciplinary programs of space re-
(ii) Training; or search, to engage in activities of train-
(iii) Advisory services. ing (including teacher education), re-
(j) Space Grant program award means search and public service and to have
any award contemplated under section cooperative programs with industry;
206(a) of the Act. (4) Encourage and support the exist-
(k) Special Space Grant program award ence of consortia, composed of univer-
means any award extended under sec- sity and industry members, to advance
tion 206(b) of the Act. the exploration and development of
232
space resources in cases in which na- eral departments, agencies and instru-
tional objectives can be better fulfilled mentalities to pay for awards under
than through the programs of single this program. This authority is dele-
universities; gated to the Director, Educational Af-
(5) Encourage and support Federal fairs Division.
funding for graduate fellowships in (2) The Administrator or designee
fields related to space; may decline any such funds when the
(6) Support activities in colleges and Administrator determines acceptance
universities generally for the purpose would not be in accord with the pur-
of creating and operating a network of poses of the program. NASA may use a
institutional programs that will en- reasonable amount from transferred
hance achievements resulting from ef- Federal funds to cover any administra-
forts under this Act; and tive costs associated with such trans-
(7) Encourage cooperation and co- fer.
ordination among Federal agencies and
Federal programs concerned with space Subpart 2Space Grant Program
issues. and Project Awards
(c) It shall be NASAs policy to des-
ignate Space Grant colleges, State 1259.200 Description.
Space Grant cooperating institutions
and Space Grant regional consortia and Awards are authorized to establish
award fellowships, grants, contracts any Space Grant and/or fellowship pro-
and other transactions competitively gram or project if such program or
in a merit-based review process. project will further the purposes of the
(d) It shall be NASAs policy to des- Act.
ignate and make awards without dis- 1259.201 Types of Space Grant pro-
criminating on the basis of sex, race, gram and project awardsregular
color, religion, national origin or hand- and special.
icap.
(a) A regular Space Grant program or
1259.103 Special authoritiesgift ac- project award shall:
ceptance and other Federal fund- (1) Be funded by NASA up to 66 per-
ing. cent of the total cost of the Space
(a) Acceptance of gifts: Grant award and/or fellowship program
(1) In order to carry out the provi- involved; or
sions of the Act, the Administrator is (2) Be funded up to 100 percent of its
authorized to accept conditional or un- cost if funded by another Federal enti-
conditional gifts or donations of serv- ty.
ices, money or property, real, personal (b) A special Space Grant program or
or mixed, tangible or intangible. This project award may be funded up to 100
authority is delegated to the Director, percent of the total cost of the special
Educational Affairs Division. project if the Administrator or des-
(2) The Administrator or designee ignee, the Director, Educational Af-
may decline any gift or donation that fairs Division, finds that:
the Administrator determines is not in (1) No reasonable means is available
accord with the purposes of the pro- through which the applicant can meet
gram. Also, conditional gifts or dona- the matching requirements for a reg-
tions that are not in compliance with ular Space Grant award under para-
the Act or the implementing regula- graph (a) of this section;
tions shall be declined. NASA may use (2) The probable benefit of such
a reasonable amount from a gift or do- project outweighs the public interest in
nation to cover any administrative such matching requirement; and
costs associated with such gift or dona- (3) The same or equivalent benefit
tion. cannot be obtained through the award
(b) Acceptance and use of funds from of a regular Space Grant program or
other Federal agencies: project award under paragraph (a) of
(1) To carry out the provisions of the this section or the award of a specific
Act, the Administrator is authorized to national need grant under section 207
accept and use funds from other Fed- of the Act.
233
1259.202 14 CFR Ch. V (1116 Edition)
1259.202 Application procedures. 1259.303 Limitations.

(a) The opportunity to apply shall be The same limitations shall apply as
announced by the Director, Edu- are stated in 1259.203.
cational Affairs Division.
(b) The application procedures and Subpart 4Space Grant College
evaluation guidelines for awards under
this section will be included in the an- and Consortium Designation
nouncements of such programs. 1259.400 Description.
(c) The applications will be reviewed
by a peer review merit selection panel (a) The Administrator may designate
appointed by the Director, Educational Space Grant colleges, Space Grant col-
Affairs Division. lege consortia and Space Grant re-
gional consortia in order to establish
1259.203 Limitations. Federal/university partnerships to pro-
Public Law 100147, Section 206(d)(2) mote a strong educational base in the
and (3), states that: space and aeronautical sciences. These
(a) Funds for awards made under this designated colleges and consortia will
section may not be used to: provide leadership for a network of
(1) Purchase land; American colleges and universities, in-
(2) Purchase, construct, preserve or dustry and State and local govern-
repair any building; or ments in space-related fields. The Ad-
(3) Purchase or construct any launch ministrator hereby delegates this au-
facility or launch vehicle. thority to the Director, Educational
(b) Funds may be used to lease any of Affairs Division.
the items listed in paragraph (a) of this (b) Designation of Space Grant col-
section as long as prior written ap- leges, Space Grant college consortia
proval is obtained from the Adminis- and Space Grant regional consortia
trator or designee. shall be for 5 years. Designation of
Space Grant colleges and consortia
Subpart 3National Needs Grants may be continued based on a merit re-
view at the beginning of the fifth year.
1259.300 Description. (c) Each designated Space Grant col-
National needs awards may be award- lege or consortium will receive:
ed by the Administrator or designee to (1) A Space Grant award that re-
meet such needs or problems relating quires a 100 percent match; and
to aerospace identified by the Space (2) Funds for fellowships.
Grant Review Panel, by NASA officials (d) Each Space Grant college or con-
or by any person. Such awards may be sortium will be funded annually.
up to 100 percent of the total cost of
the program or project. 1259.401 Responsibilities.
1259.301 Identification of national Each designated Space Grant college
needs. or consortium shall:
National needs shall be identified by (a) Designate a Space Grant Program
the Administrator who shall consider Director;
specific national needs and problems (b) Establish a Space Grant Office;
relating to space proposed by the Space (c) Administer a fellowship program;
Grant Review Panel, any NASA official (d) Develop and implement programs
or any person. of public service, interdisciplinary
space-related programs, advisory ac-
1259.302 Application procedures. tivities and cooperation with industry,
(a) The Administrator or designee research laboratories, State and local
has the authority to make awards to governments and other colleges and
meet identified national needs. universities, particularly institutions
(b) The Director, Educational Affairs in their State and/or region with sig-
Division, shall establish a competitive, nificantly large enrollments of racial

merit-based review process to examine minorities who are under-represented
unsolicited national needs proposals. in science and technology; and
234
(e) Provide nonfederal matching 1259.404 Suspension or termination

funds (exclusive of in-kind contribu- of designation.
tions) for the Space Grant program The Administrator or designee, the
equal to that provided by NASA. Director, Educational Affairs Division,
may, for cause, and after an oppor-
1259.402 Basic criteria and applica-
tion procedures. tunity for a hearing before an Adminis-
trative Judge appointed by the Deputy
(a) Any institution of higher edu- Administrator, suspend or terminate
cation may be designated a Space the Space Grant designation of any in-
Grant college if the Administrator or stitution or consortium.
designee finds that it has a balanced
program of research, education, train-
ing and advisory services in fields re-
Subpart 5Space Grant
lated to space, as further defined in the Fellowships
program announcement. 1259.500 Description.
(b) Any association or other alliance
of two or more persons may be des- The Space Grant fellowship program
ignated a Space Grant regional consor- will provide educational and training
tium, if the Administrator or designee assistance to qualified individuals at
finds that such association or alliance: the graduate level in fields related to
(1) Is established for the purpose of space. Awards will be made to institu-
sharing expertise, research, edu- tions of higher education for fellow-
cational or training facilities and other ships. The student recipients shall be
capabilities in order to facilitate re- known as NASA Space Grant Fellows.
search, education, training and advi-
sory services, in any field related to
space; (a) All institutions which receive
(2) Will encourage and follow a re- Space Grant fellowships will be ex-
gional approach to solving problems or pected to use the awards to increase
meeting needs relating to space, in co- the pool of graduate students in fields
operation with other institutions of related to space.
higher education, Space Grant program (b) The overall fellowship program
grantees and other persons in the re- shall be cognizant of institutional di-
gion. versity and geographical distribution.
(c) The opportunity to apply for des-
ignation shall be announced by the Di- 1259.502 Application procedures.
rector, Educational Affairs Division. (a) All applicants for designation as
The application procedures and evalua- Space Grant colleges and consortia
tion guidelines for designation shall be must apply for Space Grant fellow-
included in the designation announce- ships.
ment. (b) Applicants for Space Grant pro-
(d) Designation will be decided by a gram or project grants (under 1259.200)
competitive merit review of the pro- and for national needs grants (under
gram proposal measured against the 1259.300) may also apply for Space
purposes of the Act and including, but Grant fellowships.
not limited to, proposed linkages with (c) There will be a merit review selec-
other colleges and universities (par- tion of Space Grant fellowship awards.
ticularly institutions with significant
enrollments of under-represented mi- 1259.503 Limitations.
nority groups), public service and col- (a) Fellowships shall be awarded only
laboration with space-related industry. to Nationals of the United States.
(b) Any students supported under this
1259.403 Limitations. fellowship program shall not be funded
The same limitations shall apply as
for more than 4 years unless the Direc-

are stated in 1259.203. tor, Educational Affairs Division,
makes an exception.
235
1259.600 14 CFR Ch. V (1116 Edition)
Subpart 6Space Grant Review consider them, but not be limited to

Panel them, in the selection process.
(f) The Administrator or designee
1259.600 Panel description. shall select a Chair and a Vice Chair.
An independent committee, the The Vice Chair shall act as Chair in the
Space Grant Review Panel, which is absence or incapacity of the Chair.
not subject to the Federal Advisory (g) The Administrator or designee
Committee Act, shall be established to may select NASA officials to serve as
advise the Administrator with respect ex officio, nonvoting members of the
to Space Grant program and project panel.
awards, the Space Grant fellowship 1259.602 Conflict of interest.
program and the designation and oper-
ation of Space Grant colleges and con- Any member of the Panel who has a
sortia. A majority of the voting mem- personal or financial interest in an
bers shall be individuals who, by reason issue before the Panel shall abstain
of knowledge, experience, or training from voting on such issue.
are especially qualified in one or more
of the fields related to space. The other
voting members shall be individuals (a) The Panel shall advise the Admin-
who, by reason of knowledge, experi- istrator and the Director, Educational
ence or training, are especially quali- Affairs Division, with respect to:
fied in, or representative of, education, (1) Applications or proposals for, and
extension services, State government, performance under, awards made pur-
industry, economics, planning or any suant to sections 206 and 207 of Title II
other activity related to the purposes of the Act;
of the Space Grant program. (2) The Space Grant fellowship pro-
gram;
1259.601 Establishment and composi- (3) The designation and operation of
tion. Space Grant colleges and Space Grant
(a) The Panel, to be located at NASA regional consortia, and the operation
Headquarters in Washington, DC, will of Space Grant and fellowship pro-
be composed of ten voting members grams;
who are not current NASA employees. (4) The formulation and application
(b) It shall include four from Federal of the planning guidelines and prior-
departments, agencies or entities that ities pursuant to section 205 (a) and
have an interest in space programs or (b)(1) of Title II of the Act; and
science and education, and six non- (5) Such other matters as the Admin-
federal representatives. istrator refers to the Panel for review
(c) The nonfederal representatives and advice.
shall include two persons who are di- (b) The Panel shall meet biannually
rectly involved with the Space Grant and at any other time at the call of the
program at a Space Grant college or Chair or upon a request from a major-
consortium, one person involved with ity of the voting members or at the
the Space Grant program at a univer- call of the Administrator.
sity that is not a designated Space (c) The Panel may exercise such pow-
Grant college, a university president or ers as are reasonably necessary in
chancellor, one representative of a order to carry out the duties enumer-
space-related industry and the last per- ated in paragraph (a) of this section.
son to be from whatever field the Ad- (d) The Director, Educational Affairs
ministrator determines to be of great- Division, shall appoint an Executive
est concern. Secretary who shall perform adminis-
(d) The Panel members shall be ap- trative duties for the Panel.
pointed by the Administrator or des- (e) Federal members of the Panel will
ignee. have their agencies reimbursed by
(e) The relevant organizations and NASA for any travel costs and per
associations in aerospace and science diem expenses required to attend Panel
education fields will be asked to pro- meetings.

vide three names for each position on (f) Nonfederal members of the Panel
the panel. The Administrator shall will be reimbursed by NASA for travel
236
costs and per diem expenses required to 1261.402 Delegation of authority.

attend Panel meetings. 1261.403 Consultation with appropriate offi-
cials; negotiation.
1261.404 Services of the Inspector General.
PART 1260 [RESERVED] 1261.405 Subdivision of claims not author-
ized; other administrative proceedings.
PART 1261PROCESSING OF 1261.406 Aggressive collection action; docu-
MONETARY CLAIMS (GENERAL) mentation.
1261.407 Demand for payment; limitation pe-
Subpart 1261.1Employees Personal riods.
Property Claims 1261.408 Use of consumer reporting agency.
1261.409 Contracting for collection services.
Sec. 1261.410 Suspension or revocation of license
1261.100 Scope of subpart. or eligibility; liquidation of collateral.
1261.101 Claimants. 1261.411 Collection in installments.
1261.102 Maximum amount. 1261.412 Interest, penalties, and administra-
1261.103 Time limitations. tive costs.
1261.104 Allowable claims. 1261.413 Analysis of costs; automation; pre-
1261.105 Unallowable claims. vention of overpayments, delinquencies,
1261.106 Submission of claims. or defaults.
1261.107 Evidence in support of claim.
1261.414 Compromise of claims.
1261.108 Recovery from carriers, insurers,
1261.415 Execution of releases.
and other third parties.
1261.109 Computation of allowance. 1261.416 Suspending or terminating collec-
1261.110 Settlement of claims. tion action.
1261.417 Referral to Department of Justice
Subpart 1261.2 [Reserved] (DJ) or General Accounting Office (GAO).
Subpart 1261.3Claims Against NASA or Subpart 1261.5Administrative Offset of

Its Employees for Damage to or Loss of Claims
Property or Personal Injury or Death
Accruing On or After January 18, 1967 1261.501 Definition.
1261.300 Scope of subpart. 1261.502 Notification procedures.
1261.301 Authority. 1261.503 Agency records inspection; hearing
1261.302 Claim. or review.
1261.303 Claimant. 1261.504 Interagency requests.
1261.304 Place of filing claim. 1261.505 Multiple debts.
1261.305 Form of claim. 1261.506 Limitation periods.
1261.306 Evidence and information required. 1261.507 Civil Service Retirement and Dis-
1261.307 Time limitations. ability Fund.
1261.308 NASA officials authorized to act 1261.508 Offset against a judgment.
upon claims.
1261.309 Action under the Federal Tort Subpart 1261.6Collection by Offset From
Claims Act.
1261.310 Investigation of claims. Indebted Government Employees
1261.311 Claims requiring Department of 1261.600 Purpose of subpart.
Justice approval or consultation.
1261.312 Action on approved claims.
1261.313 Required notification in the event 1261.602 Definitions.
of denial. 1261.603 Procedures for salary offset.
1261.314 [Reserved] 1261.604 Nonwaiver of rights by involuntary
1261.315 Procedures for the handling of law- setoff.
suits against NASA employees arising 1261.605 Refunds.
within the scope of their office or em- 1261.606 Salary offset request by a creditor
ployment. agency other than NASA (the current
1261.316 Policy. paying agency).
1261.317 Attorney-client privilege. 1261.607 Obtaining the services of a hearing
official.
Subpart 1261.4Collection of Civil Claims
AUTHORITY: Subparts 1261.4, 1261.5, and
of the United States Arising Out of the 1261.6 issued under 42 U.S.C. 2473(c); 31 U.S.C.
Activities of the National Aeronautics 3711 et seq.; 5 U.S.C. 5514; 4 CFR parts 101105;
and Space Administration (NASA)
5 CFR part 550 subpart K, 550.1101550.1107.

1261.400 Scope of subpart. SOURCE: 45 FR 48104, July 18, 1980, unless
1261.401 Definitions. otherwise noted.
237
1261.100 14 CFR Ch. V (1116 Edition)
Subpart 1261.1Employees 1261.103 Time limitations.

Personal Property Claims (a) A claim may be allowed only if
the claim is presented in writing with-
AUTHORITY: 31 U.S.C. 2371, et seq. in 2 years after it accrues. For the pur-
poses of this subpart, a claim accrues
1261.100 Scope of subpart. at the time of the accident or incident
This subpart prescribes regulations causing the loss or damage, or at such
governing the settlement of claims time as the loss or damage is or should
against the National Aeronautics and have been discovered by the claimant
Space Administration (NASA) for dam- through the exercise of due diligence.
age to, or loss of, personal property in- (b) If a claim accrues in time of war
cident to service with NASA. or if an armed conflict intervenes with-
in 2 years after it accrues, and if good
1261.101 Claimants. cause is shown, the claim may be pre-
(a) A claim for damage to, or loss of, sented not later than 2 years after that
personal property incident to service cause ceases to exist, or 2 years after
with NASA may be made only by: the war or armed conflict is termi-
(1) An officer or employee of the Na- nated, whichever is earlier. The dates
tional Aeronautics and Space Adminis- of beginning and ending of such an
tration; armed conflict are the dates estab-
(2) A member of the uniformed serv- lished by concurrent resolution of the
ices (Army, Navy, Air Force, Marine Congress or by a determination of the
Corps, Coast Guard, Coast and Geodetic President.
Survey and Public Health Service) as- 1261.104 Allowable claims.
signed to duty with or under the juris-
diction of NASA; (a) A claim may be allowed only if:
(3) The authorized agent or legal rep- (1) The damage or loss was not
resentative of a person named in para- caused wholly or partly by the neg-
graph (a)(1) or (2) of this section; or ligent or wrongful act of the claimant,
(4) The survivors of a person named the claimants agent, private em-
in paragraph (a)(1) or (2) of this section ployee, or family member (the stand-
in the following order of precedence: ard to be applied is that of reasonable
Spouse; children, father or mother, or care under the circumstances);
both; or brothers or sisters, or both. (2) The possession of the property
Claims by survivors may be allowed lost or damaged and the quantity is de-
termined to have been reasonable, use-
whether arising before, concurrently
ful, or proper under the circumstances;
with, or after the decedents death, if
and
otherwise covered by this subpart.
(3) The claim is substantiated by
(b) Employees of contractors with
proper and convincing evidence.
the United States and employees of
(b) Claims which are otherwise allow-
nonappropriated fund activities are not
able under this subpart shall not be
included within the meaning of para-
disallowed solely because the property
graph (a)(1) or (2) of this section.
was not in the possession of the claim-
(c) Claims may not be made by or for
ant at the time of the damage or loss,
the benefit of a subrogee, assignee, con-
or solely because the claimant was not
ditional vendor, or other third party.
the legal owner of the property for
1261.102 Maximum amount. which the claim is made. For example,
borrowed property may be the subject
From October 1, 1982, to October 30, of a claim.
1988, the maximum amount that may (c) Subject to the conditions in para-
be paid under the Military Personnel graph (a) of this section and the other
and Civilian Employees Claim Act of provisions of this subpart, any claim
1964, as amended (31 U.S.C. 3721) is for damage to, or loss of, personal prop-
$25,000, and on or after October 31, 1988, erty incident to service with NASA
the maximum amount is $40,000 (Pub. may be considered and allowed. The
L. 100565, 102 Stat. 2833, October 31,
following are examples of the principal

1988). types of claims which may be allowed,
[54 FR 35456, Aug. 28, 1989] but these examples are not exclusive
238
and other types of claims may be al- (6) Property used for benefit of the Gov-
lowed, unless excluded by 1261.105. ernment. Claims may be allowed for
(1) Property loss or damage in quarters damage to, or loss of, property when
or other authorized places. Claims may used for the benefit of the Government
be allowed for damage to, or loss of, at the request of, or with the knowl-
property arising from fire, flood, hurri- edge and consent of, an authorized offi-
cane, other natural disaster, theft, or cial.
other unusual occurrence, while such (7) Clothing and accessories. Claims
property is located at: may be allowed for damage to, or loss
(i) Quarters within the 50 States or of, clothing or accessories customarily
the District of Columbia that were as- worn on the person, such as eyeglasses,
signed to the claimant or provided by hearing aids or dentures.
the United States;
(ii) Quarters outside the 50 States 1261.105 Unallowable claims.
and the District of Columbia that were Claims are not allowable for the fol-
occupied by the claimant, whether or lowing:
not they were assigned or provided by (a) Unassigned quarters in United
the United States, except when the States. Claims may not be allowed for
claimant is a civilian employee who is property loss or damage in quarters oc-
a local inhabitant; or cupied by the claimant within the 50
(iii) Any warehouse, office working States or the District of Columbia that
area, hospital, or other place author- were not assigned to claimant or pro-
ized or apparently authorized for the vided in kind by the United States.
reception or storage of property. (b) Money or currency. Claims may
(2) Transportation or travel losses. not be allowed for loss of money or cur-
Claims may be allowed for damage to, rency, except when lost incident to
or loss of, property incident to trans- fire, flood, hurricane, other natural dis-
portation or storage pursuant to or- aster, or by theft from quarters (as
ders, or in connection with travel limited by paragraph (a)). Reimburse-
under orders, including property in the ment for loss of money or currency is
custody of a carrier, an agent or agen- limited to an amount which is deter-
cy of the Government, or the claimant. mined reasonable to have been in the
(3) House trailers. Claims may be al- claimants possession at the time of
lowed for damage to, or loss of, house the loss.
trailers and their contents under the (c) Government property. Claims may
provisions of paragraph (c)(2) of this not be allowed for property owned by
section. the United States, except that for
(4) Negligence of the Government. which the claimant is financially re-
Claims may be allowed for damage to, sponsible to any agency of the Govern-
or loss of, property caused by the neg- ment other than NASA.
ligence or wrongful act or omission of (d) Business property. Claims may not
any employee of the Government while be allowed for property used in a pri-
acting within the scope of office or em- vate business enterprise.
ployment. (e) Articles of extraordinary value.
(5) Enemy action or public service. Claims may not be allowed for valuable
Claims may be allowed for damage to, articles, such as cameras, watches, jew-
or loss of, property as a direct con- elry, furs; or other articles of extraor-
sequence of: dinary value, when shipped with house-
(i) Enemy action or threat of action hold goods or as unaccompanied bag-
or combat, guerrilla, brigandage, or gage (shipment includes storage). This
other belligerent activity, or unjust prohibition does not apply to articles
confiscation by a foreign power or its in the personal custody of the claimant
nationals; or articles properly checked: Provided,
(ii) Action by the claimant to quiet a That reasonable protection or security
civil disturbance or to alleviate a pub- measures have been taken by claimant.
lic disaster; or (f) Unserviceable property. Claims may

(iii) Efforts by the claimant to save not be allowed for worn-out unservice-
human life or Government property. able property.
239
1261.106 14 CFR Ch. V (1116 Edition)
(g) Illegal possession. Claims may not (b) Specific classes of claims. Claims of
be allowed for property acquired, pos- the following types shall also be ac-
sessed, or transported in violation of companied with specific and detailed
law or in violation of applicable regula- evidence as indicated:
tions or directives. (1) Theft, burglary, etc. A statement
(h) Estimate fees. Claims may not in- describing in detail the location where
clude fees paid to obtain estimates or the loss occurred and the facts and cir-
repair, except when it is clear that an cumstances surrounding the loss, in-
estimate could not have been obtained cluding supporting documentation,
without paying a fee. e.g., a police report.
(i) Automobiles and other vehicles. (2) Transportation losses. A copy of or-
Claims may not be allowed for damage ders authorizing the travel, transpor-
to, or loss of, automobiles and other tation or shipment, or a certificate ex-
vehicles unless: plaining the absence of such orders and
(1) The vehicles were required to be stating their substance; all bills of lad-
used for official Government business ing and inventories of property
(official Government business, as used shipped; and a statement indicating
here, does not include travel between the condition of the property when
quarters and place of duty, parking of turned over to the carrier and when re-
vehicles incident to such travel, or use ceived from the carrier.
of vehicles for the convenience of the
owner); or 1261.108 Recovery from carriers, in-
(2) Shipment of motor vehicles to, surers, and other third parties.
from, or between overseas areas was (a) General. NASA is not an insurer
being furnished or provided by the Gov- and does not underwrite all personal
ernment; or property losses that an employee may
(3) The damage or loss was caused by sustain. Employees are encouraged to
the negligent or wrongful act or omis- carry private insurance to the max-
sion of any employee of the Govern- imum extent practicable to avoid large
ment acting within the scope of office losses or losses which may not be re-
or employment. coverable from NASA. The procedures
set forth in this section are designed to
1261.106 Submission of claims. enable the claimant to obtain the max-
All claims shall be submitted in du- imum amount of compensation for per-
plicate to the Administrator or des- sonal property loss or damage. Failure
ignee on NASA Form 1204, Employees of the claimant to comply with these
Claim for Damage to, or Loss of, Per- procedures may reduce or preclude pay-
sonal Property Incident to Service. ment of the claim.
(b) Demand on carrier, contractor,
1261.107 Evidence in support of warehouse owner/operator, or insurer.
claim. When it appears that property has been
(a) General. In addition to the infor- damaged or lost under circumstances
mation required on NASA Form 1204, in which a carrier, warehouse owner/
and any other evidence required by the operator, contractor or insurer may be
Administrator or designee, the claim- responsible, the claimant shall make a
ant will furnish the following evidence written demand on such party, either
when relevant: before or after submitting a claim
(1) A corroborating statement from against NASA. The Administrator or
the claimants supervisor or other per- designee, if requested, will assist in
son or persons having personal knowl- making demand on the third party. No
edge of the facts concerning the claim. such demand need be made if, in the
(2) A statement of any property re- opinion of the Administrator or des-
covered or replaced in kind. ignee, it would be impracticable or any
(3) An itemized bill of repair for prop- recovery would be insignificant, or if
erty which has been repaired, or one or circumstances preclude the claimant
more written estimates of the cost of from making timely demand.
repairs from competent persons if the (c) Action subsequent to demand. A

property is repairable but has not been copy of the demand and of any related
repaired. correspondence shall be submitted to
240
the Administrator or designee. If the property lost or damaged beyond eco-

carrier, insurer, or other third party nomical repair, less any salvage value;
offers a settlement which is less than or
the amount of the demand, the claim- (2) The reasonable cost of repairs,
ant shall consult with the Adminis- when property is economically repair-
trator or designee before accepting the able: Provided, That the cost of repairs
amount offered. The claimant shall does not exceed the amount allowable
also notify the Administrator or des- under paragraph (a)(1) of this section.
ignee promptly of any other action by (b) Depreciation in value is deter-
a third party, including settlement, mined by considering the type of arti-
partial settlement, or denial of liabil- cle involved, its cost, its condition
ity. when damaged or lost, and the time
(d) Application of recovery. When the elapsed between the date of acquisition
amount recovered from a carrier, in- and the date of damage or loss, with
surer, or other third party is greater appropriate recognition of current re-
than or equal to the claimants total placement value.
loss as determined under this subpart, (c) Limitation on agent or attorney fees.
no compensation is allowable under No more than 10 per centum of the
this subpart. When the amount recov- amount paid in settlement of each in-
ered is less than such total loss, the al- dividual claim submitted and settled
lowable amount is determined by de- shall be paid or delivered to or received
ducting the recovery from the amount by an agent or attorney on account of
of total loss subject to the maximum services rendered in connection with
set forth in 1261.102. that claim, any contract to the con-
(e) Transfer of rights. The claimant trary notwithstanding (31 U.S.C. 243).
shall assign to the United States, to
the extent of any payment accepted on 1261.110 Settlement of claims.
a claim, all rights, title, and interest in (a) Settlement officials. (1) Claims in
any claim he/she may have against any the amount of $5,000 or more will be
carrier, insurer, or other party arising acted upon by the General Counsel.
out of the accident or incident on Claims less than $5,000 will be acted
which the claim against the United upon by the Chief Counsel of the NASA
States is based. The claimant shall Field Installation where the employee
also, upon request, furnish such evi- was assigned at the time of the loss or
dence and other cooperation as may be damage or the Assistant General Coun-
required to enable the United States to sel for Litigation for NASA Head-
enforce the claim. After payment on quarters claims.
the claim by the United States, the (2) Claims arising for $5,000 or more
claimant shall, upon receipt of any shall be investigated by the Chief
payment from a carrier, insurer, or Counsel or Assistant General Counsel
other party, notify the Administrator for Litigation, as appropriate, and a re-
or designee and pay the proceeds to the port and recommendation thereon shall
United States to the extent required be forwarded to the General Counsel.
under the provisions of paragraph (d). (b) Action by settlement official. (1) For
each claim, the settlement official
1261.109 Computation of allowance. shall complete a report in duplicate on
(a) The amount allowed for damage NASA Form 1204 and retain a claim file
to or loss of any item of property may consisting of the original claim, the re-
not exceed the cost of the item (either port, and any other relevant evidence
the price paid in cash or property, or or documents.
the value at the time of acquisition if (2) When a claim is allowed in an
not acquired by purchase or exchange). amount acceptable to the claimant, the
There will be no allowance for replace- settlement official shall prepare a
ment cost or for appreciation in the Voucher for Payment of Employees
value of the property. Subject to these Personal Property Claims (NASA
limitations, the amount allowable is Form 1220), have it properly executed
either: by the claimant, and forward it with a

(1) The depreciated value, imme- copy of the approved claim (NASA
diately prior to the loss or damage of Form 1204) to the appropriate NASA
241
1261.300 14 CFR Ch. V (1116 Edition)
fiscal or financial management office tain, adjust, determine, compromise,

for payment. and settle any claim for money dam-
(3) When a claim is disallowed or is ages against the United States for in-
partially allowed in an amount unac- jury or loss of property or personal in-
ceptable to the claimant, the settle- jury or death caused by the negligent
ment official shall notify the claimant or wrongful act or omission of any
in writing of the action taken and the NASA employee while acting within
reasons therefor. If not satisfied with the scope of his/her office or employ-
the action taken, the claimant may, ment, under circumstances where the
within 60 days after receipt of such no- United States, if a private person,
tice, request reconsideration of the would be liable to the claimant in ac-
claim and may submit any new evi- cordance with the law of the place
dence that he/she feels to be pertinent where the act or omission occurred. In
to the claim. If such a claim has been exercising such authority, the Admin-
disallowed at the field installation istrator or designee is required to act
level, the claimant may request recon- in accordance with regulations pre-
sideration by the field installation, or scribed by the Attorney General (28
by the General Counsel, or both. CFR part 14). An award, compromise,
(c) Final and conclusive. The settle- or settlement in excess of $25,000 may
ment of a claim under this subpart, be effected only with the prior written
whether by full or partial allowance or approval of the Attorney General or
disallowance, is final and conclusive. designee.
(b) Under sec. 203(c)(13)(A) of the Na-
Subpart 1261.2 [Reserved] tional Aeronautics and Space Act of
1958, as amended, 42 U.S.C.
Subpart 1261.3Claims Against 2473(c)(13)(A), NASA is authorized to
NASA or Its Employees for consider, ascertain, adjust, determine,
settle, and pay, on behalf of the United
Damage to or Loss of Property States, in full satisfaction thereof, any
or Personal Injury or Death claim for $25,000 or less against the
Accruing On or After January United States for bodily injury, death
18, 1967 or damage to or loss of real or personal
property resulting from the conduct of
AUTHORITY: 28 U.S.C. 26712680, 42 U.S.C. NASAs functions as specified in 42
2473(c)(13), and 28 CFR part 14. U.S.C. 2473(a). At the discretion of
NASA, a claim may be settled and paid
1261.300 Scope of subpart. under this authority even though the
This subpart sets forth the proce- United States could not be held legally
dures for: liable to the claimant.
(a) The submission of, and action by (c) Under 42 U.S.C. 2473(c)(13)(B), if
NASA upon, claims against the United NASA considers that a claim in excess
States arising out of the activities of of $25,000 is meritorious and would oth-
NASA for damage to or loss of property erwise be covered by 42 U.S.C.
or personal injury or death, and des- 2473(c)(13)(A), NASA may report the
ignates the NASA officials authorized facts and circumstances of the claim to
to act upon such claims. the Congress for its consideration or to
(b) The handling of lawsuits against the Comptroller General as provided in
NASA employee(s) for damage to or the Supplemental Appropriations Act,
loss of property or personal injury or 1978, Pub. L. 95240 (92 Stat. 107), 31
death resulting from a NASA employ- U.S.C. 724a.
ees activities within the scope of his/ (d) Under 28 U.S.C. 2679, the Attorney
her office or employment. General of the United States shall de-
fend any civil action or proceeding
1261.301 Authority. brought in any court against a Govern-
(a) Under the provisions of the Fed- ment employee for injury or loss of
eral Tort Claims Act, as amended (see property or personal injury or death,
28 U.S.C. 26712680), and subject to its resulting from the operation of a motor
limitations, the Administrator or des- vehicle by the Government employee
ignee is authorized to consider, ascer- while acting within the scope of office
242
or employment. In effect, this legisla- (rix), parent, guardian, or other rep-

tion is designed to protect an employee resentative.
driving a motor vehicle on Government
business by converting such a civil 1261.304 Place of filing claim.
court action or proceeding against the A claim arising in the United States
employee into a claim against the should be submitted to the Chief Coun-
United States: Provided, That the em- sel of the NASA Installation whose ac-
ployee was acting within the scope of tivities are believed to have given rise
employment at the time of the acci-
to the claimed injury, loss, or death. If
dent. The remedy against the United
the identity of such installation is not
States provided by 28 U.S.C. 2672 (ad-
known, or if the claim arose in a for-
ministrative adjustment of claims) and
eign country, the claim should be sub-
28 U.S.C. 1346(b) (civil action against
mitted to the General Counsel, Na-
the United States) then becomes the
plaintiffs exclusive remedy. tional Aeronautics and Space Adminis-
tration, Washington, DC 20546.
1261.302 Claim.
1261.305 Form of claim.
Unless the context otherwise re-
quires, claim means a claim for money (a) The official designated in 1261.308
damages against the United States shall, prior to acting on a claim, re-
arising out of the activities of NASA, quire the claimant to submit a com-
for injury or loss of property, or per- pleted Standard Form 95Claim for
sonal injury or death. A claim arises Damage, Injury or Death.
at the place where the injury, loss, or (b) NASA installations will furnish
death occurs. copies of Standard Form 95 upon re-
quest.
1261.303 Claimant.
(a) A claim for damage to or loss of 1261.306 Evidence and information
property may be presented by the required.
owner of the property, duly authorized (a) The circumstances alleged to
agent or legal representative. have given rise to the claim, and the
(b) A claim for personal injury may amount claimed, should, so far as pos-
be presented by the injured person, sible, be substantiated by competent
duly authorized agent, or legal rep- evidence. Supporting statements, esti-
resentative. mates, and the like should, if possible,
(c) A claim based on death may be be obtained from disinterested parties.
presented by the executor(rix) or ad- For specific guidance as to Federal
ministrator(rix) of the decedents es- Tort Claims Act claims, see Depart-
tate, or by any other person legally en- ment of Justice regulations on Ad-
titled to assert such a claim in accord- ministrative Claims under Federal
ance with applicable State law. Tort Claims Act at 28 CFR part 14.
(d) A claim for loss wholly com-
(b) In addition to the evidence and in-
pensated by an insurer with the rights
of a subrogee may be presented by the formation required under paragraph
insurer. A claim for loss partially com- (a), any claimant shall be required to
pensated by an insurer with the rights submit information as to the amount
of a subrogee may be presented by the of money or other property received as
parties individually as their respective damages or compensation, or which the
interests appear, or jointly. claimant may be entitled to receive, by
(e) A claim presented by an agent or reason of the claimed injury, loss, or
legal representative shall be presented death from persons other than NASA
in the name of the claimant, be signed or NASA employees. (Such persons in-
by the agent or legal representative, clude, but are not limited to, insurers,
show the title or legal capacity of the employers, and persons whose conduct
person signing and be accompanied by was a cause of the accident or inci-
evidence of the agents or legal rep- dent.)
resentatives authority to present a (c) Any document in other than the

claim on behalf of the claimant as English language should be accom-
agent, executor(rix), administrator panied by an English translation.
243
1261.307 14 CFR Ch. V (1116 Edition)
1261.307 Time limitations. 1261.309 Action under the Federal

Tort Claims Act.
(a) A claim may not be acted upon
pursuant to the Federal Tort Claims Where a claim is to be acted upon
Act unless it is presented to NASA pursuant to the Federal Tort Claims
within 2 years after it accrued. Act, action shall be taken in accord-
ance with 28 U.S.C. 2672, other provi-
(b) A claim may not be acted upon
sions of the Federal Tort Claims Act as
pursuant to 42 U.S.C. 2473(c)(13)(A) or may be applicable (e.g., 28 U.S.C. 2680),
(B) unless it is presented to NASA and regulations prescribed by the At-
within 2 years after the occurrence of torney General which appear at 28 CFR
the accident or incident out of which part 14.
the claim arose.
(c) A claim shall be deemed to have 1261.310 Investigation of claims.
been presented to NASA when NASA The officials designated in 1261.308
receives from a claimant or duly au- shall conduct such investigation of a
thorized agent or legal representative claim as deemed appropriate. The offi-
an executed Standard Form 95 or other cials may request any NASA office or
written notification of an incident or other Federal agency to assist in the
accident, accompanied by a claim in a investigation.
sum certain.
1261.311 Claims requiring Depart-
1261.308 NASA officials authorized to ment of Justice approval or con-
sultation.
act upon claims.
(a) When in the opinion of the NASA
(a) Claims in the amount of $10,000 or official designated in 1261.308, Depart-
more will be acted upon as directed by ment of Justice approval or consulta-
the General Counsel; tion may be required, pursuant to 28
(b) Claims less than $10,000 will be CFR part 14, in connection with a
acted upon by the Chief Counsel of the claim being acted upon under the Fed-
NASA Field Installation where the em- eral Tort Claims Act, the following pa-
ployee was assigned at the time of the pers shall be forwarded to the General
loss or damage or the Assistant Gen- Counsel:
eral Counsel for Litigation for NASA (1) A short and concise statement of
Headquarters claims. the facts of the claim.
(c) Claims of $10,000 or more, pursu- (2) Copies of all relevant portions of
ant either to the Federal Tort Claims the claim file.
Act, or 42 U.S.C. 2473(c)(13), shall be (3) A statement of the recommenda-
acted upon only with the prior ap- tions or views of the forwarding offi-
proval of the General Counsel. Such cial.
claims shall be forwarded to the Gen- (b) A claim forwarded to the General
Counsel in accordance with paragraph
eral Counsel for approval, if the Chief
(a) of this section, or upon which the
Counsel or the Assistant General Coun-
General Counsel is acting pursuant to
sel for Litigation is of the opinion that 1261.308(c), shall be referred to the De-
the claim may be meritorious and oth- partment of Justice when, in the opin-
erwise suitable for settlement under ion of the General Counsel, Depart-
any authority. A claim so forwarded ment of Justice approval or consulta-
should be accompanied by a report of tion is required or may be appropriate.
the facts of the claim, based upon such
investigation as may be appropriate, 1261.312 Action on approved claims.
and a recommendation as to the action (a) Upon settlement of a claim, the
to be taken. official designated in 1261.308 will pre-
(d) Claims acted upon by NASA offi- pare and have executed by the claim-
cials pursuant to this section shall be ant a Voucher for Payment of Tort
acted upon pursuant to the Federal Claims (NASA Form 616) if the claim
Tort Claims Act, or 42 U.S.C. has been acted upon pursuant to 42
2473(c)(13)(A) or (B), as the NASA offi- U.S.C. 2473(c)(13), or a Voucher for Pay-
cial deems appropriate. ment under Federal Tort Claims Act
(Standard Form 1145) if the claim has
244
been acted upon pursuant to the Fed- tor(rix) or administrator(rix) of the es-
eral Tort Claims Act. The form will tate) shall immediately deliver all such
then be referred to the cognizant NASA process and pleadings or an attested
installation fiscal or financial manage- true copy thereof, together with a fully
ment office for appropriate action. detailed report of the circumstances of
(b) When a claimant is represented by the accident giving rise to the court
an attorney, both the claimant and at- action or proceeding, to the following
torney will be designated as payees officials:
on the voucher, and the check will be (1) The Assistant General Counsel for
delivered to the attorney whose ad- Litigation insofar as actions or pro-
dress shall appear on the voucher. ceedings against employees of NASA
(c) Acceptance by the claimant, Headquarters are concerned; or
agent, or legal representative, of any (2) The Chief Counsel of the NASA In-
award, compromise, or settlement
stallation at which the employee is
made pursuant to this subpart shall be
employed, insofar as actions against
final and conclusive on the claimant,
other than NASA Headquarters em-
agent or legal representative and any
ployees are concerned.
other person on whose behalf or for
whose benefit the claim has been pre- (b) Upon receipt of such process and
sented, and shall constitute a complete pleadings, the Assistant General Coun-
release of any claim against the United sel for Litigation or the Chief Counsel
States and against any employee of the of the NASA Installation receiving the
Government whose act or omission same shall furnish to the U.S. Attorney
gave rise to the claim, by reason of the for the district embracing the place
same subject matter. where the action or proceeding is
brought and, if appropriate, the Direc-
1261.313 Required notification in the tor, Torts Branch, Civil Division, De-
event of denial. partment of Justice, the following:
Final denial of a claim shall be in (1) Copies of all such process and
writing and shall be sent to the claim- pleadings in the action or proceeding
ant, the attorney, or legal representa- promptly upon receipt thereof; and
tive by certified or registered mail. (2) A report containing a statement
The notification of final denial may in- of the circumstances of the incident
clude a statement of the reasons for giving rise to the action or proceeding,
the denial and shall include a state- and all data bearing upon the question
ment that if the claimant is dissatis- of whether the employee was acting
fied with NASAs action, the claimant within the scope of office or employ-
may file suit in an appropriate U.S. ment with NASA at the time of the in-
District Court not later than 6 months cident, at the earliest possible date, or
after the date of mailing the notifica- within such time as shall be fixed by
tion. the U.S. Attorney upon request.
(c) The Assistant General Counsel for
1261.314 [Reserved]
Litigation or a Chief Counsel acting
1261.315 Procedures for the handling pursuant to paragraph (b) of this sec-
of lawsuits against NASA employees tion shall submit the following docu-
arising within the scope of their of- ments to the General Counsel, who is
fice or employment. hereby designated to receive such docu-
The following procedures shall be fol- ments on behalf of the Administrator:
lowed in the event that a civil action (1) Copies of all process and pleadings
or proceeding is brought, in any court, submitted to a U.S. Attorney in ac-
against any employee of NASA (or cordance with paragraph (b).
against the estate) for injury or loss of (2) In addition, where the action or
property or personal injury or death, proceeding is for damages in excess of
resulting from the NASA employees $25,000, or where (in the opinion of the
activities while acting within the scope Chief Counsel) such action or pro-
of office or employment: ceeding involves a new precedent, a
(a) After being served with process or new point of law, or a question of pol-
pleadings in such an action or pro- icy, copies of reports and all other pa-
ceeding, the employee (or the execu- pers submitted to the U.S. Attorney.
245
1261.316 14 CFR Ch. V (1116 Edition)
1261.316 Policy. (e) Any payment under this section

either to indemnify a National Aero-
(a) The National Aeronautics and
nautics and Space Administration em-
Space Administration may indemnify a
present or former NASA employee, who ployee or to settle a personal damage
is personally named as a defendant in claim shall be contingent upon the
any civil suit in state or Federal court, availability of appropriated funds of
or in an arbitration proceeding or the National Aeronautics and Space
other proceeding seeking damages Administration.
against that employee personally, for [53 FR 27482, July 21, 1988]
any verdict, judgment, appeal bond, or
other monetary award which is ren- 1261.317 Attorney-client privilege.
dered against such employee, provided
(a) Attorneys employed by the Na-
that the conduct giving rise to the ver-
tional Aeronautics and Space Adminis-
dict, judgment, appeal bond, or award
tration participate in the process uti-
was taken within the scope of his or
her employment and that such indem- lized for the purpose of determining
nification is in the interest of the Na- whether the agency should request the
tional Aeronautics and Space Adminis- Department of Justice to provide rep-
tration, as determined by the Adminis- resentation to a present or former
tration or designee. agency employee sued, subpoenaed, or
(b) The National Aeronautics and charged in his/her individual capacity,
Space Administration may settle or and attorneys employed by the Na-
compromise a personal damage claim tional Aeronautics and Space Adminis-
against a present or former NASA em- tration provide assistance in obtaining
ployee by the payment of available representation of such an agency em-
funds, at any time, provided the al- ployee. In these roles, agency attor-
leged conduct giving rise to the per- neys undertake a full and traditional
sonal damage claim was taken within attorney-client relationship with the
the employees scope of employment employee with respect to application of
and that such settlement or com- the attorney-client privilege. If rep-
promise is in the interest of the Na- resentation is authorized, National
tional Aeronautics and Space Adminis- Aeronautics and Space Administration
tration, as determined by the Adminis- attorneys who assist in the representa-
trator or designee. tion of a present or former employee
(c) Absent exceptional circumstances also undertake a full and traditional
as determined by the Administrator or attorney-client relationship with that
designee, the agency will not entertain employee with respect to the attorney-
a request either to agree to indemnify client privilege.
or to settle a personal damage claim (b) Any adverse information commu-
before entry of an adverse verdict,
nicated by the client-employee to an
judgment, or award.
agency attorney during the course of
(d) A present or past NASA employee
such attorney-client relationship shall
may request indemnification to satisfy
not be disclosed to anyone, either in-
a verdict, judgment, or award entered
side or outside the National Aero-
against that employee. The employee
shall submit a written request, with nautics and Space Administration,
appropriate documentation including other than attorneys resonsible for rep-
copies of the verdict, judgment, appeal resentation of the employee, unless
bond, award, or settlement proposal to such disclosure is authorized by the
the General Counsel, who shall make a employee. Such adverse information
recommended disposition of the re- shall continue to be fully protected
quest. Where appropriate, the agency whether or not representation is pro-
shall seek the views of the Department vided and even though representation
of Justice. The General Counsel shall may be denied or discontinued.
forward the request, the accompanying
[53 FR 27483, July 21, 1988]
documentation, and the General Coun-

sels recommendation to the Adminis-
trator for decision.
246
Subpart 1261.4Collection of Civil tractual agreement, unless other ac-

Claims of the United States ceptable (to NASA) payment arrange-
ments have been made by that date, or
Arising Out of the Activities of if, at any time thereafter, the debtor
the National Aeronautics and fails to satisfy an obligation under the
Space Administration (NASA) payment agreement.
(c) Referral for litigation. Referral
SOURCE: 52 FR 19487, May 26, 1987, unless through the NASA installations legal
otherwise noted. counsel to the Department of Justice
(Main Justice or the United States At-
1261.400 Scope of subpart. torney, as appropriate) for legal pro-
(a) These regulations do the fol- ceedings.
lowing:
(1) Prescribe standards for the admin- 1261.402 Delegation of authority.
istrative collection, compromise, sus- The following NASA officials are del-
pension or termination of collection, egated authority, as qualified by
and referral to the General Accounting 1261.403, to take such action as is au-
Office (GAO), and/or to the Department thorized by these regulations to col-
of Justice (DJ) for litigation, of civil lect, compromise, suspend/terminate
claims as defined by 31 U.S.C. 3701(b), collection, and upon consultation with
arising out of the activities of NASA; and through legal counsel, to refer the
(2) Designate the responsible NASA claim (as applicable) to the GAO or De-
officials authorized to effect actions partment of Justice:
hereunder; and (a) For field installations, with re-
(3) Require compliance with the GAO/ gard to subpart 1261.4 and subpart
DJ joint regulations at 4 CFR parts 101 1261.5: The Director of the Installation
through 105 and the Office of Personnel or a designee who reports directly to
Management (OPM) regulations at 5 the Installation Director. A copy of
CFR part 550, subpart K. such designation, if any, shall be sent
(b) Failure to comply with any provi- to the Director, Financial Management
sion of the GAO/DJ or OPM regulations Division, NASA Headquarters.
shall not be available as a defense to (b) For Headquarters, with regard to
any debtor (4 CFR 101.8). subpart 1261.4 and subpart 1261.5: The
(c) These regulations do not include Associate Administrator for Manage-
any claim based in whole or in part on ment or a designee who reports di-
violation of the anti-trust laws; any rectly to the Associate Administrator
claim as to which there is an indica- for Management. A copy of such des-
tion of fraud, the presentation of a ignation, if any, shall be sent to the Di-
false claim, or misrepresentation on rector, Financial Management Divi-
the part of the debtor or any party hav- sion, NASA Headquarters.
ing an interest in the claim; tax (c) With respect to the analysis re-
claims; or Federal interagency claims quired by 1261.413: The NASA Comp-
(4 CFR 101.3). troller or designee.
(d) NASA wide, with regard to sub-
1261.401 Definitions. part 1261.6: The NASA Comptroller or
(a) Claim and debt. The terms denote designee.
a civil claim arising from the activities (e) NASA wide, for complying with
of NASA for an amount of money, or pertinent provisions under these regu-
return or value of property (see 4 CFR lations for agency hearing or review
101.5), owing to the United States from (see 1261.408(b), 1261.503, and
any person, organization, or entity, ex- 1261.603(c)): The NASA General Counsel
cept another Federal agency. The or designee.
words claim and debt have been used
interchangeably and are considered 1261.403 Consultation with appro-
synonymous. priate officials; negotiation.
(b) Delinquent debt. The debt is delin- (a) The authority pursuant to
quent if it has not been paid by the date 1261.402 to determine to forego collec-
specified in the initial written notification of interest, to accept payment of a
tion (e.g., 1261.407) or applicable con- claim in installments, or, as to claims
247
1261.404 14 CFR Ch. V (1116 Edition)
which do not exceed $20,000, exclusive of the United States, including inves-
of interest and related charges, to com- tigations to determine the location and
promise a claim or to refrain from financial resources of the debtors.
doing so, or to refrain from, suspend or (b) Any claim which, in the opinion
terminate collection action, shall be of an official designated in or pursuant
exercised only after consultation with to 1261.402 or 1261.403, may indicate
legal counsel for the particular instal- fraud, presentation of a false claim, or
lation and the following NASA officials misrepresentation, on the part of the
or designees, who may also be re- debtor or any other party having an in-
quested to negotiate the appropriate terest in the claim, shall be referred by
agreements or arrangements with the the designated official to the Inspector
debtor: General (IG), NASA Headquarters, or
(1) With respect to claims against to the nearest office of the NASA IG.
contractors or grantees arising in con- After an investigation as may be ap-
nection with contracts or grantsthe propriate, the IG shall:
contracting officer and the financial (1) Notice the official, from whom the
management officer of the installation claim was received, of the findings and
concerned. refer the claim to the Department of
(2) With respect to claims against Justice in accordance with the provi-
commercial carriers for loss of or dam- sions of 4 CFR 101.3; or
age to NASA freight shipmentthe (2) If it were found that there is no
cognizant transportation officers or such indication of fraud, the presen-
the official who determined the tation of a false claim, or misrepresen-
amount of the claim, as appropriate, tation, return the claim to the official
and the financial management officers from whom it was received.
of the installation concerned.
(3) With respect to claims against 1261.405 Subdivision of claims not
employees of NASA incident to their authorized; other administrative
employmentthe personnel officer and proceedings.
the financial management officer of (a) Subdivision of claims. Claims may
the installation concerned. not be subdivided to avoid the $20,000
(b) The appropriate counsels office ceiling, exclusive of interest, penalties,
shall review and concur in the fol- and administrative costs, for purposes
lowing: of compromise ( 1261.414) or suspension
(1) All communications to and agree- or termination of collection ( 1261.416).
ments with debtors relating to claims The debtors liability arising from a
collection. particular transaction or contract
(2) All determinations to compromise shall be considered a single claim (4
a claim, or to suspend or terminate col- CFR 101.6).
lection action. (b) Required administrative pro-
(3) All referrals of claims, other than ceedings. Nothing contained in these
referrals to the Department of Justice regulations is intended to require
pursuant to 1261.404(b)(1). NASA to omit, foreclose, or duplicate
(4) All documents releasing debtors administrative proceedings required by
from liability to the United States. contract or other applicable laws and
(5) All other actions relating to the implementing regulations (4 CFR
collection of a claim which in the opin- 101.7).
ion of the official designated in or pur-
suant to 1261.402 may affect the rights 1261.406 Aggressive collection action;
of the United States. documentation.
(a) NASA shall take aggressive ac-
1261.404 Services of the Inspector tion, on a timely basis with effective
General. followup, to collect all claims of the
(a) At the request of an official des- United States for money or property
ignated in or pursuant to 1261.402, the arising out of NASA activities, and to
Office of the Inspector General will, cooperate with the other Federal agen-
where practicable, conduct such inves- cies in debt collection activities.

tigations as may assist in the collec- (b) All administrative collection ac-
tion, compromise, or referral of claims tion shall be documented and the bases
248
for compromise, or for termination or or in subsequent letters, such items the

suspension of collection action, should NASAs willingness to discuss alter-
be set out in detail. Such documenta- native methods of payment, or inten-
tion, including the Claims Collection tions with respect to referral of the
Litigation Report under 1261.417(e), debt to the Department of Justice for
should be retained in the appropriate litigation.
claims file. (c) NASA should respond promptly to
communications from the debtor, with-
1261.407 Demand for payment; limi-
tation periods. in 30 days whenever feasible, and
should advise debtors who dispute the
(a) Appropriate written demands debt to furnish available evidence to
shall be made promptly upon a debtor support their contentions.
of the United States in terms which in-
(d) If either prior to the initiation of,
form the debtor of the consequences of
any time during, or after completion of
failure to cooperate. A total of three
progressively stronger written de- the demand cycle, a determination to
mands at not more than 30-day inter- pursue offset is made, then the proce-
vals will normally be made unless a re- dures specified in subparts 1261.5 and
sponse to the first or second demand 1261.6, as applicable, should be fol-
indicates that a further demand would lowed. The availability of funds for off-
be futile and the debtors response does set and NASAs determination to pur-
not require rebuttal. In determining sue it release the agency from the ne-
the timing of demand letters, NASA cessity of further compliance with
will give due regard to the need to act paragraphs (a), (b), and (c) of this sec-
promptly so that, as a general rule, if tion. If the agency has not already sent
necessary to refer the debt to the De- the first demand letter, the agencys
partment of Justice for litigation, such written notification of its intent to off-
referral can be made within one year of set must give the debtor the oppor-
the agencys final determination of the tunity to make voluntary payment, a
fact and the amount of the debt. When requirement which will be satisfied by
necessary to protect the Governments compliance with the notice require-
interests (for example, to prevent the ments of 1261.502 or 1261.603(a), as ap-
statute of limitations, 28 U.S.C. 2415, plicable.
from expiring), written demand may be (e) NASA should undertake personal
preceded by other appropriate actions, interviews with its debtors whenever
including immediate referral for litiga- this is feasible, having regard for the
tion. amounts involved and the proximity of
(b) The initial demand letter should agency representatives to such debtors;
inform the debtor of: and may attempt to effect compromise
(1) The basis for the indebtedness and of the claim in accordance with
whatever rights the debtor may have
1261.414.
to seek review within the agency;
(2) The applicable standards for as- (f) When a debtor is employed by the
sessing interest, penalties, and admin- Federal government or is a member of
istrative costs ( 1261.412); and the military establishment or the
(3) The date by which payment is to Coast Guard, and collection by offset
be made, which normally should be not cannot be accomplished in accordance
more than 30 days from the date that with subpart 1261.6, the employing
the initial demand letter was mailed or agency will be contacted for the pur-
hand delivered. The responsible official pose of arranging with the debtor for
should exercise care to ensure that de- payment of the indebtedness by allot-
mand letters are mailed or hand deliv- ment or otherwise in accordance with
ered on the same day that they are ac- section 206 of Executive Order 11222,
tually dated. Apart from these require- May 8, 1965, 30 FR 6469, which provides
ments, there is no prescribed format that: An employee is expected to meet
for demand letters. However, as appro- all just financial obligations, espe-
priate to the circumstances, the re- cially thosesuch as Federal, State, or

sponsible official may consider includ- local taxeswhich are imposed by law
ing, either in the initial demand letter (4 CFR 102.81).
249
1261.408 14 CFR Ch. V (1116 Edition)
1261.408 Use of consumer reporting than 60 days after sending this notice,
agency. NASA intends to disclose to a con-
(a) The term consumer reporting agen- sumer reporting agency the specific in-
cy has the meaning provided in the formation to be disclosed under para-
Federal Claims Collection Act of 1966, graph (b)(1) of this section; the indi-
as amended (31 U.S.C. 3701(a)(3)): vidual may request a complete expla-
(1) A consumer reporting agency as nation of the claim, dispute the infor-
that term is defined in section 603(f) of mation in the records of NASA about
the Fair Credit Reporting Act (15 the claim, and file for an administra-
U.S.C. 1681a(f); or tive review or repeal of the claim or for
(2) A person that, for money or on a reconsideration of the initial decision
cooperative basis, regularly on the claim.
(i) Gets information on consumers to (3) If an administrative review or re-
give the information to a consumer reconsideration is requested, the respon-
porting agency; or sible official or designee shall refer the
(ii) Serves as a marketing agent request to the appropriate NASA legal
under an arrangement allowing a third counsel for an impartial review and de-
party to get the information from a termination by counsel or designee
consumer reporting agency. based on the entire written record. If
(b) NASA Headquarters Financial the reviewer cannot resolve the ques-
Management Division, shall be the tion of indebtedness based upon the
focal contact between NASA and con- available documentary evidence,
sumer reporting agencies. The fol- verified written statements by the
lowing procedures shall apply when debtor or the responsible official may
such agencies are employed by NASA: be requested on any pertinent matter
(1) After the appropriate notice pur- not addressed by the available record.
suant to 5 U.S.C. 552a(e)(4) has been (c) If the information is to be sub-
published, NASA may disclose, in ac- mitted to a consumer reporting agen-
cordance with 5 U.S.C. 552a(b)(12), in- cy, the responsible official shall obtain
formation about a debtor to a con- a verified statement from such agency
sumer reporting agency. Such informa- which gives satisfactory assurances
tion may include: that the particular agency is com-
(i) That a claim has been determined plying with all laws of the United
to be valid and is overdue (including States related to providing consumer
violation by debtor of a repayment credit information; and thereafter en-
plan or other claim settlement agree- sure that the consumer reporting agen-
ment); cy is promptly informed of any sub-
(ii) The name, address, taxpayer iden- stantial change in the condition or
tification number, and any other infor- amount of the claim, or, on request of
mation necessary to establish the iden- such agency, promptly verify or cor-
tity of the individual responsible for rect information about the claim.
the claim;
(iii) Amount, status, and history of 1261.409 Contracting for collection
the claim; services.
(iv) Program or pertinent activity (a) When NASA determines that
under which the claim arose. there is a need to contract for collec-
(2) Before disclosing the information tion services, the following conditions
specified in paragraph (b)(1) of this sec- must attach:
tion, NASA shall comply with 31 U.S.C. (1) The authority to resolve disputes,
3711(f) by: compromise claims, suspend or termi-
(i) Taking reasonable action to lo- nate collection action, and refer the
cate the individual if a current address matter for litigation must be retained
is not available; by NASA.
(ii) If a current address is available, (2) The contractor shall be subject to
noticing the individual by certified the Privacy Act of 1974, as amended, to
mail, return receipt requested, that: the extent specified in 5 U.S.C. 552a(m),
The designated NASA official has re- and to applicable Federal and State
viewed the claim and determined that laws and regulations pertaining to debt
it is valid and overdue; within not less collection practicesfor example, the
250
Fair Debt Collection Practices Act (15 give serious consideration to the sus-
U.S.C. 1692), and 26 U.S.C. 6103(p)(4) and pension or revocation of licenses or
applicable regulations of the Internal other privileges for any inexcusable,
Revenue Service; prolonged, or repeated failure of a
(3) The contractor must be required debtor to pay such a claim. In the case
to account strictly for all amounts col- of a contractor under 48 CFR chapter
lected; and 18, NASA will comply with the debar-
(4) The contractor must agree to pro- ment, suspension, and ineligibility re-
vide any data contained in its files requirements of the NASA Federal Ac-
lating to collection actions and related quisition Regulation Supplement
reports, current address of debtor, and (NASA/FAR Supplement) at 48 CFR
reasonably current credit information 1809.4. Likewise, in making, guaran-
upon returning an account to NASA for teeing, insuring, acquiring, or partici-
subsequent referral to the Department pating in loans, NASA will give serious
of Justice for litigation. consideration to suspending or dis-
(b) Funding of collection service con- qualifying any lender, contractor,
tracts: broker, borrower, or other debtor from
(1) NASA may fund a collection serv- doing further business with it or engag-
ice contract on a fixed-fee basisthat ing in programs sponsored by it if such
is, payment of a fixed fee determined a debtor fails to pay its debts to the
without regard to the amount actually Government within a reasonable time.
collected under the contract. However, The failure of any surety to honor its
such contract may be entered into only obligations in accordance with 31
if and to the extent provided in the ap- U.S.C. 9305 must be reported to the
propriation act or other legislation, ex- Treasury Department at once. Notifi-
cept that this requirement does not cation that a suretys certificate of au-
apply to the use of a revolving fund authority to do business with the Federal
thorized by statute. Accordingly, pay- Government has been revoked or for-
ment of the fixed-fee must be charged feited by the Treasury Department will
to available agency appropriations. See be forwarded by that Department to all
4 CFR 102.6(b)(1) and (3). interested agencies.
(2) NASA may also fund a collection (b) If NASA is holding security or
service contract on a contingent-fee collateral which may be liquidated and
basisthat is, by including a provision the proceeds applied on debts due it
in the contract permitting the con- through the exercise of a power of sale
tractor to deduct its fee from amounts in the security instrument or a non-
collected under the contract. The fee judicial foreclosure, it should do so by
should be based on a percentage of the
such procedures if the debtor fails to
amount collected, consistent with pre-
pay the debt within a reasonable time
vailing commercial practice. See 4 CFR
after demand, unless the cost of dis-
102.6(b)(2).
posing of the collateral will be dis-
(3) Except as authorized under para-
proportionate to its value or special
graph (b)(2) of this section, or unless
circumstances require judicial fore-
otherwise specifically provided by law,
closure. NASA will provide the debtor
NASA must deposit all amounts recov-
with reasonable notice of the sale, an
ered under collection service contracts
accounting of any surplus proceeds,
(or by NASA employees on behalf of
and any other procedures required by
the agency) in the Treasury Depart-
applicable contract or law. Collection
ment as miscellaneous receipts pursu-
ant to 31 U.S.C. 3302. See 4 CFR from other sources, including liquida-
102.6(b)(4). tion of security or collateral, is not a
prerequisite to requiring payment by a
1261.410 Suspension or revocation of surety or insurance concern unless
license or eligibility; liquidation of such action is expressly required by
collateral. statute or contract.
(a) In seeking the collection of statu-
1261.411 Collection in installments.
tory penalties, forfeitures, or debts

provided for as an enforcement aid or (a) Whenever feasible, and except as
for compelling compliance, NASA will otherwise provided by law, debts owed
251
1261.412 14 CFR Ch. V (1116 Edition)
to the United States, together with in- among those debts, that designation
terest penalties, and administrative must be followed. If the debtor does not
costs as required by 1261.412, should be designate the application of the pay-
collected in full in one lump sum. This ment, agencies should apply payments
is true whether the debt is being col- to the various debts in accordance with
lected by administrative offset or by the best interests of the United States,
another method, including voluntary as determined by the facts and cir-
payment. However, if the debtor is fi- cumstances of the particular case, pay-
nancially unable to pay the indebted- ing special attention to applicable
ness in one lump sum, payment may be statutes of limitations.
accepted in regular installments. Debt-
ors who represent that they are unable 1261.412 Interest, penalties, and ad-
to pay the debt in one lump sum must ministrative costs.
submit financial statements. If NASA (a) Pursuant to 31 U.S.C. 3717, NASA
agrees to accept payment in regular in- shall assess interest, penalties, and ad-
stallments, it will obtain a legally en- ministrative costs on debts owed to the
forceable written agreement from the United States. Before assessing these
debtor which specifies all of the terms charges, NASA must mail or hand de-
of the arrangement and which contains liver a written notice to the debtor ex-
a provision accelerating the debt in the plaining the requirements concerning
event the debtor defaults. The size and the charges (see 1261.407(b)).
frequency of installment payments (b) Interest shall accrue from the
should bear a reasonable relation to date on which notice of the debt and
the size of the debt and the debtors the interest requirements is first
ability to pay. If possible, the install- mailed or hand delivered to the debtor
ment payments should be sufficient in (on or after October 25, 1982), using the
size and frequency to liquidate the most current address that is available
Governments claim in not more than 3 to the agency. If an advance billing
years. Installment payments of less procedure is usedthat is, a bill is
than $50 per month should be accepted mailed before the debt is actually
only if justifiable on the grounds of fi- owedit can include the required in-
nancial hardship or for some other rea- terest notification in the advance bill-
sonable cause. If the claim is unse- ing, but interest may not start to ac-
cured, an executed confess-judgment crue before the debt is actually owed.
note, comparable to the Department of Designated officials should exercise
Justice Form USA70a, should be ob- care to ensure that the notices re-
tained from a debtor when the total quired by this section are dated and
amount of the deferred installments mailed or hand delivered on the same
will exceed $750. Such notes may be day.
sought when an unsecured obligation of (c) The rate of interest assessed shall
a lesser amount is involved. When at- be the rate of the current value of
tempting to obtain confess-judgment funds to the United States Treasury
notes, the debtor should be provided (i.e., the Treasury tax and loan account
with written explanation of the con- rate), as prescribed and published by
sequences of signing the note, and doc- the Secretary of the Treasury in the
umentation should be maintained suffi- FEDERAL REGISTER and the Treasury
cient to demonstrate that the debtor Fiscal Requirements Manual Bulletins
has signed the note knowingly and vol- annually or quarterly, in accordance
untarily. Security for deferred pay- with 31 U.S.C. 3717. NASA may assess a
ments other than a confess-judgment higher rate of interest if it reasonably
note may be accepted in appropriate determines that a higher rate is nec-
cases. NASA, at its option, may accept essary to protect the interests of the
installment payments notwithstanding United States. The rate of interest, as
the refusal of a debtor to execute a initially assessed, shall remain fixed
confess-judgment note or to give other for the duration of the indebtedness,
security. except that where a debtor has de-
(b) If the debtor owes more than one faulted on a repayment agreement and
debt and designates how a voluntary seeks to enter into a new agreement,
installment payment is to be applied as NASA may set a new interest rate
252
which reflects the current value of relating to the compromise of claims

funds to the Treasury Department at (without regard to the amount of the
the time the new agreement is exe- debt), or if NASA determines that col-
cuted. Interest should not be assessed lection of these charges would be
on interest, penalties, or administra- against equity and good conscience or
tive costs required by this section. not in the best interests of the United
However, if the debtor defaults on a States. See 4 CFR 101.13(g). Such op-
previous repayment agreement, tional waivers should be handled on a
charges which accrued but were not case-by-case basis, in consultation with
collected under the defaulted agree- officials designated under 1261.403. Ex-
ment shall be added to the principal to amples of situations in which NASA
be paid under a new repayment agree-
may consider waiving interest and
ment.
other related charges are:
(d) NASA shall assess against a debt-
or charges to cover administrative (1) Pending consideration of a request
costs incurred as a result of a delin- for reconsideration or administrative
quent debtthat is, the additional review;
costs incurred in processing and han- (2) Acceptance of an installment plan
dling the debt because it became delin- or other compromise agreement, where
quent as defined in 1261.401(b). Cal- there is no indication of lack of good
culations of administrative costs faith on the part of the debtor in not
should be based upon actual costs in- repaying the debt, and the debtor has
curred or upon cost analyses estab- provided substantiating information of
lishing an average of actual additional inability to pay or other unavoidable
costs incurred by the agency in proc- hardship which reasonably prevented
essing and handling claims against the debt from being repaid.
other debtors in similar stages of delin- (h) Where a mandatory waiver or re-
quency. Administrative costs may in- view statute applies, interest and re-
clude costs incurred in obtaining a lated charges may not be assessed for
credit report or in using a private debt those periods during which collection
collector, to the extent they are attrib- action must be suspended under
utable to delinquency.
1261.416(c)(3).
(e) NASA shall assess a penalty
charge, not to exceed 6 percent a year, (i) Exemptions. (1) The provisions of 31
on any portion of a debt that is delin- U.S.C. 3717 do not apply:
quent as defined in 1261.401(b) for (i) To debts owed by any State or
more than 90 days. This charge need local government;
not be calculated until the 91st day of (ii) To debts arising under contracts
delinquency, but shall accrue from the which were executed prior to, and were
date that the debt became delinquent. in effect on (i.e., were not completed as
(f) When a debt is paid in partial or of) October 25, 1982;
installment payments, amounts re- (iii) To debts where an applicable
ceived by the agency shall be applied statute, regulation required by statute,
first to outstanding penalty and ad- loan agreement, or contract either pro-
ministrative cost charges, second to hibits such charges or explicitly fixes
accrued interest, and third to out- the charges that apply to the debts in-
standing principal. volved; or
(g) NASA must waive the collection (iv) Debts arising under the Social
of interest on the debt or any portion Security Act, the Internal Revenue
of the debt which is paid within 30 days Code of 1954, or the tariff laws of the
after the date on which interest began
United States.
to accrue. NASA may extend this 30-
day period, on a case-by-case basis, if it (2) NASA may, however, assess inter-
reasonably determines that such action est and related charges on debts which
is appropriate. Also, NASA may waive, are not subject to 31 U.S.C. 3717 to the
in whole or in part, the collection of in- extent authorized under the common
law or other applicable statutory au-
terest, penalties, and/or administrative

costs (assessed under this section) thority.
under the criteria specified in 1261.414
253
1261.413 14 CFR Ch. V (1116 Edition)
1261.413 Analysis of costs; automa- under one, or more than one, of those
tion; prevention of overpayments, paragraphs. If NASA then wishes to ac-
delinquencies, or defaults. cept the compromise, it must refer the
The Office of the NASA Comptroller matter to the Department of Justice,
will: using the Claims Collection Litigation
(a) Issue internal procedures to pro- Report. See 1261.417(e) or 4 CFR
vide for periodic comparison of costs 105.2(b). Claims for which the gross
incurred and amounts collected. Data amount is over $200,000 shall be re-
on costs and corresponding recovery ferred to the Commercial Litigation
rates for debts of different types and in Branch, Civil Division, Department of
various dollar ranges should be used to Justice, Washington, DC 20530. Claims
compare the cost effectiveness of alter- for which the gross original amount is
native collection techniques, establish $200,000 or less shall be referred to the
guidelines with respect to points at United States Attorney in whose judi-
which costs of further collection efforts cial district the debtor can be found.
are likely to exceed recoveries, and as- The referral should specify the reasons
sist in evaluating offers in com- for the agencys recommendation. If
promise. NASA has a debtors firm written offer
(b) Consider the need, feasibility, and of compromise which is substantial in
cost effectiveness of automated debt amount and the agency is uncertain as
collection operation. to whether the offer should be accept-
(c) Establish internal controls to ed, it may refer the offer, the sup-
identify causes, if any, of overpay- porting data, and particulars con-
ments, delinquencies, and defaults, and cerning the claim to the General Ac-
establish procedures for corrective accounting Office or to the Department
tions as needs dictate. of Justice. The General Accounting Of-
1261.414 Compromise of claims. fice or the Department of Justice may
act upon such an offer or return it to
(a) Designated NASA officials (see the agency with instructions or advice.
1261.402 and 1261.403) may com- If NASA wishes to reject the com-
promise claims for money or property promise, GAO or Department of Justice
arising out of the activities of the approval is not required.
agency where the claim, exclusive of (c) A claim may be compromised pur-
interest, penalties, and administrative suant to this section if NASA cannot
costs, does not exceed $20,000, prior to collect the full amount because of the
the referral of such claims to the Gen-
debtors inability to pay the full
eral Accounting Office, or to the De-
amount within a reasonable time, or
partment of Justice for litigation. The
the refusal of the debtor to pay the
Comptroller General may exercise such
claim in full and the Governments in-
compromise authority with respect to
ability to enforce collection in full
claims referred to the General Ac-
within a reasonable time by enforced
counting Office (GAO) prior to their
collection proceedings. In determining
further referral for litigation. Only the
the debtors inability or refusal to pay,
Comptroller General may effect the
the following factors, among others,
compromise of a claim that arises out
may be considered:
of an exception made by the GAO in
(1) Age and health of the debtor;
the account of an accountable officer,
including a claim against the payee, (2) Present and potential income;
prior to its referral by the GAO for liti- (3) Inheritance prospects;
gation. (4) The possibility that assets have
(b) When the claim, exclusive of in- been concealed or improperly trans-
terest, penalties, and administrative ferred by the debtor;
costs, exceeds $20,000, the authority to (5) The availability of assets or in-
accept the compromise rests solely come which may be realized by en-
with the Department of Justice. NASA forced collection proceedings; and
should evaluate the offer, using the (6) The applicable exemptions avail-
factors set forth in paragraphs (c) able to the debtor under State and Fed-
through (f) of this section, and may eral law in determining the Govern-
recommend compromise for reasons ments ability to enforce collection.
254
Uncertainty as to the price which col- cost of collection of any one claim may
lateral or other property will bring at exceed the amount of the claim does
forced sale may properly be considered not necessarily mean that the claim
in determining the Governments abil- should be compromised. The practical
ity to enforce collection. The com- benefits of vigorous collection of a
promise should be for an amount which small claim may include a demonstra-
bears a reasonable relation to the tion to other debtors that resistance to
amount which can be recovered by en- payment is not likely to succeed.
forced collection procedures, having re- (f) Enforcement policy. Statutory pen-
gard for the exemptions available to alties, forfeitures, or debts established
the debtor and the time which collec- as an aid to enforcement and to compel
tion will take. compliance may be compromised pur-
(d) A claim may be compromised if suant to this part if the agencys en-
there is a real doubt concerning the forcement policy in terms of deter-
Governments ability to prove its case rence and securing compliance, both
in court for the full amount claimed, present and future, will be adequately
either because of the legal issues in- served by acceptance of the sum to be
volved or a bona fide dispute as to the agreed upon. Mere accidental or tech-
facts. The amount accepted in com- nical violations may be dealt with less
promise in such cases should fairly re- severely than willful and substantial
flect the probability of prevailing on violations.
the legal question involved, the prob- (g) Compromises payable in install-
abilities with respect to full or partial ments are to be discouraged. However,
recovery of a judgment, paying due re- if payment of a compromise by install-
gard to the availability of witnesses ments is necessary, a legally enforce-
and other evidentiary support for the able agreement for the reinstatement
Government claim, and related prag- of the prior indebtedness less sums paid
matic considerations. In determining thereon and acceleration of the balance
the litigative risks involved, propor- due upon default in the payment of any
tionate weight should be given to the installment should be obtained, to-
probable amount of court costs and at- gether with security in the manner set
torney fees pursuant to the Equal Ac- forth in 1261.411, in every case in
cess to Justice Act which may be as- which this is possible.
sessed against the Government if it is (h) If the agencys files do not con-
unsuccessful in litigation. See 28 U.S.C. tain reasonably up-to-date credit infor-
2412. mation as a basis for assessing a com-
(e) A claim may be compromised if promise proposal, such information
the cost of collecting the claim does may be obtained from the individual
not justify the enforced collection of debtor by obtaining a statement exe-
the full amount. The amount accepted cuted under penalty of perjury showing
in compromise in such cases may re- the debtors assets and liabilities, in-
flect an appropriate discount for the come, and expenses. Forms such as De-
administrative and litigative costs of partment of Justice Form OBD500 or
collection, paying heed to the time OBD500B may be used for this purpose.
which it will take to effect collection. Similar data may be obtained from
Costs of collecting may be a substan- corporate debtors using a form such as
tial factor in the settlement of small Department of Justice Form OBD500C
claims, but normally will not carry or by resort to balance sheets and such
great weight in the settlement of large additional data as seems required.
claims. In determining whether the Samples of the Department of Justice
cost of collecting justifies enforced col- forms are available from the Office of
lection of the full amount, it is legiti- the NASA General Counsel. Neither a
mate to consider the positive effect percentage of a debtors profits nor
that enforced collection of some claims stock in a debtor corporation will be
may have on the collection of other accepted in compromise of a claim. In
claims. Since debtors are more likely negotiating a compromise with a busi-
to pay when first requested to do so if ness concern, consideration should be

an agency has a policy of vigorous col- given to requiring a waiver of the tax-
lection of all claims, the fact that the loss-carry-back rights of the debtor.
255
1261.415 14 CFR Ch. V (1116 Edition)
(i) Joint and several liability. When two terest, penalties, and administrative
or more debtors are jointly and sever- costs, the authority to suspend or ter-
ally liable, collection action will not be minate rests solely with the Depart-
withheld against one such debtor until ment of Justice. If the designated offi-
the other or others pay their propor- cial believes suspension or termination
tionate shares. NASA will not attempt may be appropriate, the matter should
to allocate the burden of paying such be evaluated using the factors set forth
claims as between the debtors but will in paragraphs (c) and (d) of this sec-
proceed to liquidate the indebtedness tion. If the agency concludes that sus-
as quickly as possible. Care should be pension or termination is appropriate,
taken that a compromise agreement it must refer the matter, with its rea-
with one such debtor does not release sons for the recommendation, to the
the agencys claim against the remain- Department of Justice, using the
ing debtors. The amount of a com- Claims Collection Litigation Report.
promise with one such debtor shall not See 1261.417(e) or 4 CFR 105.2(b). If
be considered a precedent or as morally NASA decides not to suspend or termi-
binding in determining the amount nate collection action on the claim,
which will be required from other debt- Department of Justice approval is not
ors jointly and severally liable on the required; or if it determines that its
claim. claim is plainly erroneous or clearly
without legal merit, it may terminate
1261.415 Execution of releases. collection action regardless of the
Upon receipt of full payment of a amount involved, without the need for
claim, or the amount in compromise of Department of Justice concurrence.
a claim as determined pursuant to (c) Suspension of collection activity(1)
1261.414, the official designated in Inability to locate debtor. Collection ac-
1261.402 will prepare and execute, on tion may be suspended temporarily on
behalf of the United States, an appro- a claim when the debtor cannot be lo-
priate release, which shall include the cated after diligent effort and there is
provision that it shall be void if pro- reason to believe that future collection
cured by fraud, misrepresentation, the action may be sufficiently productive
presentation of a false claim, or mu- to justify periodic review and action on
tual mistake of fact. the claim, with due consideration for
the size and amount which may be re-
1261.416 Suspending or terminating alized thereon. The following sources
collection action. may be of assistance in locating miss-
(a) The standards set forth in this ing debtors: Telephone directories; city
section apply to the suspension or ter- directories; postmasters; drivers li-
mination of collection action pursuant cense records; automobile title and
to 31 U.S.C. 3711(a)(3) on claims which registration records; state and local
do not exceed $20,000, exclusive of in- government agencies; the Internal Rev-
terest, penalties, and administrative enue Service (see 4 CFR 102.18); other
costs, after deducting the amount of Federal agencies; employers, relatives,
partial payments or collections, if any. friends; credit agency skip locate re-
NASA may suspend or terminate col- ports, and credit bureaus. Suspension
lection action under this part with reas to a particular debtor should not
spect to claims for money or property defer the early liquidation cf security
arising out of activities of the agency, for the debt. Every reasonable effort
prior to the referral of such claims to should be made to locate missing debt-
the General Accounting Office or to the ors sufficiently in advance of the bar of
Department of Justice for litigation. the applicable statute of limitations,
The Comptroller General (or designee) such as 28 U.S.C. 2415, to permit the
may exercise such authority with re- timely filing of suit if such action is
spect to claims referred to the General warranted. If the missing debtor has
Accounting Office prior to their further signed a confess-judgment note and is
referral for litigation. in default, referral of the note for the
(b) If, after deducting the amount of entry of judgment should not be de-
partial payments or collections, if any, layed because of the debtors missing
a claim exceeds $20,000, exclusive of in- status.
256
(2) Financial condition of debtor. Col- granted, by reasonable assurance that

lection action may also be suspended the debt could be recovered if the debt-
temporarily on a claim when the debt- or does not prevail; and
or owns no substantial equity in realty (iii) Collection of the debt will cause
or personal property and is unable to undue hardship.
make payments on the Governments (4) If the applicable statutes and reg-
claim or effect a compromise at the ulations would not authorize refund by
time, but the debtors future prospects the agency to the debtor of amounts
justify retention of the claim for peri- collected prior to agency consideration
odic review and action, and: of the debtors waiver/review request
(i) The applicable statute of limita- (in the event the agency acts favorably
tions has been tolled or started run- on it), collection action should ordi-
ning anew; or narily be suspended, without regard to
(ii) Future collection can be effected the factors specified for permissive
by offset, notwithstanding the statute waivers, unless it appears clear, based
of limitations, with due regard to the on the request and the surrounding cir-
10-year limitation prescribed by 31 cumstances, that the request is frivo-
U.S.C. 3716(c)(1); or lous and was made primarily to delay
(iii) The debtor agrees to pay interest collection. See 4 CFR 104.2.
on the amount of the debt on which (d) Termination of collection activity.
collection action will be temporarily
Collection activity may be terminated
suspended, and such temporary suspen-
and NASA may close its file on the
sion is likely to enhance the debtors
claim based on the following:
ability to fully pay the principle
amount of the debt with interest at a (1) Inability to collect any substan-
later date. tial amount. Collection action may be
(3) Request for waiver or administra- terminated on a claim when it becomes
tive review. If the statute under which clear that the Government cannot col-
waiver or administrative review is lect or enforce collection of any signifi-
sought is mandatory, that is, if it cant sum from the debtor, having due
prohibits the agency from collecting regard for the judicial remedies avail-
the debt prior to the agencys consider- able to the Government, the debtors
ation of the request for waiver or re- future financial prospects, and the ex-
view (see Califano v. Yamasaki, 422 U.S. emptions available to the debtor under
682 (1979)), then collection action must State and Federal law. In determining
be suspended until either: The agency the debtors inability to pay, the fol-
has considered the request for waiver/ lowing factors, among others, may be
review; or the applicable time limit for considered: Age and health of the debt-
making the waiver/review request, as or; present and potential income; in-
prescribed in a written notice, has ex- heritance prospects; the possibility
pired and the debtor, upon notice, has that assets have been concealed or im-
not made such a request. If the applica- properly transferred by the debtor; the
ble waiver/review statute is permis- availability of assets or income which
sive, that is, if it does not require all may be realized by enforced collection
requests for waiver/review to be consid- proceedings.
ered, and if it does not prohibit collec- (2) Inability to locate debtor. Collection
tion action pending consideration of a action may be terminated on a claim
waiver/request (for example, 5 U.S.C. when the debtor cannot be located, and
5584), collection action may be sus- either:
pended pending agency action on a (i) There is no security remaining to
waiver/review request based upon ap- be liquidated; or
propriate consideration, on a case-by- (ii) The applicable statute of limita-
case basis, as to whether: tions has run and the prospects of col-
(i) There is a reasonable possibility lecting by offset, notwithstanding the
that waiver will be granted or that the bar of the statute of limitations, are
debt (in whole or in part) will be found too remote to justify retention of the
not owing from the debtor; claim.

(ii) The Governments interests (3) Cost will exceed recovery. Collection
would be protected, if suspension were action may be terminated on a claim
257
1261.417 14 CFR Ch. V (1116 Edition)
when it is likely that the cost of fur- Branch, Civil Division, Department of
ther collection action will exceed the Justice, Washington, DC 20530.
amount recoverable thereby. (2) Claims for which the gross origi-
(4) Claim legally without merit. Collec- nal amount is $200,000 or less shall be
tion action should be terminated im- referred to the United States Attorney
mediately on a claim whenever it is de- in whose judicial district the debtor
termined that the claim is legally can be found. Referrals should be made
without merit. as early as possible, consistent with ag-
(5) Claim cannot be substantiated by gressive agency collection action and
evidence. Collection action should be the observance of the regulations con-
terminated when it is determined that tained in this subpart, and in any
the evidence necessary to prove the event, well within the period for bring-
claim cannot be produced or the nec- ing a timely suit against the debtor.
essary witnesses are unavailable and Ordinarily, referrals should be made
efforts to reduce voluntary payment within l year of the agencys final de-
are unavailing. termination of the fact and the amount
(e) Transfer of claim. When NASA has of the debt.
doubt as to whether collection action (3) Minimum amount. NASA is not to
should be suspended or terminated on a refer claims of less than $600, exclusive
claim, it may refer the claim to the of interest, penalties, and administra-
General Accounting Office for advice. tive costs, for litigation unless:
When a significant enforcement policy (i) Referral is important to a signifi-
is involved in reducing a statutory pen- cant enforcement policy; or
alty or forfeiture to judgment, or re- (ii) The debtor not only has the clear
covery of a judgment is a prerequisite ability to pay the claim but the Gov-
to the imposition of administrative ernment can effectively enforce pay-
sanctions, such as the suspension or ment, having due regard for the exemp-
revocation of a license or the privilege tions available to the debtor under
of participating in a Government spon- State and Federal law and the judicial
sored program, NASA may refer such a remedies available to the Government.
claim for litigation even though termi- (b) Claims arising from audit excep-
nation of collection activity might tions taken by the GAO to payments
otherwise be given consideration under made by agencies must be referred to
paragraphs (d)(1) and (2) of this section. the GAO for review and approval prior
Claims on which NASA holds a judg- to referral to the Department of Jus-
ment by assignment or otherwise will tice for litigation, unless NASA has
be referred to the Department of Jus- been granted an exception by the GAO.
tice for further action if renewal of the Referrals shall comply with instruc-
judgment lien or enforced collection tions, including monetary limitations,
proceedings are justified under the cri- contained in the GAO Policy and Pro-
teria discussed in this section. cedures Manual for Guidance to Fed-
eral Agencies and paragraphs (e) and (f)
1261.417 Referral to Department of of this section.
Justice (DJ) or General Accounting (c) When the merits of the claim, the
Office (GAO). amount owed on the claim, or the pro-
(a) Prompt referral. Except as provided priety of acceptance of a proposed com-
in paragraphs (b) and (c) of this sec- promise, suspension, or termination
tion, claims on which aggressive col- are in doubt, the designated official
lection action has been taken in ac- should refer the matter to the General
cordance with 1261.406 and which can- Accounting Office for resolution and
not be compromised, or on which col- instructions prior to proceeding with
lection action cannot be suspended or collection action and/or referral to the
terminated, in accordance with Department of Justice for litigation.
1261.414 and 1261.416, shall be prompt- (d) Once a claim has been referred to
ly referred to the Department of Jus- GAO or to the Department of Justice
tice for litigation. pursuant to this section, NASA shall
(1) Claims for which the gross origi- refrain from having any contact with
nal amount is over $200,000 shall be re- the debtor about the pending claim and
ferred to the Commercial Litigation shall direct the debtor to GAO or to
258
the DJ, as appropriate, when questions (ii) An agency investigative report

concerning the claim are raised by the showing the debtors assets, liabilities,
debtor. GAO or the DJ, as appropriate, income, and expenses;
shall be immediately notified by NASA (iii) The individual debtors own fi-
of any payments which are received nancial statement executed under pen-
from the debtor subsequent to referral alty of perjury reflecting the debtors
of a claim under this section. assets, liabilities, income, and ex-
(e) Claims Collection Litigation Report penses; or
(CCLR). Unless an exception has been (iv) An audited balance sheet of a
granted by the Department of Justice corporate debtor.
in consultation with the General Ac- (4) Reasons for credit data omissions.
counting Office, the Claims Collection The credit data may be omitted if:
Litigation Report (CCLR), which was (i) A surety bond is available in an
officially implemented by NASA, effec- amount sufficient to satisfy the claim
tive March 1, 1983, shall be used with in full;
(ii) The forced sale value of the secu-
all referrals of administratively
rity available for application to the
uncollectible claims. As required by
Governments claim is sufficient to
the CCLR, the following information
satisfy the claim in full;
must be included:
(iii) NASA wishes to liquidate loan
(1) Report of prior collection actions. A collateral through judicial foreclosure
checklist or brief summary of the ac- but does not desire a deficiency judg-
tions previously taken to collect or ment;
compromise the claim. If any of the ad- (iv) The debtor is in bankruptcy or
ministrative collection actions have receivership;
been omitted, the reason for their (v) The debtors liability to the Gov-
omission must be provided. GAO, the ernment is fully covered by insurance,
United States Attorney, or the Civil in which case NASA will furnish such
Division of the Department of Justice information as it can develop con-
may return claims at their option cerning the identity and address of the
when there is insufficient justification insurer and the type and amount of in-
for the omission of one or more of the surance coverage; or
administrative collection actions enu- (vi) The status of the debtor is such
merated in this subpart (see 4 CFR part that credit data is not normally avail-
102). able or cannot reasonably be obtained,
(2) Current address of debtor. The cur- for example, a unit of State or local
rent address of the debtor, or the name government.
and address of the agent for a corpora- (f) Preservation of evidence. Care will
tion upon whom service may be made. be taken to preserve all files, records,
Reasonable and appropriate steps will and exhibits on claims referred or to be
be taken to locate missing parties in referred to the Department of Justice
all cases. Referrals to the Department for litigation. Under no circumstances
of Justice for the commencement of should original documents be sent to
foreclosure of other proceedings, in the Department of Justice or the
which the current address of any party United States Attorney without spe-
is unknown, will be accompanied by a cific prior approval to do so. Copies of
listing of the prior known addresses of relevant documents should be sent
such party and a statement of the steps whenever necessary.
taken to locate that party.
(3) Credit data. Reasonably current Subpart 1261.5Administrative
credit data which indicates that there Offset of Claims
is a reasonable prospect of effecting en-
forced collection from the debtor, hav- SOURCE: 52 FR 19487, May 26, 1987, unless
ing due regard for the exemptions otherwise noted.
available to the debtor under State and
Federal law and the judicial remedies 1261.500 Scope of subpart.
available to the Government. Such (a) This subpart applies to collection

credit data may take the form of: of claims by administrative offset
(i) A commercial credit report; under section 5 of the Federal Claims
259
1261.501 14 CFR Ch. V (1116 Edition)
Collection Act of 1966 as amended by by the Government for, a person to sat-

the Debt Collection Act of 1982 (31 isfy a debt the person owes the Govern-
U.S.C. 3716), other statutory authority, ment.
or the common law; it does not include
Salary Offset, which is governed by 1261.502 Notification procedures.
subpart 1261.6, infra. Consistent with 4 (a) Before collecting any claims
CFR 102.3, collection by administrative through administrative offset, a 30-day
offset will be undertaken by NASA on written notice must be sent to the
all liquidated or certain in amount debtor by certified mail, return receipt
claims in every instance in which such requested. The notice must include:
collection is determined to be feasible (1) The nature and amount of the
and not otherwise prohibited. debt;
(b) Whether collection by administra- (2) NASAs intention to collect by ad-
tive offset is feasible is a determina- ministrative offset; and
tion to be made by NASA on a case-by- (3) An explanation of the debtors
case basis, in the exercise of sound dis- rights under 31 U.S.C. 3716(a), or other
cretion. NASA will consider not only relied upon statutory authority, which
whether administrative offset can be must include a statement that the
accomplished, both practically and le- debtor has the opportunity, within the
gally, but also whether offset is best 30-day notice period, to:
suited to further and protect all of the (i) Inspect and copy records of NASA
Governments interests. In appropriate with respect to the debt;
circumstances, NASA may give due (ii) Request a review by NASA of its
consideration to the debtors financial decision related to the claim; and
condition; or whether offset would tend (iii) Enter into a written agreement
to substantially interfere with or de- with the designated official (see
feat the purposes of the program au- 1261.402) to repay the amount of the
thorizing the payments against which claim. However, sound judgment
offset is contemplated. For example, should be exercised in determining
under a grant program in which pay- whether to accept a repayment agree-
ments are made in advance of the ment in lieu of offset. The determina-
grantees performance, offset will nor- tion should balance the Governments
mally be inappropriate. interest in collecting the debt against
(c) NASA is not authorized by 31 fairness to the debtor. If the debt is de-
U.S.C. 3716 to use administrative offset linquent and the debtor has not dis-
with respect to: puted its existence or amount, NASA
(1) Debts owed by any State or local should accept a repayment agreement
Government; in lieu of offset only if the debtor is
(2) Debts arising under or payments able to establish that offset would re-
made under the Social Security Act, sult in undue financial hardship or
the Internal Revenue Code of 1954, or would be against equity and good con-
the tariff laws of the United States; or science.
(3) Any case in which collection of (b) NASA may effect administrative
the type of debt involved by adminis- offset against a payment to be made to
trative offset is explicitly provided for a debtor prior to the completion of the
or prohibited by another statute. How- procedures required by paragraph (a) of
ever, unless otherwise provided by con- this section if:
tract or law, debts or payments which (1) Failure to take the offset would
are not subject to administrative offset substantially prejudice the Govern-
under 31 U.S.C. 3716 may be collected ments ability to collect the debt; and
by administrative offset under the (2) The time before the payment is to
common law or other applicable statu- be made does not reasonably permit
tory authority. the completion of those procedures.
Such prior offset must be promptly fol-
1261.501 Definition. lowed by the completion of those pro-
Administrative offsetthe term, as de- cedures. Amounts recovered by offset
fined in 31 U.S.C. 3701(a)(1), means but later found not to be owed to the
withholding money payable by the Government shall be promptly re-
United States Government to, or held funded.
260
(3) In cases where the procedural re- bility or veracity and NASA has deter-
quirements of paragraph (a) of this sec- mined that review of the written
tion had previously been provided to record is ordinarily an adequate means
the debtor in connection with the same to correct prior mistakes. In admin-
debt under some other statutory or istering such a system, the agency is
regulatory authority, such as pursuant not required to sift through all of the
to a notice of audit disallowance or sal- requests received in order to accord
ary offset under 1261.603, the agency is oral hearings in those few cases which
not required to duplicate those require- may involve issues of credibility or ve-
ments before taking administrative racity. See 4 CFR 102.3(c)(2).
offset. (c) In those cases where an oral hear-
ing is not required or granted, NASA
1261.503 Agency records inspection; will nevertheless accord the debtor a
hearing or review. paper hearingthat is, the agency
(a) NASA shall provide the debtor will make its determination on the re-
with a reasonable opportunity for an quest for waiver or reconsideration
oral hearing when: based upon a review of the available
(1) An applicable statute authorizes written record. See 4 CFR 102.3(c)(3). In
or requires the agency to consider such case, the responsible official or
waiver of the indebtedness involved, designee shall refer the request to the
the debtor requests waiver of the inappropriate NASA legal counsel for re-
debtedness, and the waiver determina- view and determination by counsel or
tion turns on an issue of credibility or designee.
veracity; or (d) A request to inspect and/or copy
(2) The debtor requests reconsider- the debtors own debt records or re-
ation of the debt and the agency deter- lated files, and/or for a hearing or re-
mines that the question of the indebt- view accompanied by a statement of
edness cannot be resolved by review of the basis or grounds for such hearing or
the documentary evidence, for exam- review, must be submitted within 30
ple, when the validity of the debt turns calendar days of the receipt of the
on an issue of credibility or veracity. written notice under 1261.502(a). A
Unless otherwise required by law, an reasonable time to inspect and copy
oral hearing under this section is not records will be provided during official
required to be a formal evidentiary- working hours, but not to exceed 5
type hearing, although significant mat- business days, unless a verified state-
ters discussed at the hearing should be ment showing good cause requires a
carefully documented. See 4 CFR longer period. Any suspension of collec-
102.3(c)(1). Such hearing may be an in- tion or other charges during the period
formal discussion/interview with the of the inspection, or hearing or review,
debtor, face-to-face meeting between shall comply with 1261.412 and
debtor and cognizant NASA personnel, 1261.416. Requests for or consideration
or written formal submission by the of compromising the debt must comply
debtor and response by the NASA cog- with 1261.414.
nizant personnel with an opportunity
for oral presentation. The hearing will 1261.504 Interagency requests.
be conducted before or in the presence (a) Requests to NASA by other Fed-
of an official designated by the NASA eral agencies for administrative offset
General Counsel or designee on a case- should be in writing and forwarded to
by-case basis. The decision of the re- the Office of the NASA Comptroller,
viewing/hearing official should be com- NASA Headquarters, Washington, DC
municated in writing (no particular 20546.
form is required) to the affected par- (b) Requests by NASA to other Fed-
ties, and will constitute the final ad- eral agencies holding funds payable to
ministrative decision of the agency. the debtor should be in writing and for-
(b) Paragraph (a) of this section does warded, certified return receipt, as
not require an oral hearing with re- specified by that agency in its regula-
spect to debt collection systems in tions; however, if such rule is not read-
which determinations of indebtedness ily available or identifiable, the re-
or waiver rarely involve issues of credi- quest should be submitted to that
261
1261.505 14 CFR Ch. V (1116 Edition)
agencys office of legal counsel with a owed to the United States by the debt-
request that it be processed in accord- or. Such requests shall be made to the
ance with their internal procedures. appropriate officials of the Office of
(c) Requests to and from NASA Personnel Management (OPM) in ac-
should be processed within 30 calendar cordance with the OPM regulations
days of receipt. If such processing is (see 5 CFR 831.1801, et seq.).
impractical or not feasible, notice to (b) When making a request for ad-
extend the time period for another 30 ministrative offset under paragraph (a)
calendar days should be forwarded 10 of this section, NASA shall include a
calendar days prior to the expiration of written certification that:
the first 30-day period. (1) The debtor owes the United States
(d) Requests from or to NASA must a debt, including the amount of the
be accompanied by a certification that debt;
the debtor owes the debt (including the (2) NASA has complied with the ap-
amount) and that the provisions of (or plicable statutes, regulations, and pro-
comparable to) subpart 1261.5 or sub- cedures of the Office of Personnel Man-
part 1261.6, as applicable, have been agement; and
fully complied with. NASA will cooper- (3) NASA has complied with the re-
ate with other agencies in effecting quirements of this subpart 1261.5 which
collection. implements 4 CFR 102.3, including any
required hearing or review.
1261.505 Multiple debts. (c) Once NASA has decided to request
When collecting multiple debts by administrative offset under this sec-
administrative offset, NASA will apply tion, the request should be made as
the recovered amounts to those debts soon as practical after completion of
in accordance with the best interests of the applicable procedures in order that
the United States, as determined by the Office of Personnel Management
the facts and circumstances of the par- may identify and flag the debtors
ticular case, paying special attention account in anticipation of the time
to applicable statutes of limitations. when the debtor requests or becomes
eligible to receive payments from the
1261.506 Limitation periods. Fund. This will satisfy any require-
NASA may not initiate administra- ment that offset be initiated prior to
tive offset to collect a debt under 31 expiration of the applicable statute of
U.S.C. 3716 more than 10 years after the limitations. At such time as the debtor
Governments right to collect the debt makes a claim for payments from the
first accrued, unless facts material to Fund, if at least a year has elapsed
the Governments right to collect the since the offset request was originally
debt were not known and could not rea- made, the debtor should be permitted
sonably have been known by the offi- to offer a satisfactory repayment plan
cial or officials of the Government who in lieu of offset upon establishing that
were charged with the responsibility to changed financial circumstances would
discover and collect such debts. Deter- render the offset unjust.
mination of when the debt first accrued (d) If NASA collects part or all of the
is to be made in accordance with exist- debt by other means before deductions
ing law regarding the accrual of debts, are made or completed pursuant to
such as under 28 U.S.C. 2415. See 4 CFR paragraph (a) of this section, the des-
102.3(b)(3). ignated official should act promptly to
modify or terminate the agencys re-
1261.507 Civil Service Retirement quest to OPM for offset.
and Disability Fund. (e) OPM is not required or authorized
(a) Unless otherwise prohibited by by 4 CFR 102.4 to review the merits of
law, NASA may request that moneys NASAs determination with respect to:
which are due and payable to a debtor (1) The amount and validity of the
from the Civil Service Retirement and debt;
Disability Fund be administratively (2) Waiver under an applicable stat-
offset in reasonable amounts in order ute; or

to collect in one full payment or a (3) Provide or not provide an oral
minimal number of payments debts hearing.
262
1261.508 Offset against a judgment. (2) Waiver requests and claims to the
Collection by offset against a judg- General Accounting Office. This subpart
ment obtained by a debtor against the does not preclude an employee from re-
United States shall be accomplished in questing waiver of a salary overpay-
accordance with 31 U.S.C. 3728. ment under 5 U.S.C. 5584, 10 U.S.C. 2774,
or 32 U.S.C. 716, or in any way ques-
tioning the amount or validity of a
Subpart 1261.6Collection by debt by submitting a subsequent claim
Offset From Indebted Govern- to the General Accounting Office in ac-
ment Employees cordance with procedures prescribed by
the General Accounting Office. Simi-
SOURCE: 52 FR 19487, May 26, 1987, unless larly, in the case of other types of
otherwise noted. debts, it does not preclude an employee
from requesting waiver, if waiver is
1261.600 Purpose of subpart. available under any statutory provi-
This subpart implements 5 U.S.C. sion pertaining to the particular debt
5514 in accordance with the OPM regu- being collected.
lation and establishes the procedural
requirements for recovering pre-judg- 1261.602 Definitions.
ment debts from the current pay ac- For purposes of this subpart:
count of an employee through what is (a) Agency means:
commonly called salary offset, includ- (1) An Executive agency as defined in
ing a situation where NASA (the cur- section 105 of title 5, United States
rent paying agency) is not the employ- Code, including U.S. Postal Service and
ees creditor agency. Salary offset to the U.S. Postal Rate Commission;
satisfy a judgment or a court deter- (2) A military department as defined
mined debt is governed by section 124 in section 102 of Title 5, United States
of Pub. L. 97276 (October 2, 1982), 5 Code;
U.S.C. 5514 note. (3) An agency or court in the judicial
branch, including a court as defined in
1261.601 Scope of subpart. section 610 of Title 28, United States
(a) Coverage. This subpart applies to Code, the District Court for the North-
agencies and employees as defined in ern Mariana Islands, and the Judicial
1261.602. Panel on Multidistrict Litigation;
(b) Applicability. This subpart and 5 (4) An agency of the legislative
U.S.C. 5514 apply in recovering certain branch, including the U.S. Senate and
prejudgment debts by administrative the U.S. House of Representatives; and
offset except where the employee con- (5) Other independent establishments
sents to the recovery, from the current that are entities of the Federal Govern-
pay account of an employee. Because it ment.
is an administrative offset, debt collec- (b) Creditor agency means the agency
tion procedures for salary offset which to which the debt is owed.
are not specified in 5 U.S.C. 5514 and (c) Debt means an amount owed to
this subpart should be consistent with the United States from sources which
subpart 1261.5. include loans insured or guaranteed by
(1) Excluded debts or claims. The proce- the United States and all other
dures contained in this subpart do not amounts due the United States from
apply to debts or claims arising under fees, leases, rents, royalties, services,
the Internal Revenue Code of 1954 as sales of real or personal property, over-
amended (26 U.S.C. 1 et seq.), the Social payments, penalties, damages, interest,
Security Act (42 U.S.C. 301 et seq.), or fines and forfeitures (except those aris-
the tariff laws of the United States; or ing under the Uniform Code of Military
to any case where collection of a debt Justice), and all other similar sources.
by salary offset is explicitly provided (d) Disposable pay means that part of
for or prohibited by another statute current basic pay, special pay, incen-
(e.g., travel advances in 5 U.S.C. 5705, tive pay, retired pay, retainer pay, or
employee training expenses in 5 U.S.C. in the case of an employee not entitled

4108, and debts determined by a court to basic pay, other authorized pay re-
as provided in 5 U.S.C. 5514 note). maining after the deduction of any
263
1261.603 14 CFR Ch. V (1116 Edition)
amount required by law to be withheld. (4) The right for an opportunity

NASA must exclude deductions listed (which does not toll the running of the
in OPMs garnishment regulations at 5 30-day period) to inspect and copy
CFR 581.105 (b) through (f) to determine NASA records relating to the debt or
disposable pay subject to salary offset. to request and receive (if reasonable) a
(e) Employee means a current em- copy of such records, provided that
ployee of an agency, including a cur- such opportunity must be exercised on
rent member of the Armed Forces or a or before the 15th day following receipt
Reserve of the Armed Forces (Re- of the notice and can be conducted only
serves). during official working hours for a rea-
(f) Paying agency means the agency sonable period of time not to exceed 5
employing the individual and author- working days;
izing the payment of his or her current (5) If not previously provided, the op-
pay. portunity (under terms agreeable to
(g) Salary offset means an administra- NASA) to establish a schedule for the
tive offset to collect a debt under 5 voluntary repayment of the debt or to
U.S.C. 5514 by deduction(s) at one or enter into a written agreement to es-
more officially established pay inter- tablish a schedule for repayment of the
vals from the current pay account of debt in lieu of offset. The agreement
an employee without his or her con- must be in writing, signed by both the
sent. employee and the authorized agency of-
(h) Waiver means the cancellation, ficial (see 14 CFR 1261.402) and docu-
remission, forgiveness, or nonrecovery mented in NASAs files (see 14 CFR
of a debt allegedly owed by an em- 1261.407(d));
ployee to an agency as permitted or re- (6) An opportunity for a hearing, as
quired by 5 U.S.C. 8346(b), or any other provided in paragraph (c) of this sec-
law. tion, on the agencys determination
concerning the existence and amount
1261.603 Procedures for salary offset. of the debt, and the terms of the repay-
If NASA is both the paying and cred- ment schedule (in the case of an em-
itor agency, the following require- ployee whose repayment schedule is es-
ments must be met before a deduction tablished other than by written agree-
is made from the current pay account ment);
of an employee. (7) The hearing request should be ad-
(a) Written notice. The employee must dressed to the Office of the NASA Gen-
be sent a minimum of 30 days written eral Counsel or to the Office of Chief
notice, which specifies: Counsel of the NASA installation in-
(1) The origin, nature and amount of volved, as appropriate; counsels name
the indebtedness, and the official to and address will be as stated in the no-
contact within the agency (ordinarily, tice.
the designated financial management (8) Any other rights and remedies
official for the particular installation); available to the employee under stat-
(2) The intention of the agency to ini- utes or regulations governing the pro-
tiate collection of the debt through sal- gram for which the collection is being
ary offset by deductions from the em- made; and
ployees current disposable pay, stating (9) Unless there are applicable con-
the amount, frequency, proposed begin- tractual or statutory provisions to the
ning date, and duration of intended de- contrary, that amounts paid on or de-
ductions (the amount to be deducted ducted for the debt which are later
for any period, without the consent of waived or found not owed to the United
the employee, may not exceed 15 per- States will be promptly refunded to the
cent of disposable pay); employee.
(3) An explanation of any interest, (b) Exception to entitlement to written
penalties, or administrative costs in- notice. NASA is not required to comply
cluded in the amount, and that such with paragraph (a) of this section for
assessment must be made unless ex- any adjustment to pay arising out of
cused in accordance with 14 CFR an employees election of coverage or a
1261.412; change in coverage under a Federal
264
benefits program requiring periodic de- (iii) Criminal penalties under sec-
ductions from pay, if the amount to be tions 286, 287, 1001, and 1002 of Title 18,
recovered was accumulated over four United States Code, or any other appli-
pay periods or less. cable statutory authority.
(c) Petition filing; hearing; decision and (5) The form and content of the hear-
review. The notice described in para- ing will be determined by the hearing
graph (a) of this section should include official depending on the nature and
the following provisions, which may be complexity of the transaction giving
copied and attached to the notice. rise to the debt. The hearing is not an
(1) The employee may petition for a adversarial adjudication, and need not
hearing, but such petition must be in take the form of an evidentiary hear-
writing and received by NASA on or being. However, depending on the par-
fore the 15th day following receipt of ticular facts and circumstances, the
the notice, and include a statement of hearing may be analogous to a fact-
the reasons for such hearing. No par- finding proceeding with oral presen-
ticular form is required, and a timely, tations; or an informal meeting with or
legible letter request (with the stated interview of the employee; or formal
reasons) will suffice; however, the em- written submissions, with an oppor-
ployee must sign the petition and in- tunity for oral presentation, and deci-
clude with it, with reasonable speci- sion based on the available written
ficity, all the supporting facts and evi- record. Ordinarily, hearings may con-
dence, including a list of the witnesses, sist of informal conferences before the
if any. hearing official in which the employee
and agency officials will be given full
(2) The petition should be addressed
opportunity to present evidence, wit-
to the agency counsel designated in the
nesses, and argument. The employee
notice, but the hearing will be con-
may represent himself or herself or be
ducted by an official not under the su-
represented by an individual of his or
pervision or control of the NASA Ad-
her choice. The hearing official must
ministrator or by appointment of an
maintain a summary record of the
administrative law judge. Notice of the
hearing provided under this subpart.
name and address of the hearing offi- For additional guidance, see 14 CFR
cial will be sent to the employee within 1261.503.
10 days of receipt of petition. A hearing (6) The decision will be in writing and
official will be designated on a case-by- state:
case basis under reimbursable arrange- (i) The facts purported to evidence
ments or through direct payment as the nature and origin of the alleged
events may warrant. debt;
(3) The timely filing of the petition (ii) The respective positions of the
will stay the commencement of collec- agency and of the employee;
tion; and the final decision on the hear- (iii) The hearing officials analysis
ing will be issued at the earliest prac- (which address the employees/agencys
ticable date, but not later than 60 days grounds, the amount and validity of
after the filing of the petition request- the alleged debt, and, where applicable,
ing the hearing unless the employee re- the repayment schedule); and
quests and the hearing official grants a (iv) The hearing officials findings
delay in the proceedings. and conclusions.
(4) Any knowingly false or frivolous (7) The hearing official will notify
statements, representations, or evi- the employee, the NASA Comptroller
dence may subject the employee to: or designee, and the designated agency
(i) Disciplinary procedures appro- counsel of the decision.
priate under Chapter 75 of Title 5, (8) The decision of the hearing offi-
United States Code, 5 CFR part 752, or cial shall constitute the Final Admin-
any other applicable statutes or regu- istrative Decision of the agency.
lations; (d) Petition after time expiration. No
(ii) Penalties under the False Claims petition for a hearing is to be granted
Act, sections 3729 through 3731 of Title if made after the 15-day period pre-
31, United States Code, or any other scribed in paragraph (c)(1) of this sec-
applicable statutory authority; or tion, unless the employee can show to
265
1261.604 14 CFR Ch. V (1116 Edition)
the satisfaction of the agency official lump-sum leave, if applicable. If the

indicated on the notice that the delay debt is not fully paid by offset from
was caused by circumstances beyond any final payment due the former em-
his or her control (for example, proven ployee as of the date of separation, off-
incapacity, illness, or hospitalization), set may be made from later payments
or that the agency did not give notice of any kind due the former employee
of the time limit and the employee was from the United States (as provided in
otherwise unaware of such limit. 14 CFR part 1261 subpart 1261.5, includ-
(e) Limitation on amount and duration ing offset from the Civil Service Re-
of deductions. Ordinarily, debts must be tirement and Disability Fund under 14
collected in one lump-sum payment. CFR 1261.507).
However, if the employee is financially (h) Interest, penalties, and administra-
unable to pay in one lump sum or if the tive costs. Assessment of interest, pen-
amount of the debt exceeds 15 percent alties, and administrative costs, on
of disposable pay for an officially es- debts being collected under this sub-
tablished pay interval, collection must part, shall be in accordance with 14
be made in installments. The size of in- CFR 1261.412 which implements 4 CFR
stallment deductions must bear a rea- 102.13.
sonable relationship to the size of the
debt and the employees ability to pay 1261.604 Nonwaiver of rights by in-
(see 14 CFR 1261.411), but the amount voluntary setoff.
deducted for any period must not ex- The employees involuntary payment
ceed 15 percent of the disposable pay of all or any portion of the debt, being
from which the deduction is made (un- collected under this subpart, must not
less the employee has agreed in writing be construed as a waiver of any rights
to the deduction of a greater amount). which the employee may have under an
Deduction must commence with the existing written contract applicable to
next full pay interval (ordinarily, the the specific debt or under any other
next biweekly pay period). Such in- pertinent statutory authority for the
stallment deductions must be made collection of claims of the United
over a period not greater than the an- States or the agency.
ticipated period of active duty or em-
ployment, as the case may be, except 1261.605 Refunds.
as provided in paragraph (f) of this sec- (a) NASA will promptly refund to the
tion. employee amounts paid or deducted
(f) Determining ability to pay. An off- under this subpart when:
set may produce an extreme financial (1) A debt is waived or otherwise
hardship for an employee if it prevents found not owing the United States (un-
the employee from meeting costs nec- less expressly prohibited by statute or
essarily incurred for essential subsist- regulation); or
ence expenses for food, reasonable (2) The employees paying agency is
housing, clothing, transportation, and directed by an administrative or judi-
medical care. In determining whether cial order to refund amounts deducted
an offset would prevent the employee from his or her current pay.
from meeting the essential subsistence (b) Refunds are not to bear any inter-
expenses, the employee may be re- est unless the law applicable to that
quired to show income from all sources particular debt specifically requires or
(including spouse and dependents, if ap- permits a stated interest amount on re-
plicable), list all known assets, explain funds.
exceptional expenses, and produce any
other relevant factors. 1261.606 Salary offset request by a
(g) Liquidation from final check; other creditor agency other than NASA
recovery. If the employee retires or re- (the current paying agency).
signs from Federal service, or if his or (a) Format of the request. Upon com-
her employment or period of active pletion of the procedures established
duty ends before collection of the debt by the creditor agency under 5 U.S.C.
is completed, the balance may be de- 5514, the creditor agency must:
ducted from the final salary payment (1) Certify, in writing, that the em-
and any remaining balance from the ployee owes the debt, the amount and
266
basis of the debt, the date on which (2) Employees who have already sepa-
payment(s) is/are due, the date the rated. If the employee is already sepa-
Governments right to collect the debt rated and all payments due from NASA
first accrued, and that the creditor have been paid, NASA must return the
agencys regulations implementing 5 claim to the creditor agency for any
U.S.C. 5514 have been approved by further collection, indicating the em-
OPM; ployees date of separation and the cur-
(2) If the collection must be made in rent employment and mailing ad-
installments, the creditor agency must dress(es), if known.
also advise NASA of the number of in- (3) Employee who transfers from
stallments to be collected, the amount NASA to another Federal agency.
of each installment, and the com- (i) Certification of amount collected. If,
mencing date of the first installment, after the creditor agency has sub-
if a date other than the next officially mitted the debt claim to NASA, the
established pay period is required; and employee transfers to another Federal
(3) Unless the employee has con- agency before the debt is collected in
sented to the salary offset in writing or full, NASA must then certify the total
signed a statement acknowledging re- amount of the collection made on the
ceipt of the required procedures and debt. A copy of the certification should
the writing or statement is attached to be furnished the employee, and another
the debt claim request, the creditor copy furnished to the creditor agency
agency must also indicate the action(s) along with notice of the employees
taken under 5 U.S.C. 5514(a)(2) and give transfer.
the date(s) the action(s) was/were (ii) Official personnel folder insertion;
taken. new paying agency. Information on the
(b) Limitation period. The creditor debt claim must be inserted in the em-
agency may not initiate offset to col- ployees official personnel folder along
lect a debt more than 10 years after the with a copy of the certification of the
Governments right to collect the debt amount which has been collected. Upon
first accrued, except as provided in 14 receiving the official personnel folder,
CFR 1261.506, which implements 4 CFR the new paying agency must resume
102.3(b)(3). the collection from the employees cur-
(c) Employees who are separating or rent pay account and notify the em-
have separated(1) Employees who are in ployee and the creditor agency of the
the process of separating. If the em- resumption. It will not be necessary for
ployee is in the process of separating, the creditor agency to repeat the due
the creditor agency must submit its process procedures described by 5
debt claim to the employees paying U.S.C. 5514 of this subpart in order to
agency for collection as provided in 5 resume the collection. However, it will
CFR 550.1104(1) of the OPM regulations be the responsibility of the creditor
(14 CFR 1261.603(f)) for liquidation agency to review the debt upon receiv-
from final check. NASA must then ing NASAs notice of the employees
certify the total amount of its collec- transfer to make sure the collection is
tion and notify the creditor agency and resumed by the new paying agency.
the employee as provided in paragraph (d) Processing the debt claim upon re-
(c)(3) of this section. If NASA is aware ceipt(1) Incomplete claim. If NASA re-
that the employee is entitled to pay- ceives incomplete debt claim informa-
ments from the Civil Service Retire- tion, it must return the request with a
ment and Disability Fund, or other notice that procedures under 5 U.S.C.
similar payments, it should notify the 5514 and this subpart must be provided
creditor agency and forward the copy and complete debt claim information
of the debt claim and certification to received before action will be taken to
the agency responsible for making such collect from the employees current
payments as notice that a debt is out- pay account.
standing. However, the creditor agen- (2) Complete claim. If NASA receives a
cy, not NASA, must submit a properly properly documented debt claim, de-
certified claim to the agency respon- ductions should be scheduled to begin

sible for making such payments before prospectively at the next officially es-
collection can be made. tablished pay interval. A copy of the
267
1261.607 14 CFR Ch. V (1116 Edition)
debt claim request must be given to 1262.203 Documentation of fees and ex-
the debtor, along with notice of the penses.
date deductions will commence if dif- 1262.204 When an application may be filed.
ferent from that stated on the debt
Subpart 1262.3Procedures for
claim request.
Considering Applications
(3) NASA is not required or author-
ized to review the merits of the cred- 1262.301 Filing and service of documents.
itor agencys determination with re- 1262.302 Answer to application.
spect to the amount or validity of the 1262.303 Reply.
debt as stated in the debt claim re- 1262.304 Comments by other parties.
quest. 1262.305 Settlement.
1262.306 Further proceedings.
1261.607 Obtaining the services of a 1262.307 Decision.
hearing official. 1262.308 Agency review.
1262.309 Judicial review.
(a) When the debtor does not work 1262.310 Payment of award.
for the creditor agency and the cred-
itor agency cannot provide a prompt AUTHORITY: 5 U.S.C. 504; 51 U.S.C. 20113(a).
and appropriate hearing before an ad- SOURCE: 51 FR 15311, Apr. 23, 1986, unless
ministrative law judge or before a otherwise noted.
hearing official furnished pursuant to
another lawful arrangement, the cred- Subpart 1262.1General
itor agency may contact an agent of
the paying agency designated in appen-
Provisions
dix A of 5 CFR part 581 to arrange for 1262.101 Purpose of these rules.
a hearing official, and the paying agen-
cy must then cooperate as provided by (a) The pertinent provisions of the
4 CFR 102.1 and provide a hearing offi- Equal Access to Justice Act at 5 U.S.C.
cial. 504 (hereinafter the Act) provide for
(b) When the debtor works for the the award of attorney fees and other
creditor agency, the creditor agency expenses to eligible individuals and en-
may contact any agent (of another tities who are parties to certain admin-
agency) designated in appendix A of 5 istrative proceedings (called adver-
CFR part 581 to arrange for a hearing sary adjudications). An eligible party
official. Agencies must then cooperate may receive an award when it prevails,
as required by 4 CFR 102.1 and provide unless it has unreasonably protracted
a hearing official. the proceedings, or the Agencys posi-
tion in the proceeding was substan-
tially justified, or special cir-
PART 1262EQUAL ACCESS TO cumstances make an award unjust. The
JUSTICE ACT IN AGENCY PRO- rules in this part describe the parties
CEEDINGS eligible for awards and the proceedings
that are covered. They also explain
Subpart 1262.1General Provisions how to apply for awards, and the proce-
dures and standards that the National
Sec.
Aeronautics and Space Administration
1262.101 Purpose of these rules.
1262.102 When the Act applies.
(NASA) will use in determining awards.
1262.103 Proceedings covered. (b) As used in this part:
1262.104 Eligibility of applicants. (1) Adversary adjudication means:
1262.105 Standards for awards. (i) An adjudication under 5 U.S.C. 554
1262.106 Allowable fees and expenses. in which the position of the United
1262.107 Rulemaking on maximum rates for States is represented by counsel or oth-
attorney fees. erwise, but excludes an adjudication
1262.108 Awards against other agencies. for the purpose of establishing or fixing
1262.109 Delegations of authority. a rate or for the purpose of granting or
renewing a license;
Subpart 1262.2Information Required
(ii) Any appeal of a decision made
From Applicants
pursuant to section 6 of the Contract

1262.201 Contents of application. Disputes Act (CDA) of 1978, as amended
1262.202 Net worth exhibit. (41 U.S.C. 605) before an agency board
268
of contract appeals as provided in section pending on or commenced on or

tion 8 of the CDA (41 U.S.C. 607); after October 1, 1981, in which an appli-
(iii) Any hearing conducted under cation for fees and other expenses was
Chapter 38 of Title 31 (added by section timely filed and was dismissed for lack
6104 of the Program Fraud Civil Rem- of jurisdiction.
edies Act of 1986 (Pub. L. 99509, 100
Stat. 1948, Oct. 21, 1986), 31 U.S.C. 3801, 1262.103 Proceedings covered.
et seq., as amended); and (a) The Act applies to the following
(iv) The Religious Freedom Restora- adversary adjudications conducted by
tion Act (RFRA) of 1993 (added by sec- the Agency:
tion 4(b), of RFRA (Pub. L. 103141, 107
(1) Adjudications under 5 U.S.C. 554
Stat. 1489, Nov. 16, 1993), 42 U.S.C.
in which the position of NASA or any
2000bb).
other agency of the United States, or
(2) Adjudicative officer means the de-
any component of an agency, is pre-
ciding official, without regard to
sented by an attorney or other rep-
whether the official is designated an
resentative who enters an appearance
administrative law judge, a hearing of-
ficer or examiner, or otherwise, who and participates in the proceedings;
presided at the adversary adjudication; (2) Appeals of decisions made pursu-
(3) Position of the agency means, in ad- ant to section 6 of the Contract Dis-
dition to the position taken by the putes Act of 1978 (41 U.S.C. 605) before
agency in the adversary adjudication, the Board of Contract Appeals (BCA) as
the action or failure to act by the provided in Section 8 of that Act (41
agency upon which the adversary adju- U.S.C. 607);
dication is based; (3) Any hearing conducted under
(4) Party, as defined in 5 U.S.C. 551(3), Chapter 38 of Title 31 (31 U.S.C. 3801, et
includes a person or agency named or seq., as amended); and
admitted as a party, or properly seek- (4) Adjudications under the Religious
ing and entitled as of right to be ad- Freedom Restoration Act of 1993 (42
mitted as a party, in an agency pro- U.S.C. 2000bb).
ceeding, and a person or agency admit- (b) The Act does not apply to:
ted by an agency as a party for limited (1) Any proceeding in which this
purposes, and who meets the eligibility Agency may prescribe a lawful present
requirements of 1262.104; and or future rate;
(5) Agency with a capital A denotes (2) Proceedings to grant or renew li-
the NASA. censes (note, however, that proceedings
(c) Determination of Substantially jus- to modify, suspend, or revoke licenses
tified. Whether or not the position of are covered if they are otherwise adver-
the agency was substantially justified sary adjudications); and
shall be determined on the basis of the (3) Proceedings which are covered by
administrative record, as a whole, a compromise or settlement agree-
which is made in the adversary adju- ment, unless specifically consented to
dication for which fees and other ex- in such agreement.
penses are sought. (c) NASA may also designate a pro-
[51 FR 15311, Apr. 23, 1986, as amended at 60 ceeding as an adversary adjudication
FR 12668, Mar. 8, 1995] for purposes of the Act by so stating in
an order initiating the proceeding or
1262.102 When the Act applies. designating the matter for hearing.
The Act applies to any adversary ad- The Agencys failure to designate a
judication pending or commenced be- proceeding as an adversary adjudica-
fore NASA on or after August 5, 1985. It tion shall not preclude the filling of an
also applies to any adversary adjudica- application by a party who believes the
tion commenced on or after October 1, proceeding is covered by the Act;
1984, and finally disposed of before Au- whether the proceeding is covered will
gust 5, 1985, provided that an applica- then be an issue for resolution in pro-
tion for fees and expenses, as described ceedings on the application.
in subpart 1262.2, had been filed with (d) If a proceeding includes both mat-
the Agency within 30 days after August ters covered by the Act and matters
5, 1985, and to any adversary adjudica- specifically excluded from coverage,
269
1262.104 14 CFR Ch. V (1116 Edition)
any award made will include only fees poration, or other entity that directly
and expenses related to covered issues. or indirectly controls or owns a major-
[60 FR 12668, Mar. 8, 1995] ity of the voting shares or other inter-
est of the applicant, or any corporation
1262.104 Eligibility of applicants. or other entity of which the applicant
(a) To be eligible for an award of at- directly or indirectly owns or controls
torney fees and other expenses, the ap- a majority of the voting shares or
plicant must be a party to the adver- other interest, will be considered an af-
sary adjudication for which an award is filiate for purposes of this part, unless
sought. The applicant must show that the adjudicative officer determines
it meets all conditions of eligibility set that such treatment would be unjust
out in this subpart and in subpart and contrary to the purposes of the Act
1262.2. in light of the actual relationship be-
(b) The types of eligible applicants tween the affiliated entities. In addi-
are as follows: tion, the adjudicative officer may de-
(1) An individual with a net worth of termine that financial relationships of
not more than $2 million; the applicant other than those de-
(2) Any owner of an unincorporated scribed in this paragraph constitute
business who has a net worth of not special circumstances that would make
more than $7 million, including both an award unjust.
personal and business interests, and (g) An applicant that participates in
not more than 500 employees; a proceeding primarily on behalf of one
(3) A charitable or other tax-exempt or more other persons or entities that
organization described in section would be ineligible is not itself eligible
501(c)(3) of the Internal Revenue Code for an award.
(26 U.S.C. 501(c)(3)) with not more than
500 employees; [51 FR 15311, Apr. 23, 1986, as amended at 60
(4) A cooperative association as de- FR 12668, Mar. 8, 1995]
fined in section 15(a) of the Agricul-
tural Marketing Act (12 U.S.C. 1141j(a)) 1262.105 Standards for awards.
with not more than 500 employees; and (a) A prevailing applicant may re-
(5) Any other partnership, corpora- ceive an award subject to paragraph (b)
tion, association, unit of local govern- of this section, for fees and expenses in-
ment, or organization with a net worth curred in connection with a proceeding,
of not more than $7 million and not or in a significant and discrete sub-
more than 500 employees. stantive portion of the proceeding, un-
(c) For the purpose of eligibility, the less the position of the agency over
net worth and number of employees of which the applicant has prevailed was
an applicant shall be determined as of substantially justified. No presumption
the date the proceeding was initiated.
arises that the agencys position was
(d) An applicant who owns an unin-
not substantially justified simply be-
corporated business will be considered
cause the agency did not prevail. The
as an individual rather than as a
burden of proof that an award should
sole owner of an unincorporated busi-
ness if the issues on which the appli- not be made to an eligible prevailing
cant prevails are related primarily to applicant is on the agency.
personal interests rather then to busi- (b) An award, for any portion of the
ness interests. adversary adjudication, will be denied
(e) The employees of an applicant in- if the applicant has unreasonably pro-
clude all persons who regularly per- tracted the proceedings, or denied or
form services for remuneration for the reduced if special circumstances make
applicant, under the applicants direc- the award sought unjust.
tion and control. Part-time employees
shall be included on a proportional 1262.106 Allowable fees and ex-
penses.
basis.
(f) The net worth and number of em- (a) Awards will be based on rates cus-
ployees of the applicant and all of its tomarily charged by persons engaged
affiliates shall be aggregated to deter- in the business of acting as attorneys,
mine eligibility. Any individual, cor- agents, and expert witnesses, even if
270
the services were made available with- ceedings covered by this part. This
out charge or at a reduced rate to the Agency will conduct any rulemaking
applicant. proceedings for this purpose under the
(b) No award for the fee of an attor- informal rulemaking procedures of the
ney or agent under these rules may ex- Administrative Procedure Act (5 U.S.C.
ceed $75 per hour. No award to com- 553).
pensate an expert witness may exceed (b) Any person may file with the
the highest rate at which this Agency Agency a petition for rulemaking to in-
pays expert witnesses, which is $20 an crease the maximum rate for attorney
hour (5 hours maximum) or maximum fees. The petition should be addressed
daily rate of $100 (3 days maximum). to the General Counsel, NASA Head-
However, an award may also include quarters, Washington, DC 20546; should
the reasonable expenses of the attor- identify the rate the petitioner be-
ney, agent, or witness as a separate lieves the Agency should establish and
item, if the attorney, agent, or witness the types of proceedings in which the
ordinarily charges clients separately rate should be used; and should also ex-
for such expenses. plain fully the reasons why the higher
(c) In determining the reasonableness rate is warranted. The Agency will re-
of the fee sought for an attorney, spond to the petition within 60 days
agent, or expert witness, the adjudica- after it is filed, by initiating a rule-
tive officer shall consider the fol- making proceeding or denying the peti-
lowing: tion, or taking other appropriate ac-
(1) If the attorney, agent, or witness tion.
is in private practice, his or her cus-
tomary fee for similar service, or, if an 1262.108 Awards against other agen-
employee of the applicant, the fully al- cies.
located cost of the services; If an applicant is entitled to an
(2) The prevailing rate for similar award because it prevails over another
services in the community in which the agency of the United States that par-
attorney, agent, or witness ordinarily ticipates in a proceeding before NASA,
performs services; the award or an appropriate portion of
(3) The time actually spent in the the award shall be made against that
representation of the application; agency, subject to 1262.105(b), if it had
(4) The time reasonably spent in light taken a position that is not substan-
of the difficulty or complexity of the tially justified.
issues in the proceeding; and
(5) Such other factors as may bear on 1262.109 Delegations of authority.
the value of the services provided. (a) The NASA Administrator hereby
(d) The reasonable cost of any study, delegates authority to the General
analysis, engineering report, test, Counsel or designee to take final ac-
project, or similar matter prepared on tion on matters pertaining to the Act,
behalf of a party may be awarded, to other than the authority for final fee
the extent that the charge for the serv- determination after Agency review
ice does not exceed the prevailing rate pursuant to 1262.308.
for similar services, and the study or (b) The NASA Administrator may, in
other matter was necessary for prepa- particularly specified matters under
ration of the applicants case. the Act, delegate authority to officials
1262.107 Rulemaking on maximum other than those designated in para-
rates for attorney fees. graph (a) of this section.
(a) If warranted by an increase in the
cost of living or by special cir- Subpart 1262.2Information
cumstances (such as limited avail- Required From Applicants
ability of attorneys qualified to handle
certain types of proceedings), the 1262.201 Contents of application.
Agency may adopt regulations pro- (a) An application for an award of
viding that attorney fees may be fees and expenses under the Act shall
awarded at a rate higher then $75 per identify the applicant and the pro-
hour in some or all of the types of proceeding for which an award is sought.
271
1262.202 14 CFR Ch. V (1116 Edition)
The application shall show that the ap- exhibit may be in any form convenient
plicant has prevailed and identify the to the applicant that provides full dis-
position of an agency or agencies in the closure of the applicants and its affili-
proceeding that the applicant alleges ates assets and liabilities and is suffi-
was not substantially justified. Unless cient to determine whether the appli-
the applicant is an individual, the ap- cant qualifies under the standards in
plication shall also state the number of this part. The adjudicative officer may
employees of the applicant and de- require an applicant to file additional
scribe briefly the type and purpose of information to determine its eligibility
its organization or business. for an award.
(b) The application shall also include (b) Ordinarily, the net worth exhibit
a statement that the applicants net will be included in the public records of
worth does not exceed $2 million (if an the proceeding. However, an applicant
individual) or $7 million (for all other that objects to public disclosure of in-
applicants, including their affiliates). formation in any portion of the exhibit
However, an applicant may omit this and believes there are legal grounds for
statement if the applicant: withholding it from disclosure may
(1) Attaches a copy of a ruling by the submit that portion of the exhibit di-
Internal Revenue Service that it quali- rectly to the adjudicative officer in a
fies as an organization described in sec- sealed envelope labeled Confidential
tion 501(c)(3) of the Internal Revenue Financial Information, accompanied
Code (26 U.S.C. 501(c)(3)), or, in the case by a motion to withhold the informa-
of a tax-exempt organization not re- tion from public disclosure. The mo-
quired to obtain a ruling from the In- tion shall describe the information
ternal Revenue Service on its exempt sought to be withheld and explain, in
status, a statement that describes the detail, why it falls within one or more
basis for the applicants belief that it of the specific exemptions from manda-
qualifies under such section; or tory disclosure under the Freedom of
(2) States that it is a cooperative as- Information Act, 5 U.S.C. 552(b)(1)(9),
sociation as defined in section 15(a) of why public disclosure of the informa-
the Agricultural Marketing Act (12 tion would adversely affect the appli-
U.S.C. 1141j(a)). cant, and why disclosure is not re-
(c) The application shall state the quired in the public interest. The mate-
amount of fees and expense for which rials in question shall be served on
an award is sought. counsel representing the agency
(d) The application may also include against which the applicant seeks an
any other matters that the applicant award, but need not be served on any
wishes this Agency to consider in de- other party to the proceeding. If the
termining whether and in what amount adjudicative officer finds that the in-
an award should be made. formation should not be withheld from
(e) The application shall be signed by disclosure, it shall be placed in the
the applicant or an authorized officer public record of the proceeding. Other-
or attorney of the applicant. It shall wise, any request to inspect or copy
also contain or be accompanied by a the exhibit shall be disposed of in ac-
written verification under oath or cordance with the Agencys regulations
under penalty of perjury that the infor- under the Freedom of Information Act,
mation provided in the application is at 14 CFR part 1206.
true and correct.
[51 FR 15311, Apr. 23, 1986, as amended at 80 FR 42029, July 16, 2015]
FR 42029, July 16, 2015]
1262.203 Documentation of fees and
1262.202 Net worth exhibit. expenses.
(a) Each applicant except a qualified The application shall be accompanied
tax-exempt organization or cooperative by full documentation of the fees and
association must provide with its ap- expenses, including the cost of any
plication a detailed exhibit showing study, analysis, engineering report,
the net worth of the applicant and any test, project, or similar matter for
affiliates (as defined in 1262.104(f) which an award is sought. A separate
when the proceeding was initiated. The itemized statement, accompanied by
272
an oath of affirmation under penalty of Subpart 1262.3Procedures for

perjury (28 U.S.C. 1746), shall be sub- Considering Applications
mitted for each professional firm or in-
dividual whose services are covered by 1262.301 Filing and service of docu-
the application, showing the hours ments.
spent in connection with the pro- Any application for an award or
ceeding by each individual, a descrip- other pleading or document related to
tion of the specific services performed, an application shall be filed and served
the rate at which each fee has been on all parties to the proceeding in the
computed, any expenses for which re- same manner as other pleadings in the
imbursement is sought, the total proceeding, except as provided in
amount paid or payable by the appli- 1262.202(b) for confidential financial
cant or by any other person or entity information.
for the services provided. The adjudica-
tive officer may, in addition, require 1262.302 Answer to application.
the applicant to provide vouchers, re- (a) Within 30 calendar days after
ceipts, or other substantiation for any service of an application, counsel rep-
expenses claimed. resenting the agency against which an
award is sought may file an answer to
1262.204 When an application may be
the application. Unless agency counsel
filed.
requests an extension of time for filing
(a) An application may be filed when- or files a statement of intent to nego-
ever the applicant has prevailed in the tiate under paragraph (b) of this sec-
proceeding or in a significant and dis- tion, failure to file an answer within
crete substantive portion of the pro- the 30-day period may be treated as a
ceeding, but in no case later than 30 consent to the award requested.
days after the Agencys final disposi- (b) If agency counsel and the appli-
tion of the proceeding. cant believe that the issues in the fee
(b) If review or reconsideration is application can be settled, they may
sought or taken of a decision as to jointly file a statement of their intent
which an applicant believes it has pre- to negotiate a settlement. The filing of
vailed, proceedings for the award of this statement shall extend the time
fees shall be stayed pending final dis- for filing an answer for an additional 30
position of the underlying controversy. calendar days, and further extensions
(c) For purposes of this rule, final may be granted by the adjudicative of-
disposition means the latter of: ficer upon request by agency counsel
(1) The date on which the last ini- and the applicant.
tial decision, in a bifurcated pro- (c) The answer shall explain in detail
ceeding, or other recommended disposi- any objections to the award requested
tion of the merits (both as to liability and identify the facts relied on in sup-
and amount, if applicable) of the pro- port of agency counsels position. If the
ceeding, by an adjudicative officer or answer is based on any alleged facts
not already in the record of the pro-
intermediate reviewer, becomes admin-
ceeding, agency counsel shall include
istratively final;
with the answer either supporting affi-
(2) The date on which an order is
davits or a request for further pro-
issued disposing of any petitions for re- ceedings under 1262.306.
consideration;
(3) If no petition for reconsideration 1262.303 Reply.
is filed, the last date on which such a
Within 15 calendar days after service
petition could have been filed; or
of an answer, the applicant may file a
(4) The date of a final order or any reply. If the reply is based on any al-
other final resolution of the pro- leged facts not already in the record of
ceeding, such as a settlement or a vol- the proceeding, the applicant shall in-
untary dismissal, which is not subject
clude with the reply either supporting

to a petition for reconsideration. affidavits or a request for further pro-
ceedings under 1262.306.
273
1262.304 14 CFR Ch. V (1116 Edition)
1262.304 Comments by other parties. 1262.307 Decision.

Any party to a proceeding other than (a) The adjudicative officer shall
the applicant and agency counsel may issue an initial decision on the applica-
file comments about an application tion with 90 calendar days after com-
within 30 calendar days after it is pletion of proceedings on the applica-
served, or about an answer within 15 tion. The decision shall include written
calendar days after it is served. A com- findings and conclusions on such of the
menting party may not participate fur- following as are relevant to the deci-
ther in proceedings on the application sion:
unless the adjudicative officer deter- (1) The applicants eligibility and
status as a prevailing party;
mines that the public interest requires
(2) Whether the Agencys position
such participation in order to permit
was substantially justified;
full exploration of matters raised in
(3) Whether the applicant unreason-
the comments. ably protracted the proceedings, or
1262.305 Settlement. whether special circumstances make
an award unjust; and
The applicant and agency counsel (4) The amounts, if any, awarded for
may agree on a proposed settlement of fees and expenses with an explanation
the award before final action on the ap- of the reasons for any difference be-
plication, either in connection with a tween the amount requested and the
settlement of the underlying pro- amount awarded. Further, if the appli-
ceeding, or after the underlying pro- cant has sought an award against more
ceeding has been concluded. If a pre- than one agency, the decision shall al-
vailing party and agency counsel agree locate responsibility for payment of
on a proposed settlement of an award any award made among the agencies,
before an application has been filed, and shall explain the reasons for the al-
the application shall be filed with the location made.
proposed settlement. (b) When the Agency appeals the un-
derlying merits of an adversary adju-
1262.306 Further proceedings. dication, no decision on an application
for fees and other expenses in connec-
(a) Ordinarily, the determination of tion with that adversary adjudication
an award will be made on the basis of shall be made until a final and
the written record. However, on re- unreviewable decision is rendered by
quest of either the applicant or agency the court on the appeal or until the un-
counsel, or on his or her own initiative, derlying merits of the case have been
the adjudicative officer may order fur- finally determined pursuant to the ap-
ther proceedings, such as an informal peal.
conference, oral argument, additional
written submissions, or, as to issues FR 12669, Mar. 8, 1995]
other than substantial justification
(such as the applicants eligibility or 1262.308 Agency review.
substantiation of fees and expenses), (a) Within 30 calendar days of the re-
pertinent discovery or an evidentiary ceipt of the adjudicative officers ini-
hearing. Such further proceedings shall tial decision on the fee application, ei-
be held only when necessary for full ther the applicant or agency counsel
and fair resolution of the issues arising may seek Agency review of the deci-
from the application, and shall be con- sion; or, the NASA Administrator,
ducted as promptly as possible. upon the recommendation of the Gen-
(b) A request that the adjudicative eral Counsel or other designee, may de-
officer order further proceedings under cide to review the decision based on the
this section shall specifically identify record. Whether to review a decision is
the information sought or the disputed solely a matter within the discretion of
issues and shall explain why the addi- the NASA Administrator. A 15-day no-
tional proceedings are necessary to re- tice of such review will be given the ap-
solve the issues. plicant and agency counsel, and a de-
termination made not later than 45
274
days from the date of notice. The Ad- been sought by the applicant or any
ministrator may make a final deter- other party to the proceeding.
mination concerning the application or
remand the application to the adju- PART 1263DEMAND FOR INFOR-
dicative officer for further proceedings. MATION OR TESTIMONY SERVED
(b) If neither the applicant nor agen-
cy counsel seek review, and the NASA
ON AGENCY EMPLOYEES; PRO-
Administrator does not on own initia- CEDURES
tive take a review, the adjudicative of-
ficers initial decision on the fee appli- Sec.
1263.100 Purpose and scope.
cation shall be the final administrative 1263.101 Definitions.
decision of the Agency 45 days after it 1263.102 Procedure when a demand is issued
is issued. in a legal proceeding involving the
United States.
1262.309 Judicial review. 1263.103 Procedure when a demand is issued
Judicial review of final Agency deci- in a legal proceeding not involving the
sions on awards may be sought under 5 United States.
1263.104 Production, disclosure, or testi-
U.S.C. 504(c)(2), which provides: If a
mony prohibited unless approved.
party other than the United States is 1263.105 Considerations in determining
dissatisfied with a determination of whether production or disclosure should
fees and other expenses made under be made.
[this part], that party may, within 30 1263.106 Final decision of the General Coun-
days after the [final administrative] sel as to production, disclosure, or ap-
determination is made, appeal the de- pearance.
termination to the court of the United 1263.107 Procedure to be followed when re-
sponse to a demand is required before the
States having jurisdiction to review General Counsel or designate has reached
the merits of the underlying decision of a final decision.
the agency adversary adjudication. The 1263.108 Procedure in the event of an ad-
courts determination of any appeal verse ruling.
heard under this [authority] shall be 1263.109 Considerations in determining
based solely on the factual record made whether these procedures should be
before the agency. The court may mod- waived.
ify the determination of fees and other 1263.110 Intention to provide guidance.
expenses only if the court finds that AUTHORITY: 44 U.S.C. 3102, 51 U.S.C.
the failure to make an award of fees 20113(a).
and other expenses, or the calculation SOURCE: 55 FR 28370, July 11, 1990, unless
of the amount of the award, was unsup- otherwise noted.
ported by the substantial evidence.
FR 12669, Mar. 8, 1995] (a) This part sets forth procedures to
be followed with respect to the produc-
1262.310 Payment of award. tion or disclosure of official informa-
(a) An applicant seeking payment of tion or records and/or the testimony of
an award shall submit to the paying present or former employees of the Na-
agency a copy of the Agencys final de- tional Aeronautics and Space Adminis-
cision granting the award, accom- tration relating to any official infor-
panied by a statement that the appli- mation acquired by any employee of
cant will not seek review of the deci- NASA as part of the performance of
sion in the United States courts. The that employees official duties or by
submission to NASA should be ad- virtue of that employees official sta-
dressed as follows: tus, where a demand for such produc-
tion, disclosure, or testimony is issued
Director, Financial Management Division, in a federal, state, or other legal pro-
NASA Headquarters, Washington, DC 20546.
ceeding.
(b) The Agency will pay the amount (b) This part does not apply to any
awarded to the applicant within 60 legal proceeding in which an employee
days, if feasible, unless judicial review is to testify, while in leave status, as

of the award or of the underlying deci- to facts or events that are in no way
sion of the adversary adjudication has related to the official duties of that
275
1263.101 14 CFR Ch. V (1116 Edition)
employee or to the functions of the essary, this information may be re-

NASA. ported orally, followed by a written
confirmation.
(a) AgencyAs referred to in this reg- 1263.103 Procedure when a demand
ulation, Agency means the National is issued in a legal proceeding not
involving the United States.
Aeronautics and Space Administration.
(b) DemandA subpoena, order, or Whenever an employee or former em-
authorized request for official informa- ployee of the Agency receives a de-
tion, or for the appearance and testi- mand for production or disclosure of of-
mony of NASA personnel, issued as the ficial information in a legal proceeding
result of a legal proceeding. not involving the United States, the
(c) EmployeeIncludes all present and employee shall immediately notify the
former officers and employees of the General Counsel or designate. In addi-
National Aeronautics and Space Ad- tion, the party causing the demand to
ministration who are or have been ap- be issued shall furnish the Office of
pointed by, or subject to the super- General Counsel a written, detailed
vision, jurisdiction, or control of the statement of the information sought
Administrator of the agency. and its relevance to the proceeding in
(d) Legal proceedingIncludes any connection with which it is requested.
proceeding before a court of law or eq- The General Counsel or designate may
uity, administrative board or commis- waive the requirement that a written
sion, hearing officer, or other body con- summary be furnished where he/she
ducting a legal or administrative pro- deems it unnecessary. The election to
ceeding. waive the requirement of a written
(e) Legal proceeding involving the summary in no way constitutes a waiv-
United StatesAny proceeding before a er of any other requirements set forth
court of law or equity brought on be- in this section.
half of, or against the United States,
NASA or NASA employees, and result- 1263.104 Production, disclosure, or
ing from alleged NASA operations. testimony prohibited unless ap-
proved.
(f) Official informationAll informa-
tion of any kind, however stored, that If an employee or former employee
is in the custody and control of NASA receives a demand to produce or dis-
or was acquired by NASA personnel as close official information, that em-
part of official duties or because of offi- ployee may not disclose such materials
cial status while such personnel were or information or testify regarding
employed by or on behalf of the NASA. same without the prior approval of the
General Counsel or designate.
1263.102 Procedure when a demand
is issued in a legal proceeding in- 1263.105 Considerations in deter-
volving the United States. mining whether production or dis-
closure should be made.
Whenever an employee or former em-
ployee of NASA receives a demand for The General Counsel or designate
production of materials or the disclo- shall direct employees to honor all
sure of information, or for appearance valid demands. In deciding whether a
and testimony as a witness in a legal particular demand is valid, the General
proceeding in which NASA or the Counsel or designate may consider:
United States is a party, the employee (a) Whether such disclosure or ap-
shall immediately notify in writing the pearance is appropriate under the rules
Installation Chief Counsel for Installa- of procedure governing the legal pro-
tion employees, the General Counsel ceeding in which the demand arose.
for Headquarters employees, or the At- (b) Whether disclosure is appropriate
torney-Adviser to the Inspector Gen- under the relevant substantive law
eral (IG) for IG employees. This notice concerning privilege.
must include copies of all pertinent (c) Whether disclosure might improp-
legal documents and a summary of the erly reveal trade secrets, or commer-
employees knowledge concerning the cial or financial information that is
legal proceeding in question. When nec- confidential or privileged.
276
(d) Whether disclosure might reveal 1263.108 Procedure in the event of an

classified information. adverse ruling.
(e) Whether disclosure would violate If the court or other authority which
a specific applicable constitutional caused the demand to be issued de-
provision, federal statute or regula- clines to stay the effect of the demand
tion, or executive order. pending a final decision by the General
(f) Whether appearance of the re- Counsel or designate; or if the General
quested employee would seriously im- Counsel or designate directs that the
plicate an interest of the Agency such employee may not comply with the de-
as conservation of employee time for mand, and a court or other authority
conducting official business, avoidance rules that the demand must be com-
of expending appropriated monies for plied with irrespective of that decision,
non-federal purposes, or avoidance of the employee upon whom the demand
involving the agency in controversial has been made, or an agency or other
issues not related to its mission. governmental attorney, shall respect-
fully decline to comply with the de-
1263.106 Final decision of the Gen- mand and shall cite, United States ex
eral Counsel as to production, dis- rel. Touhy v. Ragen, et al., 340 U.S. 462
closure, or appearance. (1951).
After consideration of the factors 1263.109 Considerations in deter-
enumerated in 1263.105 (a) through (f), mining whether these procedures
the General Counsel or designate may should be waived.
authorize the testimony, disclosure, or The General Counsel or designate
production as demanded; limit the sub- may grant permission to deviate from
ject matter or extent of any testimony, the policy or procedure established in
disclosure, or production through writ- these regulations. Permission to devi-
ten instruction to the employee; or ate will be granted when the deviation
deny permission for any testimony, will not interfere with matters of oper-
disclosure, or production. Where appro- ational necessity and when:
priate, the General Counsel or des- (a) It is necessary to prevent a mis-
ignate may seek withdrawal of the de- carriage of justice; or
mand by the authorizing party. Any (b) The deviation is in the best inter-
decision of the General Counsel or des- ests of NASA or the United States.
ignate shall be final and shall be com-
municated to the employee and the 1263.110 Intention to provide guid-
party causing the demand to be issued. ance.
This part is intended to provide guid-
1263.107 Procedure to be followed ance for the internal operation of
when response to a demand is re- NASA and is not intended to, does not,
quired before the General Counsel and may not be relied upon to create
or designate has reached a final de- any right of benefitsubstantive or
cision.
proceduralenforceable at law against
If a response to a demand is required the United States or NASA.
before the General Counsel or des-
ignate can render a decision, the em- PART 1264IMPLEMENTATION OF
ployee subpoenaed, or an agency attor- THE PROGRAM FRAUD CIVIL
ney or other government attorney des- PENALTIES ACT OF 1986
ignated for that purpose, shall appear
on behalf of the employee and shall fur- Sec.
nish the authority which issued the de- 1264.100 Basis and purpose.
mand a copy of these regulations, and 1264.101 Definitions.
inform the authority that the demand 1264.102 Basis for civil penalties and assess-
has been referred for the prompt con- ments.
sideration of the General Counsel, and 1264.103 Investigation.
1264.104 Review by the reviewing official.
shall respectfully request the authority 1264.105 Prerequisites for issuing a com-
to stay the demand until the General plaint.

Counsel or designate has rendered a 1264.106 Complaint.
final decision. 1264.107 Service of complaint.
277
1264.100 14 CFR Ch. V (1116 Edition)
1264.108 Answer. thority head to promulgate regulations
1264.109 Default upon failure to file an an- necessary to implement the provisions
swer. of the statute.
1264.110 Referral of complaint and answer to
the presiding officer. (b) Purpose. This part does the fol-
1264.111 Notice of hearing. lowing:
1264.112 Parties to the hearing. (1) Establishes administrative proce-
1264.113 Separation of functions. dures for imposing civil penalties and
1264.114 Ex parte contacts. assessments against persons who make,
1264.115 Disqualification of reviewing offi- submit, or present, or cause to be
cial or presiding officer. made, submitted, or presented, false,
1264.116 Rights of parties.
1264.117 Authority of the presiding officer.
fictitious, or fraudulent claims or writ-
1264.118 Prehearing conferences. ten statements to authorities or to
1264.119 Disclosure of documents. their agents; and
1264.120 Discovery. (2) Specifies the hearing and appeal
1264.121 Exchange of witness lists, state- rights of persons subject to allegations
ments, and exhibits. of liability for such penalties and as-
1264.122 Subpoena for attendance at hear- sessments.
ing.
1264.123 Protective order. 1264.101 Definitions.
1264.124 Fees.
1264.125 Form, filing, and service of papers. (a) ALJ means an Administrative
1264.126 Computation of time. Law Judge in the authority appointed
1264.127 Motions. pursuant to 5 U.S.C. 3105 or detailed to
1264.128 Sanctions. the authority pursuant to 5 U.S.C. 3344.
1264.129 The hearing and burden of proof.
For purposes of this part, the ALJ shall
1264.130 Determining the amount of pen-
alties and assessments. be referred to as the presiding officer.
1264.131 Location of hearing. (b) Authority means the National Aer-
1264.132 Witnesses. onautics and Space Administration
1264.133 Evidence. (NASA).
1264.134 The record. (c) Authority head means the NASA
1264.135 Post-hearing briefs. Administrator or Deputy Adminis-
1264.136 Initial decision.
1264.137 Reconsideration of initial decision.
trator or designee. For purposes of this
1264.138 Appeal to authority head. regulation, the NASA General Counsel
1264.139 Stays ordered by the Department of or Deputy General Counsel is des-
Justice. ignated legal counsel to the Authority
1264.140 Stay pending appeal. head.
1264.141 Judicial review. (d) Benefit means, in the context of
1264.142 Collection of civil penalties and as- statement, anything of value, including
sessments.
but not limited to any advantage, pref-
1264.143 Right to administrative offset.
1264.144 Deposit in Treasury of United erence, privilege, license, permit, fa-
States. vorable decision, ruling, status, or loan
1264.145 Compromise or settlement. guarantee.
1264.146 Limitations. (e) Claim means any request, demand,
APPENDIX A TO PART 1264NOTICE TO CON- or submission
SENT TO THE CHAIRPERSON, NASA BOARD (1) Made to the authority for prop-
OF CONTRACT APPEALS (BCA), OR DES- erty, services, or money (including
IGNEE, AS PRESIDING OFFICER
money representing grants, loans, in-
AUTHORITY: 31 U.S.C. 3809, 51 U.S.C. surance, or benefits);
20113(a). (2) Made to a recipient of property,
SOURCE: 52 FR 39498, Oct. 22, 1987, unless services, or money from the authority
otherwise noted. or to a party to a contract with the au-
thority
1264.100 Basis and purpose. (i) For property or services if the
(a) Basis. This part implements the United States
Program Fraud Civil Remedies Act of (A) Provided such property or serv-
1986, Pub. L. 99509, sections 61016104, ices;
100 Stat. 1874 (October 21, 1986), to be (B) Provided any portion of the funds
codified at 31 U.S.C. 38013812. 31 U.S.C. for the purchase of such property or
3809 of the statute requires each au- services; or
278
(C) Will reimburse such recipient or (3) Acts in reckless disregard of the
party for the purchase of such property truth or falsity of the claim or state-
or services; or ment.
(ii) For the payment of money (in- (n) Makes, wherever it appears, shall
cluding money representing grants, include the terms presents, submits,
loans, insurance, or benefits) if the and causes to be made, presented, or
United States submitted. As the context requires,
(A) Provided any portion of the making or made shall likewise include
money requested or demanded; or the corresponding forms of such terms.
(B) Will reimburse such recipient or (o) Person means any individual,
party for any portion of the money partnership, corporation, association,
paid on such request or demand; or or private organization, and includes
(iii) Made to the authority which has the plural of that term.
the effect of decreasing an obligation (p) Presiding officer, except as pro-
to pay or account for property, serv- vided for pursuant to consent trial no-
ices, or money. tice, means (if the authority is not sub-
(f) Complaint means the administra- ject to the provisions of Subchapter II
tive complaint served by the reviewing of Chapter 5, Title 5, U.S.C.) an officer
official on the defendant under or employee of the authority who
1264.106. (1) Is selected under Chapter 33 of
Title 5 pursuant to the competitive ex-
(g) Consent hearing means that the
amination process applicable to admin-
authority and the defendant consent,
istrative law judges;
as provided in 1264.106(c), that the pre-
(2) Is appointed by the authority
siding officer be the Chairperson of the
head to conduct hearings under this
NASA Board of Contract Appeals
part;
(BCA). The Chairperson may designate
(3) Is assigned to cases in rotation so
another administrative judge of the
far as practicable;
NASA BCA as presiding officer in a
(4) May not perform duties incon-
consent hearing.
sistent with the duties and responsibil-
(h) Defendant means any person al-
ities of a presiding officer;
leged in a complaint under 1264.106 to
(5) Is entitled to pay prescribed by
be liable for a civil penalty or assess-
the Office of Personnel Management
ment under 1264.102.
independently of ratings and rec-
(i) Government means the United ommendations made by the authority
States Government. and in accordance with Chapter 51 of
(j) Individual means a natural person. such Title and Subchapter III of Chap-
(k) Initial decision means the written ter 53 of such Title;
decision of the ALJ or presiding officer (6) Is not subject to performance ap-
required by 1264.109 or 1264.136, and praisal pursuant to Chapter 43 of such
includes a revised initial decision Title; and
issued following a remand or a motion (7) May be removed, suspended, fur-
for reconsideration. loughed, or reduced in grade or pay
(l) Investigating official means the only for good cause established and de-
NASA Inspector General, or designee termined by the Merit Systems Protec-
who is serving in a position for which tion Board on the record after oppor-
the rate of basic pay is not less than tunity for hearing by such Board.
the minimum rate of basic pay for (q) Representative means an attorney
grade GS16 under the General Sched- who is in good standing of the bar of
ule. any State, Territory, or possession of
(m) Knows or has reason to know, the United States, or of the District of
means that a person with respect to a Columbia, or of the Commonwealth of
claim or statement Puerto Rico.
(1) Has actual knowledge that the (r) Reviewing official means the NASA
claim or statement is false, fictitious, Associate Administrator for Manage-
or fraudulent; ment. For purposes of this regulation,
(2) Acts in deliberate ignorance of the the Associate General Counsel (Gen-
truth or falsity of the claim or state- eral) or designee is designated legal
ment; or counsel to the Reviewing official.
279
1264.102 14 CFR Ch. V (1116 Edition)
(s) Statement means any representa- agent, fiscal intermediary, or other en-
tion, certification, affirmation, docu- tity, including any State or political
ment, record, or accounting or book- subdivision thereof, acting for or on be-
keeping entry made half of the authority, recipient, or
(1) With respect to a claim or to ob- party.
tain the approval or payment of a (4) Each claim for property, services,
claim (including relating to eligibility or money is subject to a civil penalty
to make a claim); or regardless of whether such property,
(2) With respect to (including relat- services, or money is actually delivered
ing to eligibility for) or paid.
(i) A contract with, or a bid or pro- (5) If the Government has made any
posal for a contract with; or payment (including transferred prop-
(ii) A grant, loan, or benefit from the erty or provided services) on a claim, a
authority, or any State, political sub- person subject to a civil penalty under
division of a State, or other party, if paragraph (a)(1) of this section shall
the United States Government provides also be subject to an assessment of not
any portion of the money or property more than twice the amount of such
under such contract or for such grant, claim or that portion thereof that is
loan, or benefit, or if the Government determined to be in violation. Such as-
will reimburse such State, political sessment shall be in lieu of damages
subdivision, or party for any portion of sustained by the Government because
the money or property under such con- of such claim.
tract or for such grant, loan, or ben- (b) Statements. (1) Any person who
efit. makes a written statement that
[52 FR 39498, Oct. 22, 1987, as amended at 54 (i) The person knows or has reason to
FR 599, Jan. 9, 1989] know
(A) Asserts a material fact which is
1264.102 Basis for civil penalties and false, fictitious, or fraudulent; or
assessments. (B) Is false, fictitious, or fraudulent
(a) Claims. (1) Any person who makes because it omits a material fact that
a claim that the person knows or has the person making the statement has a
reason to know duty to include in such statement; and
(i) Is false, fictitious, or fraudulent; (ii) Contains or is accompanied by an
(ii) Includes or is supported by any express certification or affirmation of
written statement which asserts a ma- the truthfulness and accuracy of the
terial fact which is false, fictitious, or contents of the statement
fraudulent; Shall be subject, in addition to any
(iii) Includes or is supported by any other remedy that may be prescribed
written statement that by law, to a civil penalty of not more
(A) Omits a material fact; than $5,000 for each such statement.
(B) Is false, fictitious, or fraudulent (2) Each written representation, cer-
as a result of such omission; and tification, or affirmation constitutes a
(C) Is a statement in which the per- separate statement.
son making such statement has a duty (3) A statement shall be considered
to include such material fact; or made to the authority when such state-
(iv) Is for payment for the provision ment is actually made to an agent, fis-
of property or services which the per- cal intermediary, or other entity, in-
son has not provided as claimed cluding any State or political subdivi-
Shall be subject, in addition to any sion thereof, acting for or on behalf of
other remedy that may be prescribed the authority.
by law, to a civil penalty of not more (c) No proof of specific intent to de-
than $5,000 for each such claim. fraud is required to establish liability
(2) Each voucher, invoice, claim under this section.
form, or other individual request or de- (d) In any case in which it is deter-
mand for property, services, or money mined that more than one person is lia-
constitutes a separate claim. ble for making a claim or statement
(3) A claim shall be considered made under this section, each such person
to the authority, recipient, or party may be held liable for a civil penalty
when such claim is actually made to an under this section.
280
(e) In any case in which it is deter- official to report violations of criminal

mined that more than one person is lia- law to the Attorney General.
ble for making a claim under this sec- [52 FR 39498, Oct. 22, 1987, as amended at 54
tion on which the Government has FR 599, Jan. 9, 1989]
made payment (including transferred
property or provided services), an as- 1264.104 Review by the reviewing of-
sessment may be imposed against any ficial.
such person or jointly and severally (a) If, based on the report of the in-
against any combination of such per- vestigating official under 1264.103(b),
sons. the reviewing official determines that
[52 FR 39498, Oct. 22, 1987, as amended at 54
there is adequate evidence to believe
FR 599, Jan. 9, 1989] that a person is liable under 1264.102
of this part, the reviewing official shall
1264.103 Investigation. transmit to the Attorney General a
written notice of the reviewing offi-
(a) If an investigating official con- cials intention to issue a complaint
cludes that a subpoena pursuant to the under 1264.106.
authority conferred by 31 U.S.C. 3804(a) (b) Such notice shall include
is warranted (1) A statement of the reviewing offi-
(1) The subpoena so issued shall no- cials reasons for issuing a complaint;
tify the person to whom it is addressed (2) A statement specifying the evi-
of the authority under which the sub- dence that supports the allegations of
poena is issued and shall identify the liability;
records or documents sought; (3) A description of the claims or
(2) The subpoena may designate the statements upon which the allegations
person, to act on the investigating offi- of liability are based;
cials behalf, to receive the documents (4) An estimate of the amount of
sought; and money or the value of property, serv-
(3) The person receiving such sub- ices, or other benefits requested or de-
poena shall be required to tender to the manded in violation of 1264.102 of this
investigating official or the person des- part;
ignated to receive the documents a cer- (5) A statement of any exculpatory or
tification that the documents sought mitigating circumstances that may re-
have been produced, or that such docu- late to the claims or statements known
ments are not available and the rea- by the reviewing official or the inves-
sons therefor, or that such documents, tigating official; and
suitably identified, have been withheld (6) A statement that there is a rea-
based upon the assertion of an identi- sonable prospect of collecting an ap-
fied privilege. propriate amount of penalties and as-
sessments. Such a statement may be
(b) If the investigating official con-
based upon information then known or
cludes that an action under the Pro-
an absence of any information indi-
gram Fraud Civil Remedies Act may be cating that the person may be unable
warranted, the investigating official to pay such an amount.
shall submit a report containing the
findings and conclusions of such inves- 1264.105 Prerequisites for issuing a
tigation to the reviewing official. complaint.
(c) Nothing in this section shall pre- (a) The reviewing official may issue a
clude or limit the investigating offi- complaint under 1264.106 only if
cials discretion to refer allegations di- (1) The Department of Justice ap-
rectly to the Department of Justice for proves the issuance of a complaint in a
suit under the False Claims Act or written statement described in 31
other civil relief, or to defer or post- U.S.C. 3803(b)(1); and
pone a report of referral to the review- (2) In the case of allegations of liabil-
ing official to avoid interference with a ity under 1264.102(a) with respect to a
criminal investigation or prosecution. claim, the reviewing official deter-

(d) Nothing in this section modifies mines that, with respect to such claim
any responsibility of the investigating or a group of related claims submitted
281
1264.106 14 CFR Ch. V (1116 Edition)
at the same time such claim is sub- Appeals (BCA), or Designee, as pre-
mitted (as defined in paragraph (b) of siding officer;
this section), the amount of money or (2) Copy of this part 1264 of 14 CFR.
the value of property or services de-
manded or requested in violation of FR 599, Jan. 9, 1989]
1264.102(a) does not exceed $150,000.
(b) For the purposes of this section, a 1264.107 Service of complaint.
related group of claims submitted at
(a) Service of a complaint must be
the same time shall include only those
made by certified or registered mail or
claims arising from the same trans-
by delivery in any manner authorized
action (e.g., grant, loan, application, or
by Rule 4(d) of the Federal Rules of
contract) that are submitted simulta-
Civil Procedure.
neously as part of a single request, de-
(b) Proof of service, stating the name
mand, or submission.
and address of the person on whom the
(c) Nothing in this section shall be
complaint was served, and the manner
construed to limit the reviewing offi-
and date of service, may be made by
cials authority to join in a single com-
(1) Affidavit of the individual serv-
plaint against a person claims that are
icing the complaint by delivery;
unrelated or were not submitted simul-
(2) A United States Postal Service re-
taneously, regardless of the amount of
turn receipt card acknowledging re-
money or the value of property or serv-
ceipt; or
ices demanded or requested.
(3) Written acknowledgment of re-
1264.106 Complaint. ceipt by the defendant or his/her rep-
resentative.
(a) On or after the date the Depart-
ment of Justice approves the issuance [52 FR 39498, Oct. 22, 1987, as amended at 54
of a complaint in accordance with 31 FR 600, Jan. 9, 1989]
U.S.C. 3803(b)(1), the reviewing official
may serve a complaint on the defend- 1264.108 Answer.
ant, as provided in 1264.107. (a) The defendant may request a
(b) The complaint shall state hearing by filing an answer with the
(1) The allegations of liability reviewing official within 30 days of
against the defendant, including the service of the complaint. An answer
statutory basis for liability, an identi- shall be deemed to be a request for
fication of the claims or statements hearing.
that are the basis for the alleged liabil- (b) In the answer, the defendant
ity, and the reasons why liability alleg- (1) Shall admit or deny each of the
edly arises from such claims or state- allegations of liability made in the
ments; complaint;
(2) The maximum amount of pen- (2) Shall state any defense on which
alties and assessments for which the the defendant intends to rely;
defendant may be held liable; (3) May state any reasons why the de-
(3) Instructions for filing an answer fendant contends that the penalties
to request a hearing, including a spe- and assessments should be less than
cific statement of the defendants right the statutory maximum; and
to request a hearing by filing an an- (4) Shall state the name, address, and
swer and to be represented by a rep- telephone number of the person author-
resentative; and ized by the defendant to act as defend-
(4) That failure to file an answer ants representative, if any.
within 30 days of service of the com- (c) If the defendant is unable to file
plaint will result in the imposition of an answer meeting the requirements of
the maximum amount of penalties and paragraph (b) of this section within the
assessments without right to appeal as time provided, the defendant may, be-
provided in 1264.109. fore the expiration of 30 days from
(c) At the same time the defendant is service of the complaint, file with the
served with the complaint, he or she reviewing official a general answer de-
shall also be served with a nying liability and requesting a hear-

(1) Notice to Consent to the Chair- ing, and a request for an extension of
person of the NASA Board of Contract time within which to file an answer
282
meeting the requirements of paragraph shall withdraw the initial decision

(b) of this section. The reviewing offi- under paragraph (c) of this section, if
cial, as provided in 1264.110, shall file such a decision has been issued, and
promptly with the presiding officer the shall grant the defendant an oppor-
complaint, the general answer denying tunity to answer the complaint.
liability, and the request for an exten- (g) A decision of the presiding officer
sion of time. For good cause shown, the denying a defendants motion under
presiding officer may grant the defend- paragraph (e) of this section is not sub-
ant up to 30 additional days within ject to reconsideration under 1264.137.
which to file an answer meeting the re- (h) The defendant may appeal to the
quirements of paragraph (b) of this sec- authority head the decision denying a
tion. motion to reopen by filing a notice of
appeal with the authority head within
FR 600, Jan. 9, 1989] 15 days after the presiding officer de-
nies the motion. The timely filing of a
1264.109 Default upon failure to file notice of appeal shall stay the initial
an answer. decision until the authority head de-
(a) If the defendant does not file an cides the issue.
answer within the time prescribed in (i) If the defendant files a timely no-
1264.108(a), the reviewing official may tice of appeal with the authority head,
refer the complaint to the presiding of- the presiding officer shall forward the
ficer. record of the proceeding to the author-
(b) Upon the referral of the com- ity head.
plaint, the presiding officer shall (j) The authority head shall decide
promptly serve on defendant, in the expeditiously whether extraordinary
manner prescribed in 1264.107, a notice circumstances excuse the defendants
that an initial decision will be issued failure to file a timely answer based
under this section. solely on the record before the pre-
(c) If the defendant fails to answer, siding officer.
the presiding officer shall assume the (k) If the authority head decides that
facts alleged in the complaint to be extraordinary circumstances excused
true and, if such facts establish liabil- the defendants failure to file a timely
ity under 1264.102, the presiding offi- answer, the authority head shall re-
cer shall issue an initial decision im- mand the case to the presiding officer
posing the maximum amount of pen- with instructions to grant the defend-
alties and assessments allowed under ant an opportunity to answer.
the statute. (l) If the authority head decides that
(d) Except as otherwise provided in the defendants failure to file a timely
this section, by failing to file a timely answer is not excused, the authority
answer, the defendant waives any right head shall reinstate the initial decision
to further review of the penalties and of the presiding officer, which shall be-
assessments imposed under paragraph come final and binding upon the par-
(c) of this section, and the initial deci- ties 30 days after the authority head
sion shall become final and binding issues such decision.
upon the parties 30 days after it is [52 FR 39498, Oct. 22, 1987, as amended at 80
issued. FR 42029, July 16, 2015]
(e) If, before such an initial decision
becomes final, the defendant files a 1264.110 Referral of complaint and
motion with the presiding officer seek- answer to the presiding officer.
ing to reopen on the grounds that ex- Upon receipt of an answer, the re-
traordinary circumstances prevented viewing official shall file the complaint
the defendant from filing an answer, and answer with the presiding officer,
the initial decision shall be stayed and include the name and address of
pending the presiding officers decision the attorney who will represent the au-
on the motion. thority before the presiding officer.
(f) If, on such motion, the defendant
1264.111 Notice of hearing.
can demonstrate extraordinary cir-

cumstances excusing the failure to file (a) When the presiding officer re-
a timely answer, the presiding officer ceives the complaint and answer, the
283
1264.112 14 CFR Ch. V (1116 Edition)
presiding officer shall promptly serve a vision or direction of, the investigating
notice of hearing upon the defendant in official or the reviewing official.
the manner prescribed by 1264.107. At (c) Except as provided in paragraph
the same time, the presiding officer (a) of this section, the representative
shall send a copy of such notice to the for the Government must be a member
representative of the authority. of the legal staff of the authority.
(b) Such notice shall include Nothing in this paragraph is intended
(1) The tentative time and place, and to prevent assistance to the Govern-
the nature of the hearing; ment representative by attorneys in
(2) The legal authority and jurisdic- the NASA organization or other gov-
tion under which the hearing is to be ernmental entities.
held;
(3) The matters of fact and law as- 1264.114 Ex parte contacts.
serted; No party or person (except employees
(4) A description of the procedures for
of the presiding officers office) shall
the conduct of the hearing;
communicate in any way with the pre-
(5) The name, address, and telephone
siding officer on any matter at issue in
number of the representative of the au-
a case, unless on notice and oppor-
thority and of the defendant;
tunity for all parties to participate.
(6) An opportunity for a settlement
This provision does not prohibit a per-
conference or proposals of adjustment
son or party from inquiring about the
through alternative dispute resolu-
status of a case or asking routine ques-
tions, if not already explored; and
(7) Such other matters as the pre- tions concerning administrative func-
siding officer deems appropriate. tions or procedures.
[52 FR 39498, Oct. 22, 1987, as amended at 80 [54 FR 600, Jan. 9, 1989]
FR 42029, July 16, 2015]
1264.115 Disqualification of review-
1264.112 Parties to the hearing. ing official or presiding officer.
(a) The parties to the hearing shall (a) A reviewing official or presiding
be the defendant and the authority. officer in a particular case may dis-
(b) Pursuant to 31 U.S.C. 3730(c)(5), a qualify himself or herself at any time.
private plaintiff under the False (b) A party may file with the pre-
Claims Act, as amended, may partici- siding officer a motion for disqualifica-
pate in these proceedings to the extent tion of a reviewing official or a pre-
authorized by the provisions of that siding officer. Such motion shall be ac-
Act. (See section 3 of the False Claims companied by an affidavit alleging per-
Amendments Act of 1986, Pub. L. 99562, sonal bias or other reason for disquali-
October 27, 1986.) fication.
(c) Such motion and affidavit shall be
1264.113 Separation of functions. filed promptly upon the partys dis-
(a) The investigating official, the recovery of reasons for disqualification,
viewing official, and any employee or or such objections shall be deemed
agent of the authority who takes part waived.
in investigating, preparing, or pre- (d) Such affidavit shall state specific
senting a particular case may not, in facts that support the partys belief
such case or a factually related case that personal bias or other reason for
(1) Participate in the hearing as the disqualification exists and the time
presiding officer; and circumstances of the partys dis-
(2) Participate or advise in the initial covery of such facts. It shall be accom-
decision or the review of the initial de- panied by a certificate of the rep-
cision by the authority head, except as resentative of record that it is made in
a witness or as the authority rep- good faith.
resentative in the administrative or ju- (e) Upon the filing of such a motion
dicial proceedings; or and affidavit, the presiding officer
(3) Make the collection of penalties shall proceed no further in the case
and assessments under 31 U.S.C. 3806. until the matter of disqualification is

(b) The presiding officer shall not be resolved in accordance with paragraph
responsible to, or subject to the super- (f) of this section.
284
(f)(1) If the presiding officer deter- fair and expeditious disposition of the
mines that a reviewing official is dis- proceeding;
qualified, the presiding officer shall (4) Administer oaths and affirma-
dismiss the complaint without preju- tions;
dice. (5) Issue subpoenas, requiring the at-
(2) If the presiding officer disqualifies tendance of witnesses and the produc-
himself or herself, the case shall be re- tion of documents at depositions or at
assigned promptly to another presiding hearings, which the presiding officer
officer. considers relevant and material;
(3) If the presiding officer denies a (6) Rule on motions and other proce-
motion to disqualify, the authority dural matters;
head may determine the matter only as (7) Regulate the scope and timing of
part of his or her review of the initial discovery;
decision upon appeal, if any. (8) Regulate the course of the hearing
and the conduct of representatives and
1264.116 Rights of parties.
parties;
Except as otherwise limited by this (9) Examine witnesses;
part, all parties may (10) Receive, rule on, exclude, or
(a) Be accompanied, represented, and limit evidence;
advised by a representative; (11) Upon motion of a party, take of-
(b) Participate in any conference ficial notice of facts;
held by the presiding officer; (12) Upon motion of a party, decide
(c) Conduct discovery; cases, in whole or in part, by summary
(d) Agree to stipulations of fact or judgment where there is no genuine
law, which shall be made part of the issue as to any material fact;
record; (13) Conduct any conference, argu-
(e) Present evidence relevant to the ment, or hearing on motions in person
issues at the hearing; or by telephone; and
(f) Present and cross-examine wit- (14) Exercise such other authority as
nesses; is necessary to carry out the respon-
(g) Present oral arguments at the sibilities of the presiding officer under
hearing as permitted by the presiding this part.
officer; and
(c) The presiding officer does not
(h) Submit written briefs and pro- have the authority to find Federal
posed findings of fact and conclusions statutes or regulations invalid.
of law after the hearing.
[52 FR 39498, Oct. 22, 1987, as amended at 80 FR 600, Jan. 9, 1989]
FR 42029, July 16, 2015]
1264.118 Prehearing conferences.
1264.117 Authority of the presiding
officer. (a) The presiding officer may sched-
(a) The presiding officer shall con- ule prehearing conferences as appro-
duct a fair and impartial hearing, avoid priate.
delay, maintain order, and assure that (b) Upon the motion of any party, the
a record of the proceeding is made. presiding officer shall schedule at least
(b) The presiding officer has the au- one prehearing conference at a reason-
thority to able time in advance of the hearing.
(1) Set and change the date, time, (c) The presiding officer may use pre-
and place of the hearing upon reason- hearing conferences to discuss the fol-
able notice to the parties; lowing:
(2) Continue or recess the hearing in (1) Simplification of the issues;
whole or in part for a reasonable period (2) The necessity or desirability of
of time; amendments to the pleadings, includ-
(3) Hold conferences to identify or ing the need for a more definite state-
simplify the issues, or to consider ment;
other matters, including settlement (3) Stipulations and admissions of

conferences or other alternative dis- fact or as to the contents and authen-
pute resolution, that may aid in the ticity of documents;
285
1264.119 14 CFR Ch. V (1116 Edition)
(4) Whether the parties can agree to (d) The defendant may file a motion
submission of the case on a stipulated to compel disclosure of the documents
record; subject to the provisions of this sec-
(5) Whether a party chooses to waive tion. Such a motion may only be filed
appearance at an oral hearing and to with the presiding officer following the
submit only documentary evidence filing of an answer pursuant to
(subject to the objections of other par- 1264.108.
ties) and written arguments;
(6) Limitation of the number of wit- 1264.120 Discovery.
nesses; (a) The following types of discovery
(7) Scheduling dates for the exchange are authorized:
of witness lists and of proposed exhib- (1) Requests for production of docu-
its; ments for inspection and copying;
(8) Discovery; (2) Requests for admissions of the au-
(9) The time and place for the hear- thenticity of any relevant document or
ing; and of the truth of any relevant fact;
(10) Such other matters, including (3) Written interrogatories; and
settlement, as may tend to expedite (4) Depositions.
the fair and just disposition of the pro- (b) For the purpose of this section
ceedings. and 1264.121 and 1264.122, the term
(d) The presiding officer may issue an documents includes information, docu-
order containing all matters agreed ments, reports, answers, records, ac-
upon by the parties or ordered by the counts, papers, and other data and doc-
presiding officer at a prehearing con- umentary evidence which the presiding
ference. officer considers relevant and material
[52 FR 39498, Oct. 22, 1987, as amended at 54 to the hearing. Nothing contained
FR 600, Jan. 9, 1989] herein shall be interpreted to require
the creation of a document.
1264.119 Disclosure of documents. (c) Unless mutually agreed to by the
(a) Upon written request to the re- parties, discovery is available only as
viewing official, the defendant may re- ordered by the presiding officer. The
view any relevant and material docu- presiding officer shall regulate the tim-
ments, transcripts, records, and other ing of discovery.
materials that relate to the allegations (d) Motions for discovery. (1) A party
set out in the complaint and upon seeking discovery may file a motion
which the findings and conclusions of with the presiding officer. Such a mo-
the investigating official under tion shall be accompanied by a copy of
1264.103(b) are based unless such docu- the discovery request or, in the case of
ments are subject to a privilege under depositions, a summary of the scope of
Federal law. Upon payment of a rea- the proposed deposition.
sonable fee for duplication, the defend- (2) Within 10 days of service, a party
ant may obtain copies of such docu- may file an opposition to the motion
ments. and/or a motion for protective order as
(b) Upon written request to the re- provided in 1264.123.
viewing official, the defendant also (3) The presiding officer may grant a
may obtain a copy of all exculpatory motion for discovery only if he/she
information in the possession of the re- finds that the discovery sought
viewing official or investigating offi- (i) Is necessary for the expeditious,
cial relating to the allegations in the fair, and reasonable consideration of
complaint, even if it is contained in a the issues;
document that would otherwise be (ii) Is not unduly costly or burden-
privileged. If the document would oth- some;
erwise be privileged, only that portion (iii) Will not unduly delay the pro-
containing exculpatory information ceeding; and
must be disclosed. (iv) Does not seek privileged informa-
(c) The notice sent to the Attorney tion.
General from the reviewing official as (4) The burden of showing that dis-
described in 1264.104 is not discover- covery should be allowed is on the
able under any circumstances. party seeking discovery.
286
(5) The presiding officer may grant ance with paragraph (a) of this section
discovery subject to a protective order shall be deemed to be authentic for the
under 1264.123. purpose of admissibility at the hearing.
(e) Depositions. (1) If a motion for dep-
osition is granted, the presiding officer 1264.122 Subpoena for attendance at
shall issue a subpoena for the depo- hearing.
nent, which may require the deponent (a) A party wishing the appearance
to produce documents. The subpoena and testimony of any individual at the
shall specify the time and place at hearing may request that the presiding
which the deposition will be held. officer issue a subpoena.
(2) The party seeking to depose shall (b) A subpoena requiring the attend-
serve the subpoena in the manner pre- ance and testimony of an individual
scribed in 1264.107. may also require the individual to
(3) The deponent may file with the produce documents at the hearing.
presiding officer a motion to quash the (c) A party seeking a subpoena shall
subpoena or a motion for a protective file a written request therefor not less
order within 10 days of service. than 15 days before the date fixed for
(4) The party seeking to depose shall the hearing unless otherwise allowed
provide for the taking of a verbatim by the presiding officer for good cause
transcript of the deposition, which it shown. Such request shall specify any
shall make available to all other par- documents to be produced and shall
ties for inspection and copying. designate the witnesses and describe
(f) Each party shall bear its own the address and location thereof with
costs of discovery. sufficient particularity to permit such
witnesses to be found.
1264.121 Exchange of witness lists, (d) The subpoena shall specify the
statements, and exhibits. time and place at which the witness is
(a) At least 15 days before the hear- to appear and any documents the wit-
ing or at such other time as may be or- ness is to produce.
dered by the presiding officer, the par- (e) The party seeking the subpoena
ties shall exchange witness lists, copies shall serve it in the manner prescribed
of prior statements of proposed wit- in 1264.107. A subpoena on a party or
nesses, and copies of proposed hearing upon an individual under the control of
exhibits, including copies of any writ- a party may be served by first class
ten statements that the party intends mail.
to offer in lieu of live testimony in ac- (f) A party or the individual to whom
cordance with paragraph (b) of the subpoena is directed may file with
1264.132. At the time the above docu- the presiding officer a motion to quash
ments are exchanged, any party that the subpoena within 10 days after serv-
intends to rely on the transcript of ice or on or before the time specified in
deposition testimony in lieu of live tes- the subpoena for compliance if it is less
timony at the hearing, if permitted by than 10 days after service.
the presiding officer, shall provide each
party with a copy of the specific pages 1264.123 Protective order.
of the transcript it intends to intro- (a) A party or a prospective witness
duce into evidence. or deponent may file a motion for a
(b) If a party objects, the presiding protective order with respect to dis-
officer shall not admit into evidence covery sought by an opposing party or
the testimony of any witness whose with respect to the hearing, seeking to
name does not appear on the witness limit the availability or disclosure of
list or any exhibit not provided to the evidence.
opposing party, in accordance with (b) In issuing a protective order, the
paragraph (a) of this section, unless the presiding officer may make any order
presiding officer finds goods cause for which justice requires to protect a
the failure or that there is no prejudice party or person from annoyance, em-
to the objecting party. barrassment, oppression, or undue bur-
(c) Unless another party objects den or expense, including one or more
within the time set by the presiding of- of the following:
ficer, documents exchanged in accord- (1) That the discovery not be had;
287
1264.124 14 CFR Ch. V (1116 Edition)
(2) That the discovery may be had (3) Every pleading and paper shall be
only on specified terms and conditions, signed by, and shall contain the ad-
including a designation of the time or dress and telephone number of the
place; party or the person on whose behalf the
(3) That the discovery may be had paper was filed, or his or her represent-
only through a method of discovery ative.
other than that requested; (4) Papers are considered filed when
(4) That certain matters not be in- they are mailed. Date of mailing may
quired into, or that the scope of dis- be established by a certificate from the
covery be limited to certain matters; party or its representative or by proof
(5) That discovery be conducted with that the document was sent by cer-
no one present except persons des- tified or registered mail.
ignated by the presiding officer;
(b) Service. A party filing a document
(6) That the contents of discovery or
with the presiding officer shall, at the
evidence be sealed;
time of filing, serve a copy of such doc-
(7) That a deposition after being
ument on every other party. Service
sealed be opened only by order of the
presiding officer; upon any party of any document other
(8) That a trade secret or other con- than those required to be served as pre-
fidential research, development, com- scribed in 1264.107 shall be made by de-
mercial information, or facts per- livering a copy or by placing a copy of
taining to any criminal investigation, the document in the U.S. mail, postage
proceeding, or other administrative in- prepaid, and addressed to the partys
vestigation not be disclosed or be dis- last known address. When a party is
closed only in a designated way; or represented by a representative, serv-
(9) That the parties simultaneously ice shall be made upon such representa-
file specified documents or information tive.
enclosed in sealed envelopes to be (c) Proof of service. A certificate of
opened as directed by the presiding of- the individual serving the document by
ficer. personal delivery or by mail, setting
forth the manner of service, shall be
1264.124 Fees. proof of service.
The party requesting a subpoena
shall pay the cost of the fees and mile- FR 600, Jan. 9, 1989]
age of any witness subpoenaed in the
amounts that would be payable to a 1264.126 Computation of time.
witness in a proceeding in United
States District Court. A check for wit- (a) In computing any period of time
ness fees and mileage shall accompany under this part or in an order issued
the subpoena when served, except that thereunder, the time begins with the
when a subpoena is issued on behalf of day following the act, event, or default,
the authority, a check for witness fees and includes the last day of the period,
and mileage need not accompany the unless it is a Saturday, Sunday, or
subpoena. legal holiday observed by the Federal
government, in which event it includes
FR 42029, July 16, 2015] the next business day.
(b) When the period of time allowed
1264.125 Form, filing, and service of is less than 7 days, intermediate Satur-
papers. days, Sundays, and legal holidays ob-
(a) Form. (1) Documents filed with the served by the Federal government shall
presiding officer shall include an origi- be excluded from the computation.
nal and two copies. (c) Where a document has been served
(2) Every pleading and paper filed in or issued by placing it in the mail, an
the proceeding shall contain a caption additional 5 days will be added to the
setting forth the title of the action, the time permitted for any response.
case number assigned by the presiding

officer, and a designation of the paper
FR 600, Jan. 9, 1989]
(e.g., motion to quash subpoena).
288
1264.127 Motions. (2) In the case of requests for admis-

sion, deem each matter of which an ad-
(a) Any application to the presiding
mission is requested to be admitted;
officer for an order or ruling shall be
(3) Prohibit the party failing to com-
by motion. Motions shall state the re-
ply with such order from introducing
lief sought, the authority relied upon, evidence concerning, or otherwise rely-
and the facts alleged, and shall be filed ing upon testimony relating to, the in-
with the presiding officer and served on formation sought; and
all other parties. (4) Strike any part of the pleadings
(b) Except for motions made during a or other submissions of the party fail-
prehearing conference or at the hearing to comply with such request.
ing, all motions shall be in writing. (d) If a party fails to prosecute or de-
The presiding officer may require that fend an action under this part com-
oral motions be reduced to writing. menced by service of a notice of hear-
(c) Within 15 days after a written mo- ing, the presiding officer may dismiss
tion is served, or such other time as the action or may issue an initial deci-
may be fixed by the presiding officer, sion imposing penalties and assess-
any party may file a response to such ments.
motion. (e) The presiding officer may refuse
(d) The presiding officer may not to consider any motion, request, re-
grant a written motion before the time sponse, brief, or other document which
for filing responses thereto has expired, is not filed in a timely fashion.
except upon consent of the parties or
following a hearing on the motion, but 1264.129 The hearing and burden of
may overrule or deny such motion proof.
without awaiting a response. (a) The presiding officer shall con-
(e) The presiding officer shall make a duct a hearing on the record in order to
reasonable effort to dispose of all out- determine whether the defendant is lia-
standing motions prior to the begin- ble for a civil penalty or assessment
ning of the hearing. under 1264.102 and, if so, the appro-
priate amount of any such civil penalty
1264.128 Sanctions. or assessment considering any aggra-
(a) The presiding officer may sanc- vating or mitigating factors.
tion a person, including any party or (b) The authority shall prove defend-
ants liability and any aggravating fac-
representative for
tors by a preponderance of the evi-
(1) Failing to comply with an order,
dence.
rule, or procedure governing the pro-
(c) The defendant shall prove any af-
ceeding;
firmative defenses and any mitigating
(2) Failing to prosecute or defend an factors by a preponderance of the evi-
action; or dence.
(3) Engaging in other misconduct (d) The hearing shall be open to the
that interferes with the speedy, or- public unless otherwise ordered by the
derly, or fair conduct of the hearing. presiding officer for good cause shown.
(b) Any such sanction, including but
not limited to those listed in para- 1264.130 Determining the amount of
graphs (c), (d), and (e) of this section, penalties and assessments.
shall reasonably relate to the severity (a) In determining an appropriate
and nature of the failure or mis- amount of civil penalties and assess-
conduct. ments, the presiding officer, and the
(c) When a party fails to comply with authority head upon appeal, should
an order, including an order for taking evaluate any circumstances that miti-
a deposition, the production of evi- gate or aggravate the violation and
dence within the partys control, or a should articulate in their opinions the
request for admission, the presiding of- reasons that support the penalties and
ficer may assessments they impose. Because of
(1) Draw an inference in favor of the the intangible costs of fraud, the ex-
requesting party with regard to the in- pense of investigating such conduct,
formation sought; and the need to deter others who might
289
1264.131 14 CFR Ch. V (1116 Edition)
be similarly tempted, ordinarily double fendants prior participation in the

damages and a significant civil penalty program or in similar transactions;
should be imposed. (15) Whether the defendant has been
(b) Although not exhaustive, the fol- found, in any criminal, civil, or admin-
lowing factors are among those that istrative proceeding to have engaged in
may influence the presiding officer and similar misconduct or to have dealt
the authority head in determining the dishonestly with the Government of
amount of penalties and assessments to the United States or of a State, di-
impose with respect to the misconduct rectly or indirectly; and
(i.e., the false, fictitious, or fraudulent (16) The need to deter the defendant
claims or statements) charged in the and others from engaging in the same
complaint: or similar misconduct.
(1) The number of false, fictitious, or (c) Nothing in this section shall be
fraudulent claims or statements; construed to limit the presiding officer
(2) The time period over which such or the authority head from considering
claims or statements were made; any other factors that in any given
(3) The degree of the defendants cul- case may mitigate or aggravate the of-
pability with respect to the mis- fense for which penalties and assess-
conduct; ments are imposed.
(4) The amount of money or the value
of the property, services, or benefit 1264.131 Location of hearing.
falsely claimed; (a) The hearing may be held
(5) The value of the Governments ac- (1) In any judicial district of the
tual loss as a result of the misconduct, United States in which the defendant
including foreseeable consequential resides or transacts business;
damages and the costs of investigation; (2) In any judicial district of the
(6) The relationship of the amount United States in which the claim or
imposed as civil penalties to the statement in issue was made; or
amount of the Governments loss; (3) In such other place as may be
(7) The potential or actual impact of agreed upon by the defendant and the
the misconduct upon national defense, presiding officer.
public health or safety, or public con- (b) Each party shall have the oppor-
fidence in the management of Govern- tunity to present argument with re-
ment programs and operations, includ- spect to the location of the hearing.
ing particularly the impact on the in- (c) The hearing shall be held at the
tended beneficiaries of such programs; place and at the time ordered by the
(8) Whether the defendant has en- presiding officer.
gaged in a pattern of the same or simi-
lar misconduct; 1264.132 Witnesses.
(9) Whether the defendant attempted (a) Except as provided in paragraph
to conceal the misconduct; (b) of this section, testimony at the
(10) The degree to which the defend- hearing shall be given orally by wit-
ant has involved others in the mis- nesses under oath or affirmation.
conduct or in concealing it; (b) At the discretion of the presiding
(11) Where the misconduct of employ- officer, testimony may be admitted in
ees or agents is imputed to the defend- the form of a written statement or dep-
ant, the extent to which the defend- osition. Any such written statement
ants practices fostered or attempted must be provided to all other parties
to preclude such misconduct; along with the last known address of
(12) Whether the defendant cooper- such witness, in a manner which allows
ated in or obstructed an investigation sufficient time for other parties to sub-
of the misconduct; poena such witness for cross-examina-
(13) Whether the defendant assisted tion at the hearing. Prior written
in identifying and prosecuting other statements of witnesses proposed to
wrongdoers; testify at the hearing and deposition
(14) The complexity of the program transcripts shall be exchanged as pro-
or transaction, and the degree of the vided in 1264.121(a).

defendants sophistication with respect (c) The presiding officer shall exer-
to it, including the extent of the de- cise reasonable control over the mode
290
and order of interrogating witnesses substantially outweighed by the danger

and presenting evidence so as to make of unfair prejudice, confusion of the
the interrogation and presentation ef- issues, or by considerations of undue
fective for the ascertainment of the delay or needless presentation of cumu-
truth, avoid needless consumption of lative evidence.
time, and protect witnesses from har- (e) Although relevant, evidence may
assment or undue embarrassment. be excluded if it is privileged under
(d) The presiding officer shall permit Federal law.
the parties to conduct such cross-ex- (f) Evidence concerning offers of com-
amination as may be required for a full promise or settlement shall be inad-
and true disclosure of the facts.
missible to the extent provided in Rule
(e) At the discretion of the presiding
408 of the Federal Rules of Evidence.
officer, a witness may be cross-exam-
ined on matters relevant to the pro- (g) The presiding officer shall permit
ceeding without regard to the scope of the parties to introduce rebuttal wit-
his or her direct examination. To the nesses and evidence.
extent permitted by the presiding offi- (h) All documents and other evidence
cer, cross-examination on matters out- offered or taken for the record shall be
side the scope of direct examination open to examination by all parties, un-
shall be conducted in the manner of di- less otherwise ordered by the presiding
rect examination and may proceed by officer pursuant to 1264.123.
leading questions only if the witness is
a hostile witness, an adverse party, or 1264.134 The record.
a witness identified with an adverse (a) The hearing will be recorded and
party. transcribed. Transcripts may be ob-
(f) Upon motion of any party, the tained following the hearing from the
presiding officer shall order witnesses presiding officer at a cost not to exceed
excluded so that they cannot hear the the actual cost of duplication.
testimony of other witnesses. This rule (b) The transcript of testimony, ex-
does not authorize exclusion of hibits, and other evidence admitted at
(1) A party who is an individual;
the hearing, and all papers and re-
(2) In the case of a party that is not
quests filed in the proceeding con-
an individual, an officer or employee of
stitute the record for the decision by
the party appearing for the entity pro
the presiding officer and the authority
se or designated by the partys rep-
resentative; or head.
(3) An individual whose presence is (c) The record may be inspected and
shown by a party to be essential to the copied (upon payment of a reasonable
presentation of its case, including an fee) by anyone, unless otherwise or-
individual employed by the Govern- dered by the presiding officer pursuant
ment engaged in assisting the rep- to 1264.123.
resentative for the Government.
1264.135 Post-hearing briefs.
FR 600, Jan. 9, 1989] The presiding officer may require the
parties to file post-hearing briefs. In
1264.133 Evidence. any event, upon approval of the pre-
(a) The presiding officer shall deter- siding officer, any party may file a
mine the admissibility of evidence. post-hearing brief. The presiding offi-
(b) Except as provided herein, the cer shall fix the time for filing such
presiding officer shall not be bound by briefs, not to exceed 60 days from the
the Federal Rules of Evidence. How- date the parties receive the transcript
ever, the presiding officer may apply of the hearing or, if applicable, the
the Federal Rules of Evidence where stipulated record. Such briefs may be
appropriate, e.g., to exclude unreliable accompanied by proposed findings of
evidence. fact and conclusions of law. The pre-
(c) The presiding officer shall exclude siding officer may permit the parties to
irrelevant and immaterial evidence. file reply briefs, and may grant an ex-
(d) Although relevant, evidence may tension of the 60-day time period or
be excluded if its probative value is other time for good cause shown.
291
1264.136 14 CFR Ch. V (1116 Edition)
1264.136 Initial decision. to be 5 days from the date of mailing in

the absence of contrary proof.
(a) The presiding officer shall issue
an initial decision based solely on the (b) Every such motion must set forth
record, which shall contain findings of the matters claimed to have been erro-
fact, conclusions of law, and the neously decided and the nature of the
amount of any penalties and assess- alleged errors. Such motion shall be
ments imposed. accompanied by a supporting brief.
(b) The findings of fact shall include (c) Responses to such motions shall
a finding on each of the following be allowed only upon request of the
issues: presiding officer.
(1) Whether the claims or statements (d) No party may file a motion for re-
identified in the complaint, or any por- consideration of an initial decision
tions thereof, violate 1264.102; that has been revised in response to a
(2) If the person is liable for penalties previous motion for reconsideration.
or assessments, the appropriate (e) The presiding officer may dispose
amount of any such penalties or assess- of a motion for reconsideration by de-
ments considering any mitigating or nying it or by issuing a revised initial
aggravating factors found in the case, decision.
such as those described in 1264.130. (f) If the presiding officer denies a
(c) The presiding officer shall motion for reconsideration, the initial
promptly serve the initial decision on decision shall constitute the final deci-
all parties within 90 days after the sion of the authority head and shall be
time for submission of post-hearing final and binding on the parties 30 days
briefs and reply briefs (if permitted) after the presiding officer denies the
has expired or upon notification that motion, unless the initial decision is
the record is now closed. The presiding timely appealed to the authority head
officer shall at the same time serve all in accordance with 1264.138.
parties with a statement describing the (g) If the presiding officer issues a re-
right of any defendant determined to vised initial decision, the revised deci-
be liable for a civil penalty or assess- sion shall constitute the final decision
ment to file a motion for reconsider- of the authority head and shall be final
ation with the presiding officer or a no- and binding on the parties 30 days after
tice of appeal with the authority head. it is issued, unless it is timely appealed
If the presiding officer fails to meet the to the authority head in accordance
deadline contained in this paragraph, with 1264.138.
he or she shall notify the parties of the [52 FR 39498, Oct. 22, 1987, as amended at 54
reason for the delay and shall set a new FR 600, Jan. 9, 1989]
deadline.
(d) Unless the initial decision of the 1264.138 Appeal to authority head.
presiding officer is timely appealed to (a) Any defendant who has filed a
the authority head, or a motion for re- timely answer and who is determined
consideration of the initial decision is in an initial decision to be liable for a
timely filed, the initial decision shall civil penalty or assessment may appeal
constitute the final decision of the au- such decision to the authority head by
thority head and shall be final and filing a notice of appeal with the au-
binding on the parties 30 days after it thority head in accordance with this
is issued by the presiding officer. section.
[52 FR 39498, Oct. 22, 1987, as amended at 54 (b) The time for appeal to the author-
FR 600, Jan. 9, 1989] ity head is as follows:
(1) A notice of appeal may be filed at
1264.137 Reconsideration of initial any time within 30 days after the pre-
decision. siding officer issues an initial decision.
(a) Except as provided in paragraph However, if any other party files a mo-
(d) of this section, any party may file a tion for a reconsideration under
motion for reconsideration of the ini- 1264.137, consideration of the appeal
tial decision within 20 days of receipt shall be stayed automatically pending

of the initial decision. If service was resolution of the motion for reconsider-
made by mail, receipt will be presumed ation.
292
(2) If a motion for reconsideration is (k) The authority head shall prompt-
timely filed, a notice of appeal must be ly serve each party to the appeal with
filed within 30 days after the presiding a copy of the decision of the authority
officer denies the motion or issues a re- head. At the same time the authority
vised initial decision, whichever ap- head shall serve the defendant with a
plies. statement describing the defendants
(3) If no motion for reconsideration is right to seek judicial review.
timely filed, a notice of appeal must be (l) Unless a petition for review is
filed within 30 days after the presiding filed as provided in 31 U.S.C. 3805, after
officer issues the initial decision. a defendant has exhausted all adminis-
(4) The authority head may extend trative remedies under this part and
the initial 30-day period for an addi- within 60 days after the date on which
tional 30 days if the defendant files the authority head serves the defend-
with the authority head a request for ant with a copy of the authority heads
an extension within the initial 30-day decision, a determination that a de-
period and shows good cause. fendant is liable under 1264.102 is final
(c) If the defendant files a timely no- and is not subject to judicial review.
tice of appeal with the authority head
and the time for filing motions for re- [52 FR 39498, Oct. 22, 1987, as amended at 54
consideration under 1264.137 has ex- FR 600, Jan. 9, 1989]
pired, the presiding officer shall for-
ward the record of the proceeding to 1264.139 Stays ordered by the De-
the authority head. partment of Justice.
(d) A notice of appeal shall be accom- If at any time the Attorney General
panied by a written brief specifying ex- or an Assistant Attorney General des-
ceptions to the initial decision and rea- ignated by the Attorney General trans-
sons supporting the exceptions. mits to the authority head a written
(e) The representative for the Gov- finding that continuation of the admin-
ernment may file a brief in opposition istrative process described in this part
to exceptions within 30 days of receiv- with respect to a claim or statement
ing the notice of appeal and accom- may adversely affect any pending or
panying brief. potential criminal or civil action re-
(f) There is no right to appear person- lated to such claim or statement, the
ally before the authority head. authority head shall stay the process
(g) There is no right to appeal any in- immediately. If the process is before
terlocutory ruling by the presiding of- the presiding officer, the authority
ficer. head shall promptly transmit the find-
(h) In reviewing the initial decision, ing to the presiding officer, who, in
the authority head shall not consider turn, must stay the proceeding and
any objection that was not raised be- give notice to all parties and their rep-
fore the presiding officer unless a dem- resentatives. The authority head may
onstration is made of extraordinary order the process resumed only upon
circumstances causing the failure to receipt of the written authorization of
raise the objection. the Attorney General.
(i) If any party demonstrates to the
satisfaction of the authority head that 1264.140 Stay pending appeal.
additional evidence not presented at
(a) An initial decision is stayed auto-
such hearing is material and that there
matically pending disposition of a mo-
were reasonable grounds for the failure
to present such evidence at such hear- tion for reconsideration or of an appeal
ing, the authority head shall remand to the authority head.
the matter to the presiding officer for (b) No administrative stay is avail-
consideration of such additional evi- able following a final decision of the
dence. authority head.
(j) The authority head may affirm,
1264.141 Judicial review.
reduce, reverse, compromise, remand,
or settle any penalty or assessment, Section 3805 of Title 31, United States
determined by the presiding officer in Code, authorizes judicial review by an
any initial decision. appropriate United States District
293
1264.142 14 CFR Ch. V (1116 Edition)
Court of a final decision of the author- of any civil action to collect penalties
ity head imposing penalties or assess- and assessments under 1264.142.
ments under this part and specifies the (d) The Attorney General has exclu-
procedures for such review. sive authority to compromise or settle
a case under this part during the pend-
1264.142 Collection of civil penalties ency of any judicial review under 31
and assessments. U.S.C. 3805 or of any civil action to re-
Sections 3806 and 3808(b) of Title 31, cover penalties and assessments under
United States Code, authorize actions 31 U.S.C. 3806.
for collection of civil penalties and as- (e) The investigating official may
sessments imposed under this part and recommend settlement terms to the re-
specify the procedures for such actions. viewing official, the authority head, or
the Attorney General, as appropriate.
1264.143 Right to administrative off- The reviewing official may recommend
set. settlement terms to the authority
The amount of any penalty or assess- head, or the Attorney General, as ap-
ment which has become final, or for propriate.
which a judgment has been entered (f) Any compromise or settlement
under 1264.141 or 1264.142, or any must be in writing.
amount agreed upon in a compromise
or settlement under 1264.145, may be 1264.146 Limitations.
collected by administrative offset (a) The notice of hearing with respect
under 31 U.S.C. 3716, except that an ad- to a claim or statement must be served
ministrative offset may not be made in the manner specified in 1264.107
under this subsection against a refund within 6 years after the date on which
of an overpayment of Federal taxes, such claim or statement is made.
then or later owing by the United (b) If the defendant fails to file a
States to the defendant. timely answer, service of a notice
under 1264.109(b) shall be deemed a no-
1264.144 Deposit in Treasury of tice of hearing for purposes of this sec-
United States. tion.
All amounts collected pursuant to (c) The statute of limitations may be
this part shall be deposited as miscella- extended by agreement of the parties.
neous receipts in the Treasury of the
United States, except as provided in 31 APPENDIX A TO PART 1264NOTICE TO
U.S.C. 3806(g). CONSENT TO THE CHAIRPERSON,
NASA BOARD OF CONTRACT APPEALS
1264.145 Compromise or settlement. (BCA), OR DESIGNEE, AS PRESIDING
(a) Parties may make offers of com- OFFICER
promise or settlement at any time, in- In accordance with the provisions of 14
cluding proposals for alternative dis- CFR 1264.106, you are hereby notified that
pute resolution. the Chairperson, NASA Board of Contract
(b) The reviewing official has the ex- Appeals (BCA), or designee, in addition to
clusive authority to compromise or other duties, upon your consent, may con-
settle a case under this part at any duct any or all proceedings as the presiding
officer, pursuant to 14 CFR part 1264 which
time after the date on which the re- implements the Program Fraud Civil Pen-
viewing official is permitted to refer alties Act of 1986.
allegations of liability to a presiding You should be aware that your decision to
officer and before the date on which consent, or not to consent, to the referral of
the presiding officer issues an initial this case to the NASA/BCA must be entirely
decision. voluntary. Only if you and the authority
(c) The authority head has exclusive head consent to this reference will either the
Chairperson or the designee to whom the
authority to compromise or settle a
case may be assigned be informed of your de-
case under this part at any time after cision.
the date on which the presiding officer An appeal from a decision by the presiding
issues an initial decision, except during officer under this consent procedure may be
the pendency of any judicial review taken in the same manner as an appeal from
under 1264.141 or during the pendency a decision by any other presiding officer, as
294
provided in 14 CFR 1264.136(d), 1264.137, NASA by requiring those entities to
1264.138, and 1264.141. make similar waivers of liability.
If you consent, you must sign, date, and re- Thus, NASA is required to include IGA-
turn this form within the 30-day period pro-
based cross-waivers in agreements for
vided for your answer (see 14 CFR 1264.108,
1264.109). ISS activities that fall within the
scope of Protected Space Operations,
consent: lllllllllllllllllll
(Signature of person alleged to be liable) as defined in 1266.102. The provisions
of 1266.102 provide the regulatory
llllllllllllllllllllllll
(Print name) basis for cross-waiver clauses to be in-
llllllllllllllllllllllll corporated into NASA agreements for
(Date of signature) activities that implement the IGA and
the memoranda of understanding be-
PART 1266CROSS-WAIVER OF tween the United States and its respec-
tive international partners. The provi-
LIABILITY sions of 1266.104 provide the regu-
latory basis for cross-waiver clauses to
Sec.
1266.100 Purpose. be incorporated into NASA launch
1266.101 Scope. agreements for science or space explo-
1266.102 Cross-waiver of liability for agree- ration activities unrelated to the ISS.
ments for activities related to the Inter-
national Space Station. 1266.102 Cross-waiver of liability for
1266.103 [Reserved] agreements for activities related to
1266.104 Cross-waiver of liability for launch the International Space Station.
agreements for science or space explo- (a) The objective of this section is to
ration activities unrelated to the Inter-
national Space Station.
implement NASAs responsibility to
flow down the cross-waiver of liability
AUTHORITY: 51 U.S.C. 20139 and 51 U.S.C. in Article 16 of the IGA to its related
20113(a), (e), and (f). entities in the interest of encouraging
SOURCE: 73 FR 10148, Feb. 26, 2008, unless participation in the exploration, ex-
otherwise noted. ploitation, and use of outer space
through the International Space Sta-
1266.100 Purpose. tion (ISS). The IGA declares the Part-
The purpose of this Part is to ensure ner States intention that the cross-
that consistent cross-waivers of liabil- waiver of liability be broadly construed
ity are included in NASA agreements to achieve this objective.
for activities related to the ISS and for (b) For the purposes of this section:
NASAs science or space exploration (1) The term Party means a party
activities unrelated to the ISS that in- to a NASA agreement involving activi-
volve a launch. ties in connection with the ISS.
(2)(i) The term related entity
1266.101 Scope. means:
The provisions at 1266.102 are in- (A) A contractor or subcontractor of
tended to implement the cross-waiver a Party or a Partner State at any tier;
requirement in Article 16 of the inter- (B) A user or customer of a Party or
governmental agreement entitled, a Partner State at any tier; or
Agreement Among the Government of (C) A contractor or subcontractor of
Canada, Governments of Member a user or customer of a Party or a
States of the European Space Agency, Partner State at any tier.
the Government of Japan, the Govern- (ii) The terms contractor and
ment of the Russian Federation, and subcontractor include suppliers of
the Government of the United States of any kind.
America concerning Cooperation on (iii) The term related entity may
the Civil International Space Station also apply to a State, or an agency or
(IGA). Article 16 establishes a cross- institution of a State, having the same
waiver of liability for use by the Part- relationship to a Partner State as de-
ner States and their related entities scribed in paragraphs (b)(2)(i)(A)
and requires that this reciprocal waiv- through (b)(2)(i)(C) of this section or
er of claims be extended to contrac- otherwise engaged in the implementa-
tually or otherwise-related entities of tion of Protected Space Operations as
295
1266.102 14 CFR Ch. V (1116 Edition)
defined in paragraph (b)(6) of this sec- returns to the same location on a space
tion. object.
(3) The term damage means: (8) The term Partner State in-
(i) Bodily injury to, or other impair- cludes each Contracting Party for
ment of health of, or death of, any per- which the IGA has entered into force,
son; pursuant to Article 25 of the IGA or
(ii) Damage to, loss of, or loss of use pursuant to any successor agreement.
of any property; A Partner State includes its Cooper-
(iii) Loss of revenue or profits; or ating Agency. It also includes any enti-
ty specified in the Memorandum of Un-
(iv) Other direct, indirect, or con-
derstanding (MOU) between NASA and
sequential damage.
the Government of Japan to assist the
(4) The term launch vehicle means Government of Japans Cooperating
an object, or any part thereof, intended Agency in the implementation of that
for launch, launched from Earth, or re- MOU.
turning to Earth which carries pay- (c)(1) Cross-waiver of liability: Each
loads or persons, or both. Party agrees to a cross-waiver of liabil-
(5) The term payload means all ity pursuant to which each Party
property to be flown or used on or in a waives all claims against any of the en-
launch vehicle or the ISS. tities or persons listed in paragraphs
(6) The term Protected Space Oper- (c)(1)(i) through (c)(1)(iv) of this sec-
ations means all launch or transfer tion based on damage arising out of
vehicle activities, ISS activities, and Protected Space Operations. This
payload activities on Earth, in outer cross-waiver shall apply only if the per-
space, or in transit between Earth and son, entity, or property causing the
outer space in implementation of the damage is involved in Protected Space
IGA, MOUs concluded pursuant to the Operations and the person, entity, or
IGA, and implementing arrangements. property damaged is damaged by virtue
It includes, but is not limited to: of its involvement in Protected Space
(i) Research, design, development, Operations. The cross-waiver shall
test, manufacture, assembly, integra- apply to any claims for damage, what-
tion, operation, or use of launch or ever the legal basis for such claims,
transfer vehicles, the ISS, payloads, or against:
instruments, as well as related support (i) Another Party;
equipment and facilities and services; (ii) A Partner State other than the
and United States of America;
(ii) All activities related to ground (iii) A related entity of any entity
support, test, training, simulation, or identified in paragraph (c)(1)(i) or
guidance and control equipment and (c)(1)(ii) of this section; or
related facilities or services. Pro- (iv) The employees of any of the enti-
tected Space Operations also includes ties identified in paragraphs (c)(1)(i)
all activities related to evolution of through (c)(1)(iii) of this section.
the ISS, as provided for in Article 14 of (2) In addition, each Party shall, by
the IGA. Protected Space Operations contract or otherwise, extend the
excludes activities on Earth which are cross-waiver of liability, as set forth in
conducted on return from the ISS to paragraph (c)(1) of this section, to its
develop further a payloads product or related entities by requiring them, by
process for use other than for ISS-re- contract or otherwise, to:
lated activities in implementation of (i) Waive all claims against the enti-
the IGA. ties or persons identified in paragraphs
(7) The term transfer vehicle (c)(1)(i) through (c)(1)(iv) of this sec-
means any vehicle that operates in tion; and
space and transfers payloads or persons (ii) Require that their related enti-
or both between two different space ob- ties waive all claims against the enti-
jects, between two different locations ties or persons identified in paragraphs
on the same space object, or between a (c)(1)(i) through (c)(1)(iv) of this sec-
space object and the surface of a celes- tion.

tial body. A transfer vehicle also in- (3) For avoidance of doubt, this cross-
cludes a vehicle that departs from and waiver of liability includes a cross-
296
waiver of claims arising from the Con- (b) For purposes of this section:
vention on International Liability for (1) The term Party means a party
Damage Caused by Space Objects, to a NASA agreement for science or
which entered into force on September space exploration activities unrelated
1, 1972, where the person, entity, or to the ISS that involve a launch.
property causing the damage is in- (2) (i) The term related entity
volved in Protected Space Operations means:
and the person, entity, or property (A) A contractor or subcontractor of
damaged is damaged by virtue of its in- a Party at any tier;
volvement in Protected Space Oper- (B) A user or customer of a Party at
ations. any tier; or
(4) Notwithstanding the other provi-
(C) A contractor or subcontractor of
sions of this section, this cross-waiver
a user or customer of a Party at any
of liability shall not be applicable to:
tier.
(i) Claims between a Party and its
own related entity or between its own (ii) The terms contractor and
related entities; subcontractor include suppliers of
(ii) Claims made by a natural person, any kind.
his/her estate, survivors or subrogees (iii) The term related entity may
(except when a subrogee is a Party to also apply to a State or an agency or
the agreement or is otherwise bound by institution of a State, having the same
the terms of this cross-waiver) for bod- relationship to a Party as described in
ily injury to, or other impairment of paragraphs (b)(2)(i)(A) through
health of, or death of, such person; (b)(2)(i)(C) of this section, or otherwise
(iii) Claims for damage caused by engaged in the implementation of Pro-
willful misconduct; tected Space Operations as defined in
(iv) Intellectual property claims; paragraph (b)(6) of this section.
(v) Claims for damage resulting from (3) The term damage means:
a failure of a Party to extend the cross- (i) Bodily injury to, or other impair-
waiver of liability to its related enti- ment of health of, or death of, any per-
ties, pursuant to paragraph (c)(2) of son;
this section; or (ii) Damage to, loss of, or loss of use
(vi) Claims by a Party arising out of of any property;
or relating to another Partys failure (iii) Loss of revenue or profits; or
to perform its obligations under the (iv) Other direct, indirect, or con-
agreement. sequential damage.
(5) Nothing in this section shall be (4) The term launch vehicle means
construed to create the basis for a an object, or any part thereof, intended
claim or suit where none would other- for launch, launched from Earth, or re-
wise exist. turning to Earth which carries pay-
(6) This cross-waiver shall not be ap- loads or persons, or both.
plicable when 49 U.S.C. Subtitle IX, (5) The term payload means all
Chapter. 701 is applicable. property to be flown or used on or in a
launch vehicle.
1266.103 [Reserved]
(6) The term Protected Space Oper-
1266.104 Cross-waiver of liability for ations means all launch or transfer
launch agreements for science or vehicle activities and payload activi-
space exploration activities unre- ties on Earth, in outer space, or in
lated to the International Space transit between Earth and outer space
Station. in implementation of an agreement for
(a) The purpose of this section is to launch services. Protected Space Oper-
implement a cross-waiver of liability ations begins at the signature of the
between the parties to agreements for agreement and ends when all activities
NASAs science or space exploration done in implementation of the agree-
activities that are not related to the ment are completed. It includes, but is
International Space Station (ISS) but not limited to:
involve a launch. It is intended that (i) Research, design, development,

the cross-waiver of liability be broadly test, manufacture, assembly, integra-
construed to achieve this objective. tion, operation, or use of launch or
297
1266.104 14 CFR Ch. V (1116 Edition)
transfer vehicles, payloads, or instru- (i) Waive all claims against the enti-
ments, as well as related support equip- ties or persons identified in paragraphs
ment and facilities and services; and (c)(1)(i) through (c)(1)(iv) of this sec-
(ii) All activities related to ground tion; and
support, test, training, simulation, or (ii) Require that their related enti-
guidance and control equipment and ties waive all claims against the enti-
related facilities or services. The term ties or persons identified in paragraphs
Protected Space Operations excludes (c)(1)(i) through (c)(1)(iv) of this sec-
activities on Earth that are conducted tion.
on return from space to develop further
(3) For avoidance of doubt, this cross-
a payloads product or process for use
waiver of liability includes a cross-
other than for the activities within the
scope of an agreement for launch serv- waiver of claims arising from the Con-
ices. vention on International Liability for
(7) The term transfer vehicle Damage Caused by Space Objects,
means any vehicle that operates in which entered into force on September
space and transfers payloads or persons 1, 1972, where the person, entity, or
or both between two different space ob- property causing the damage is in-
jects, between two different locations volved in Protected Space Operations
on the same space object, or between a and the person, entity, or property
space object and the surface of a celes- damaged is damaged by virtue of its in-
tial body. A transfer vehicle also involvement in Protected Space Oper-
cludes a vehicle that departs from and ations.
returns to the same location on a space (4) Notwithstanding the other provi-
object. sions of this section, this cross-waiver
(c)(1) Cross-waiver of liability: Each of liability shall not be applicable to:
Party agrees to a cross-waiver of liabil- (i) Claims between a Party and its
ity pursuant to which each Party own related entity or between its own
waives all claims against any of the en- related entities;
tities or persons listed in paragraphs
(ii) Claims made by a natural person,
(c)(1)(i) through (c)(1)(iv) of this sec-
his/her estate, survivors, or subrogees
tion based on damage arising out of
Protected Space Operations. This (except when a subrogee is a Party to
cross-waiver shall apply only if the per- the agreement or is otherwise bound by
son, entity, or property causing the the terms of this cross-waiver) for bod-
damage is involved in Protected Space ily injury to, or other impairment of
Operations and the person, entity, or health of, or death of, such person;
property damaged is damaged by virtue (iii) Claims for damage caused by
of its involvement in Protected Space willful misconduct;
Operations. The cross-waiver shall (iv) Intellectual property claims;
apply to any claims for damage, what- (v) Claims for damages resulting
ever the legal basis for such claims, from a failure of a Party to extend the
against: cross-waiver of liability to its related
(i) Another Party; entities, pursuant to paragraph (c)(2) of
(ii) A party to another NASA agree- this section; or
ment that includes flight on the same (vi) Claims by a Party arising out of
launch vehicle; or relating to another Partys failure
(iii) A related entity of any entity to perform its obligations under the
identified in paragraphs (c)(1)(i) or agreement.
(c)(1)(ii) of this section; or
(5) Nothing in this section shall be
(iv) The employees of any of the enti-
ties identified in paragraphs (c)(1)(i) construed to create the basis for a
through (c)(1)(iii) of this section. claim or suit where none would other-
(2) In addition, each Party shall ex- wise exist.
tend the cross-waiver of liability, as (6) This cross-waiver shall not be ap-
set forth in paragraph (c)(1) of this sec- plicable when 49 U.S.C. Subtitle IX,
tion, to its own related entities by re- Chapter 701 is applicable.

quiring them, by contract or otherwise,
to:
298
PART 1271NEW RESTRICTIONS ON grant, the making of any Federal loan,

LOBBYING the entering into of any cooperative
agreement, and the extension, continu-
Subpart AGeneral ation, renewal, amendment, or modi-
fication of any Federal contract, grant,
Sec. loan, or cooperative agreement.
1271.100 Conditions on use of funds.
1271.105 Definitions. (b) Each person who requests or re-
1271.110 Certification and disclosure. ceives from an agency a Federal con-
tract, grant, loan, or cooperative
Subpart BActivities by Own Employees agreement shall file with that agency a
1271.200 Agency and legislative liaison. certification, set forth in appendix A,
1271.205 Professional and technical services. that the person has not made, and will
1271.210 Reporting. not make, any payment prohibited by
paragraph (a) of this section.
Subpart CActivities by Other Than Own (c) Each person who requests or re-
Employees ceives from an agency a Federal con-
1271.300 Professional and technical services. tract, grant, loan, or a cooperative
agreement shall file with that agency a
Subpart DPenalties and Enforcement disclosure form, set forth in appendix
1271.400 Penalties. B, if such person has made or has
1271.405 Penalty procedures. agreed to make any payment using
1271.410 Enforcement. nonappropriated funds (to include prof-
its from any covered Federal action),
Subpart EExemptions which would be prohibited under para-
1271.500 Secretary of Defense. graph (a) of this section if paid for with
appropriated funds.
Subpart FAgency Reports (d) Each person who requests or re-
1271.600 Semi-annual compilation. ceives from an agency a commitment
1271.605 Inspector General report. providing for the United States to in-
APPENDIX A TO PART 1271CERTIFICATION RE- sure or guarantee a loan shall file with
GARDING LOBBYING that agency a statement, set forth in
APPENDIX B TO PART 1271DISCLOSURE FORM appendix A, whether that person has
TO REPORT LOBBYING made or has agreed to make any pay-
AUTHORITY: Section 319, Pub. L. 101121 (31 ment to influence or attempt to influ-
U.S.C. 1352); Pub. L. 97258 (31 U.S.C. 6301 et ence an officer or employee of any
seq.) agency, a Member of Congress, an offi-
CROSS REFERENCE: See also Office of Man- cer or employee of Congress, or an em-
agement and Budget notice published at 54 ployee of a Member of Congress in con-
FR 52306, December 20, 1989. nection with that loan insurance or
SOURCE: 55 FR 6737, 6748, Feb. 26, 1990, un- guarantee.
less otherwise noted. (e) Each person who requests or re-
ceives from an agency a commitment
Subpart AGeneral providing for the United States to in-
sure or guarantee a loan shall file with
1271.100 Conditions on use of funds.
that agency a disclosure form, set forth
(a) No appropriated funds may be ex- in appendix B, if that person has made
pended by the recipient of a Federal or has agreed to make any payment to
contract, grant, loan, or cooperative influence or attempt to influence an of-
ageement to pay any person for influ- ficer or employee of any agency, a
encing or attempting to influence an Member of Congress, an officer or em-
officer or employee of any agency, a ployee of Congress, or an employee of a
Member of Congress, an officer or em- Member of Congress in connection with
ployee of Congress, or an employee of a
that loan insurance or guarantee.
Member of Congress in connection with
any of the following covered Federal 1271.105 Definitions.

actions: the awarding of any Federal
contract, the making of any Federal For purposes of this part:
299
1271.105 14 CFR Ch. V (1116 Edition)
(a) Agency, as defined in 5 U.S.C. (h) Influencing or attempting to influ-

552(f), includes Federal executive de- ence means making, with the intent to
partments and agencies as well as inde- influence, any communication to or ap-
pendent regulatory commissions and pearance before an officer or employee
Government corporations, as defined in or any agency, a Member of Congress,
31 U.S.C. 9101(1). an officer or employee of Congress, or
(b) Covered Federal action means any an employee of a Member of Congress
of the following Federal actions: in connection with any covered Federal
(1) The awarding of any Federal con- action.
tract; (i) Loan guarantee and loan insurance
(2) The making of any Federal grant; means an agencys guarantee or insur-
(3) The making of any Federal loan; ance of a loan made by a person.
(4) The entering into of any coopera- (j) Local government means a unit of
tive agreement; and, government in a State and, if char-
(5) The extension, continuation, re- tered, established, or otherwise recog-
newal, amendment, or modification of nized by a State for the performance of
any Federal contract, grant, loan, or a governmental duty, including a local
cooperative agreement. public authority, a special district, an
Covered Federal action does not in- intrastate district, a council of govern-
clude receiving from an agency a comments, a sponsor group representative
mitment providing for the United organization, and any other instrumen-
States to insure or guarantee a loan. tality of a local government.
Loan guarantees and loan insurance (k) Officer or employee of an agency in-
are addressed independently within
cludes the following individuals who
this part.
are employed by an agency:
(c) Federal contract means an acquisi-
(1) An individual who is appointed to
tion contract awarded by an agency,
including those subject to the Federal a position in the Government under
Acquisition Regulation (FAR), and any title 5, U.S. Code, including a position
other acquisition contract for real or under a temporary appointment;
personal property or services not sub- (2) A member of the uniformed serv-
ject to the FAR. ices as defined in section 101(3), title 37,
(d) Federal cooperative agreement U.S. Code;
means a cooperative agreement en- (3) A special Government employee
tered into by an agency. as defined in section 202, title 18, U.S.
(e) Federal grant means an award of Code; and,
financial assistance in the form of (4) An individual who is a member of
money, or property in lieu of money, a Federal advisory committee, as de-
by the Federal Government or a direct fined by the Federal Advisory Com-
appropriation made by law to any per- mittee Act, title 5, U.S. Code appendix
son. The term does not include tech- 2.
nical assistance which provides serv- (l) Person means an individual, cor-
ices instead of money, or other assist- poration, company, association, au-
ance in the form of revenue sharing, thority, firm, partnership, society,
loans, loan guarantees, loan insurance, State, and local government, regard-
interest subsidies, insurance, or direct less of whether such entity is operated
United States cash assistance to an in-
for profit or not for profit. This term
dividual.
excludes an Indian tribe, tribal organi-
(f) Federal loan means a loan made by
zation, or any other Indian organiza-
an agency. The term does not include
tion with respect to expenditures spe-
loan guarantee or loan insurance.
cifically permitted by other Federal
(g) Indian tribe and tribal organization
have the meaning provided in section 4 law.
of the Indian Self-Determination and (m) Reasonable compensation means,
Education Assistance Act (25 U.S.C. with respect to a regularly employed
officer or employee of any person, com-
450B). Alaskan Natives are included

under the definitions of Indian tribes in pensation that is consistent with the
that Act. normal compensation for such officer
300
or employee for work that is not fur- (1) Award of a Federal contract,
nished to, not funded by, or not fur- grant, or cooperative agreement ex-
nished in cooperation with the Federal ceeding $100,000; or
Government. (2) An award of a Federal loan or a
(n) Reasonable payment means, with commitment providing for the United
respect to perfessional and other tech- States to insure or guarantee a loan
nical services, a payment in an amount exceeding $150,000.
that is consistent with the amount nor- (b) Each person shall file a certifi-
mally paid for such services in the pri- cation, and a disclosure form, if re-
vate sector. quired, upon receipt by such person of:
(o) Recipient includes all contractors, (1) A Federal contract, grant, or co-
subcontractors at any tier, and sub- operative agreement exceeding $100,000;
grantees at any tier of the recipient of or
funds received in connection with a (2) A Federal loan or a commitment
Federal contract, grant, loan, or coop- providing for the United States to in-
erative agreement. The term excludes sure or guarantee a loan exceeding
an Indian tribe, tribal organization, or $150,000,
any other Indian organization with re-
Unless such person previously filed a
spect to expenditures specifically per-
certification, and a disclosure form, if
mitted by other Federal law.
(p) Regularly employed means, with required, under paragraph (a) of this
respect to an officer or employee of a section.
person requesting or receiving a Fed- (c) Each person shall file a disclosure
eral contract, grant, loan, or coopera- form at the end of each calendar quar-
tive agreement or a commitment pro- ter in which there occurs any event
viding for the United States to insure that requires disclosure or that materi-
or guarantee a loan, an officer or em- ally affects the accuracy of the infor-
ployee who is employed by such person mation contained in any disclosure
for at least 130 working days within form previously filed by such person
one year immediately preceding the under paragraphs (a) or (b) of this sec-
date of the submission that initiates tion. An event that materially affects
agency consideration of such person for the accuracy of the information re-
receipt of such contract, grant, loan, ported includes:
cooperative agreement, loan insurance (1) A cumulative increase of $25,000 or
commitment, or loan guarantee com- more in the amount paid or expected to
mitment. An officer or employee who is be paid for influencing or attempting
employed by such person for less than to influence a covered Federal action;
130 working days within one year im- or
mediately preceding the date of the (2) A change in the person(s) or indi-
submission that initiates agency con- vidual(s) influencing or attempting to
sideration of such person shall be con- influence a covered Federal action; or,
sidered to be regularly employed as (3) A change in the officer(s), em-
soon as he or she is employed by such ployee(s), or Member(s) contacted to
person for 130 working days. influence or attempt to influence a
(q) State means a State of the United covered Federal action.
States, the District of Columbia, the (d) Any person who requests or re-
Commonwealth of Puerto Rico, a terri- ceives from a person referred to in
tory or possession of the United States, paragraphs (a) or (b) of this section:
an agency or instrumentality of a (1) A subcontract exceeding $100,000
State, and a multi-State, regional, or at any tier under a Federal contract;
interstate entity having governmental (2) A subgrant, contract, or sub-
duties and powers. contract exceeding $100,000 at any tier
under a Federal grant;
1271.110 Certification and disclosure. (3) A contract or subcontract exceed-
(a) Each person shall file a certifi- ing $100,000 at any tier under a Federal
cation, and a disclosure form, if re- loan exceeding $150,000; or,
quired, with each submission that ini- (4) A contract or subcontract exceed-
tiates agency consideration of such ing $100,000 at any tier under a Federal
person for: cooperative agreement,
301
1271.200 14 CFR Ch. V (1116 Edition)
Shall file a certification, and a disclo- if the payment is for agency and legis-
sure form, if required, to the next tier lative liaison activities not directly re-
above. lated to a covered Federal action.
(e) All disclosure forms, but not cer- (b) For purposes of paragraph (a) of
tifications, shall be forwarded from this section, providing any information
tier to tier until received by the person specifically requested by an agency or
referred to in paragraphs (a) or (b) of Congress is allowable at any time.
this section. That person shall forward (c) For purposes of paragraph (a) of
all disclosure forms to the agency. this section, the following agency and
(f) Any certification or disclosure legislative liaison activities are allow-
form filed under paragraph (e) of this able at any time only where they are
section shall be treated as a material not related to a specific solicitation for
representation of fact upon which all any covered Federal action:
receiving tiers shall rely. All liability
(1) Discussing with an agency (in-
arising from an erroneous representa-
cluding individual demonstrations) the
tion shall be borne solely by the tier
qualities and characteristics of the per-
filing that representation and shall not
sons products or services, conditions
be shared by any tier to which the er-
or terms of sale, and service capabili-
roneous representation is forwarded.
ties; and,
Submitting an erroneous certification
or disclosure constitutes a failure to (2) Technical discussions and other
file the required certification or disclo- activities regarding the application or
sure, respectively. If a person fails to adaptation of the persons products or
file a required certification or disclo- services for an agencys use.
sure, the United States may pursue all (d) For purposes of paragraph (a) of
available remedies, including those au- this section, the following agencies and
thorized by section 1352, title 31, U.S. legislative liaison activities are allow-
Code. able only where they are prior to for-
(g) For awards and commitments in mal solicitation of any covered Federal
process prior to December 23, 1989, but action:
not made before that date, certifi- (1) Providing any information not
cations shall be required at award or specifically requested but necessary for
commitment, covering activities oc- an agency to make an informed deci-
curring between December 23, 1989, and sion about initiation of a covered Fed-
the date of award or commitment. eral action;
However, for awards and commitments (2) Technical discussions regarding
in process prior to the December 23, the preparation of an unsolicited pro-
1989 effective date of these provisions, posal prior to its official submission;
but not made before December 23, 1989, and,
disclosure forms shall not be required (3) Capability presentations by per-
at time of award or commitment but sons seeking awards from an agency
shall be filed within 30 days. pursuant to the provisions of the Small
(h) No reporting is required for an ac- Business Act, as amended by Public
tivity paid for with appropriated funds Law 95507 and other subsequent
if that activity is allowable under ei- amendments.
ther subpart B or C. (e) Only those activities expressly au-
thorized by this section are allowable
Subpart BActivities by Own under this section.
Employees
1271.205 Professional and technical
1271.200 Agency and legislative liai- services.
son. (a) The prohibition on the use of ap-
(a) The prohibition on the use of appropriated funds, in 1271.100(a), does
propriated funds, in 1271.100 (a), does not apply in the case of a payment of
not apply in the case of a payment of reasonable compensation made to an
reasonable compensation made to an officer or employee of a person request-
officer or employee of a person requesting or receiving a Federal contract,

ing or receiving a Federal contract, grant, loan, or cooperative agreement
grant, loan, or cooperative agreement or an extension, continuation, renewal,
302
amendment, or modification of a Fed- ing a covered Federal award include

eral contract, grant, loan, or coopera- those required by law or regulation, or
tive agreement if payment is for pro- reasonably expected to be required by
fessional or technical services rendered law or regulation, and any other re-
directly in the preparation, submis- quirements in the actual award docu-
sion, or negotiation of any bid, pro- ments.
posal, or application for that Federal (d) Only those services expressly au-
contract, grant, loan, or cooperative thorized by this section are allowable
agreement or for meeting requirements under this section.
imposed by or pursuant to law as a
condition for receiving that Federal 1271.210 Reporting.
contract, grant, loan, or cooperative No reporting is required with respect
agreement. to payments of reasonable compensa-
(b) For purposes of paragraph (a) of tion made to regularly employed offi-
this section, professional and tech- cers or employees of a person.
nical services shall be limited to ad-
vice and analysis directly applying any
professional or technical discipline. Subpart CActivities by Other
For example, drafting of a legal docu- Than Own Employees
ment accompanying a bid or proposal
by a lawyer is allowable. Similarly, 1271.300 Professional and technical
services.
technical advice provided by an engi-
neer on the performance or operational (a) The prohibition on the use of ap-
capability of a piece of equipment ren- propriated funds, in 1271.100(a), does
dered directly in the negotiation of a not apply in the case of any reasonable
contract is allowable. However, com- payment to a person, other than an of-
munications with the intent to influ- ficer or employee of a person request-
ence made by a professional (such as a ing or receiving a covered Federal ac-
licensed lawyer) or a technical person tion, if the payment is for professional
(such as a licensed accountant) are not or technical services rendered directly
allowable under this section unless in the preparation, submission, or ne-
they provide advice and analysis di- gotiation of any bid, proposal, or appli-
rectly applying their professional or cation for that Federal contract, grant,
technical expertise and unless the ad- loan, or cooperative agreement or for
vice or analysis is rendered directly meeting requirements imposed by or
and solely in the preparation, submis- pursuant to law as a condition for re-
sion or negotiation of a covered Fed- ceiving that Federal contract, grant,
eral action. Thus, for example, commu- loan, or cooperative agreement.
nications with the intent to influence (b) The reporting requirements in
made by a lawyer that do not provide 1271.110 (a) and (b) regarding filing a
legal advice or analysis directly and disclosure form by each person, if re-
solely related to the legal aspects of quired, shall not apply with respect to
his or her clients proposal, but gen- professional or technical services ren-
erally advocate one proposal over an- dered directly in the preparation, sub-
other are not allowable under this sec- mission, or negotiation of any commit-
tion because the lawyer is not pro- ment providing for the United States
viding professional legal services. to insure or guarantee a loan.
Similarly, communications with the (c) For purposes of paragraph (a) of
intent to influence made by an engi- this section, professional and tech-
neer providing an engineering analysis nical services shall be limited to ad-
prior to the preparation or submission vice and analysis directly applying any
of a bid or proposal are not allowable professional or technical discipline.
under this section since the engineer is For example, drafting or a legal docu-
providing technical services but not di- ment accompanying a bid or proposal
rectly in the preparation, submission by a lawyer is allowable. Similarly,
or negotiation of a covered Federal ac- technical advice provided by an engi-
tion. neer on the performance or operational

(c) Requirements imposed by or pur- capability of a piece of equipment ren-
suant to law as a condition for receiv- dered directly in the negotiation of a
303
1271.400 14 CFR Ch. V (1116 Edition)
contract is allowable. However, com- (b) Any person who fails to file or
munications with the intent to influ- amend the disclosure form (see appen-
ence made by a professional (such as a dix B) to be filed or amended if re-
licensed lawyer) or a technical person quired herein, shall be subject to a civil
(such as a licensed accountant) are not penalty of not less than $10,000 and not
allowable under this section unless more than $100,000 for each such fail-
they provide advice and analysis di- ure.
rectly applying their professional or (c) A filing or amended filing on or
technical expertise and unless the ad- after the date on which an administra-
vice or analysis is rendered directly tive action for the imposition of a civil
and solely in the preparation, submis- penalty is commenced does not prevent
sion or negotiation of a covered Fed- the imposition of such civil penalty for
eral action. Thus, for example, commu- a failure occurring before that date. An
nications with the intent to influence administrative action is commenced
made by a lawyer that do not provide with respect to a failure when an inves-
legal advice or analysis directly and tigating official determines in writing
solely related to the legal aspects of to commence an investigation of an al-
his or her clients proposal, but gen- legation of such failure.
erally advocate one proposal over an- (d) In determining whether to impose
other are not allowable under this sec- a civil penalty, and the amount of any
tion because the lawyer is not pro- such penalty, by reason of a violation
viding professional legal services. by any person, the agency shall con-
Similarly, communications with the sider the nature, circumstances, ex-
intent to influence made by an engi- tent, and gravity of the violation, the
neer providing an engineering analysis effect on the ability of such person to
prior to the preparation or submission continue in business, any prior viola-
of a bid or proposal are not allowable tions by such person, the degree of cul-
under this section since the engineer is pability of such person, the ability of
providing technical services but not di- the person to pay the penalty, and such
rectly in the preparation, submission other matters as may be appropriate.
or negotiation of a covered Federal ac- (e) First offenders under paragraphs
tion. (a) or (b) of this section shall be subject
(d) Requirements imposed by or pur- to a civil penalty of $10,000, absent ag-
suant to law as a condition for receiv- gravating circumstances. Second and
ing a covered Federal award include subsequent offenses by persons shall be
those required by law or regulation, or subject to an appropriate civil penalty
reasonably expected to be required by between $10,000 and $100,000, as deter-
law or regulation, and any other re- mined by the agency head or his or her
quirements in the actual award docu- designee.
ments. (f) An imposition of a civil penalty
(e) Persons other than officers or em- under this section does not prevent the
ployees of a person requesting or re- United States from seeking any other
ceiving a covered Federal action in- remedy that may apply to the same
clude consultants and trade associa- conduct that is the basis for the impo-
tions. sition of such civil penalty.
(f) Only those services expressly au- 1271.405 Penalty procedures.
thorized by this section are allowable
under this section. Agencies shall impose and collect
civil penalties pursuant to the provi-
sions of the Program Fraud and Civil
Subpart DPenalties and Remedies Act, 31 U.S.C. sections 3803
Enforcement (except subsection (c)), 3804, 3805, 3806,
3807, 3808, and 3812, insofar as these pro-
1271.400 Penalties. visions are not inconsistent with the
(a) Any person who makes an expend- requirements herein.
iture prohibited herein shall be subject
1271.410 Enforcement.
to a civil penalty of not less than

$10,000 and not more than $100,000 for The head of each agency shall take
each such expenditure. such actions as are necessary to ensure
304
that the provisions herein are vigor- Services of the Senate and the House of
ously implemented and enforced in Representatives (whichever such com-
that agency. mittees have jurisdiction of matters
involving such information) and to the
Subpart EExemptions Committees on Appropriations of the
Senate and the House of Representa-
1271.500 Secretary of Defense. tives in accordance with procedures
(a) The Secretary of Defense may ex- agreed to by such committees. Such in-
empt, on a case-by-case basis, a cov- formation shall not be available for
ered Federal action from the prohibi- public inspection.
tion whenever the Secretary deter- (e) The first semi-annual compilation
mines, in writing, that such an exemp- shall be submitted on May 31, 1990, and
tion is in the national interest. The shall contain a compilation of the dis-
Secretary shall transmit a copy of each closure reports received from Decem-
such written exemption to Congress ber 23, 1989 to March 31, 1990.
immediately after making such a de- (f) Major agencies, designated by the
termination. Office of Management and Budget
(b) The Department of Defense may (OMB), are required to provide ma-
issue supplemental regulations to im- chine-readable compilations to the
plement paragraph (a) of this section. Secretary of the Senate and the Clerk
of the House of Representatives no
Subpart FAgency Reports later than with the compilations due
on May 31, 1991. OMB shall provide de-
1271.600 Semi-annual compilation. tailed specifications in a memorandum
(a) The head of each agency shall col- to these agencies.
lect and compile the disclosure reports (g) Non-major agencies are requested
(see appendix B) and, on May 31 and to provide machine-readable compila-
November 30 of each year, submit to tions to the Secretary of the Senate
the Secretary of the Senate and the and the Clerk of the House of Rep-
Clerk of the House of Representatives a resentatives.
report containing a compilation of the (h) Agencies shall keep the originals
information contained in the disclo- of all disclosure reports in the official
sure reports received during the six- files of the agency.
month period ending on March 31 or 1271.605 Inspector General report.
September 30, respectively, of that
year. (a) The Inspector General, or other
(b) The report, including the com- official as specified in paragraph (b) of
pilation, shall be available for public this section, of each agency shall pre-
inspection 30 days after receipt of the pare and submit to Congress each year,
report by the Secretary and the Clerk. commencing with submission of the
(c) Information that involves intel- Presidents Budget in 1991, an evalua-
ligence matters shall be reported only tion of the compliance of that agency
to the Select Committee on Intel- with, and the effectiveness of, the re-
ligence of the Senate, the Permanent quirements herein. The evaluation may
Select Committee on Intelligence of include any recommended changes that
the House of Representatives, and the may be necessary to strengthen or im-
Committees on Appropriations of the prove the requirements.
Senate and the House of Representa- (b) In the case of an agency that does
tives in accordance with procedures not have an Inspector General, the
agreed to by such committees. Such in- agency official comparable to an In-
formation shall not be available for spector General shall prepare and sub-
public inspection. mit the annual report, or, if there is no
(d) Information that is classified such comparable official, the head of
under Executive Order 12356 or any suc- the agency shall prepare and submit
cessor order shall be reported only to the annual report.
the Committee on Foreign Relations of (c) The annual report shall be sub-
the Senate and the Committee on For- mitted at the same time the agency
eign Affairs of the House of Represent- submits its annual budget justifica-
atives or the Committees on Armed tions to Congress.
305
Pt. 1271, App. A 14 CFR Ch. V (1116 Edition)
(d) The annual report shall include and submit Standard Form-LLL, Disclosure
the following: All alleged violations re- Form to Report Lobbying, in accordance
lating to the agencys covered Federal with its instructions.
actions during the year covered by the (3) The undersigned shall require that the
language of this certification be included in
report, the actions taken by the head the award documents for all subawards at all
of the agency in the year covered by tiers (including subcontracts, subgrants, and
the report with respect to those alleged contracts under grants, loans, and coopera-
violations and alleged violations in tive agreements) and that all subrecipients
previous years, and the amounts of shall certify and disclose accordingly.
civil penalties imposed by the agency This certification is a material representa-
in the year covered by the report. tion of fact upon which reliance was placed
when this transaction was made or entered
APPENDIX A TO PART 1271 into. Submission of this certification is a
CERTIFICATION REGARDING LOBBYING prerequisite for making or entering into this
transaction imposed by section 1352, title 31,
Certification for Contracts, Grants, Loans, and U.S. Code. Any person who fails to file the
Cooperative Agreements required certification shall be subject to a
civil penalty of not less than $10,000 and not
The undersigned certifies, to the best of his
more than $100,000 for each such failure.
or her knowledge and belief, that:
(1) No Federal appropriated funds have Statement for Loan Guarantees and Loan
been paid or will be paid, by or on behalf of Insurance
the undersigned, to any person for influ-
encing or attempting to influence an officer The undersigned states, to the best of his
or employee of an agency, a Member of Con- or her knowledge and belief, that:
gress, an officer or employee of Congress, or If any funds have been paid or will be paid
an employee of a Member of Congress in con- to any person for influencing or attempting
nection with the awarding of any Federal to influence an officer or employee of any
contract, the making of any Federal grant, agency, a Member of Congress, an officer or
the making of any Federal loan, the entering employee of Congress, or an employee of a
into of any cooperative agreement, and the Member of Congress in connection with this
extension, continuation, renewal, amend- commitment providing for the United States
ment, or modification of any Federal con- to insure or guarantee a loan, the under-
tract, grant, loan, or cooperative agreement. signed shall complete and submit Standard
(2) If any funds other than Federal appro- Form-LLL, Disclosure Form to Report Lob-
priated funds have been paid or will be paid bying, in accordance with its instructions.
to any person for influencing or attempting Submission of this statement is a pre-
to influence an officer or employee of any requisite for making or entering into this
agency, a Member of Congress, an officer or transaction imposed by section 1352, title 31,
employee of Congress, or an employee of a U.S. Code. Any person who fails to file the
Member of Congress in connection with this required statement shall be subject to a civil
Federal contract, grant, loan, or cooperative penalty of not less than $10,000 and not more
agreement, the undersigned shall complete than $100,000 for each such failure.
306
National Aeronautics and Space Admin. Pt. 1271, App. B
APPENDIX B TO PART 1271DISCLOSURE FORM TO REPORT LOBBYING

307
EC09SE91.013</GPH>
Pt. 1271, App. B 14 CFR Ch. V (1116 Edition)
308
EC09SE91.014</GPH>
National Aeronautics and Space Admin. Pt. 1271, App. B
309
EC09SE91.015</GPH>
PART 1273 [RESERVED] Subpart 1274.7Suspension or Termination

1274.701 Suspension or termination.
PART 1274COOPERATIVE AGREE-
MENTS WITH COMMERCIAL Subpart 1274.8Post-Award/
FIRMS Administrative Requirements
1274.801 Adjustments to performance costs.
Subpart 1274.1General 1274.802 Modifications.
1274.8031274.804 [Reserved]
Sec.
1274.101 Purpose. Subpart 1274.9Other Provisions and
1274.102 Scope.
Special Conditions
1274.104 Effect on other issuances. 1274.901 Other provisions and special condi-
1274.105 Review requirements. tions.
1274.106 Deviations. 1274.902 Purpose.
1274.107 Publication of requirements. 1274.903 Responsibilities.
1274.904 Resource sharing requirements.
Subpart 1274.2Pre-Award Requirements 1274.905 Rights in data.
1274.906 Designation of new technology rep-
1274.201 Purpose.
resentative and patent representative.
1274.202 Methods of award.
1274.907 Disputes.
1274.203 Solicitations/Cooperative Agree-
1274.908 Milestone payments.
ment Notices.
1274.909 Term of agreement.
1274.204 Costs and payments.
1274.910 Authority.
1274.205 Consortia as recipients.
1274.911 Patent rights.
1274.206 Metric Conversion Act. 1274.912 Patent rightsretention by the re-
1274.207 Extended agreements. cipient (large business).
1274.208 Intellectual property. 1274.913 Patent rightsretention by the re-
1274.209 Evaluation and selection. cipient (small business).
1274.210 Unsolicited proposals. 1274.914 Requests for waiver of rightslarge
1274.211 Award procedures. business.
1274.212 Document format and numbering. 1274.915 Restrictions on sale or transfer of
1274.213 Distribution of cooperative agree- technology to foreign firms or institu-
ments. tions.
1274.214 Inquiries and release of informa- 1274.916 Liability and risk of loss.
tion. 1274.917 Additional funds.
1274.215 Federal and federally funded con- 1274.918 Incremental funding.
struction projects. 1274.919 Cost principles and accounting
standards.
Subpart 1274.3Administration 1274.920 Responsibilities of the NASA Tech-
nical Officer.
1274.301 Delegation of administration.
1274.921 Publications and reports: non-pro-
1274.302 Transfers, novations, and change of
prietary research results.
name agreements.
1274.922 Suspension or termination.
1274.923 Equipment and other property.
Subpart 1274.4Property 1274.924 Civil rights.
1274.401 Government furnished property. 1274.925 Subcontracts.
1274.402 Contractor acquired property. 1274.926 Clean Air-Water Pollution Control
Acts.
Subpart 1274.5Procurement Standards 1274.927 Debarment and Suspension and
Drug-Free Workplace.
1274.501 Purpose of procurement standards. 1274.928 Foreign national employee inves-
1274.502 Recipient responsibilities. tigative requirements.
1274.503 Codes of conduct. 1274.929 Restrictions on lobbying.
1274.504 Competition. 1274.930 Travel and transportation.
1274.505 Procurement procedures. 1274.931 Electronic funds transfer payment
1274.506 Cost and price analysis. methods.
1274.507 Procurement records. 1274.932 Retention and examination of
1274.508 Contract administration. records.
1274.509 Contract provisions. 1274.933 Summary of recipient reporting.
1274.510 Subcontracts. 1274.934 Safety.
1274.935 Security classification require-
Subpart 1274.6Reports and Records ments.
1274.936 Breach of safety or security.

1274.601 Retention and access requirements 1274.937 Security requirements for unclassi-
for records. fied information technology resources.
310
1274.938 Modifications. (2) Provide technology transfer from
1274.939 Application of Federal, State, and the Government to the recipient; or
Local laws and regulations. (3) Develop a capability among U.S.
1274.940 Changes in recipients membership. firms to potentially enhance U.S. com-
1274.941 Insurance and indemnification. petitiveness.
1274.942 Export licenses. (c) Projects that normally result in a
1274.943 Investigation of research mis-
cooperative agreement award to a com-
conduct.
mercial entity are projects that:
APPENDIX TO PART 1274LISTING OF EXHIBITS (1) Are not intended for the direct
AUTHORITY: 31 U.S.C. 6301 to 6308; 51 U.S.C. benefit of NASA;
20102, et seq. (2) Are expected to benefit the gen-
SOURCE: 67 FR 45790, July 10, 2002, unless eral public;
otherwise noted. (3) Require substantial cost sharing;
and
(4) Have commercial applications and
Subpart 1274.1General profit generating potential.
1274.101 Purpose. (d) The principal purpose of coopera-
tive agreements is to stimulate re-
The following policy guidelines es- search to benefit the general public
tablish uniform requirements for through the criteria stated in para-
NASA cooperative agreements awarded graphs (a) through (c) of this section.
to commercial firms. Since all research activities must be
within NASAs authorized expenditure
1274.102 Scope. of appropriations, there may be in-
(a) The business relationship between stances where NASA can derive inci-
NASA and the recipient of a coopera- dental use or benefits while preserving
tive agreement differs from the rela- the principal purpose of the coopera-
tionship that exists between NASA and tive agreement. However, a careful bal-
the recipient of a grant. Under the aus- ance must be established and main-
pices of a grant, there is very little in- tained in the cooperative agreements
volvement and interaction between technical and business objectives, so
NASA and the grantee (other than a that the principal purpose of the
few administrative, funding, and re- project serves to benefit the general
porting requirements, or in some cases public (i.e., technology will transfer
matching of funds). Under a coopera- from the Government to the public and
tive agreement, because of its substan- the commercial partner expects a mar-
tial involvement, NASA assumes a ketable product to result). If a coopera-
higher degree of responsibility for the tive agreement is awarded when the
technical performance outcomes and proper award instrument should have
associated financial costs of research been a contract (because the primary
activities. In some cooperative agree- purpose of the award is for the direct
ment projects, NASA may be required benefit of NASA), the cooperative
to indemnify the recipient (to the ex- agreement award can be protested.
tent authorized by Congress). While the Thus, before pursuing any incidental
principal purpose of NASAs involve- benefits that materialize under a coop-
ment and commitment of resources is erative agreement, NASA Centers
to stimulate or support research activ- should ensure that the advice of legal
ity, a major incentive for involvement counsel is obtained.
by commercial firms (particularly
where costs are shared) is the profit po- 1274.103 Definitions.
tential from marketable products ex- Administrator. The Administrator or
pected to result from the cooperative Deputy Administrator of NASA.
agreement project. Agreement officer. A Government em-
(b) Cooperative agreements (in areas ployee (usually a Contracting Officer
or research relevant to NASAs mis- or Grant Officer) who has been dele-
sion) are ordinarily entered into with gated the authority to negotiate,
commercial firms to award, or administer the cooperative

(1) Support research and develop- agreement. Most often Contracting Of-
ment; ficers are delegated this authority for
311
1274.103 14 CFR Ch. V (1116 Edition)
the more complex cooperative agree- upon the accomplishment of tangible

ment projects. milestones (preferred method). Any
Assistant Administrator for Procure- payment arrangement that is based on
ment. The head of the Office of Procure- a method other than the accomplish-
ment, NASA Headquarters (Code H). ment of tangible milestones (e.g., a re-
Cash contributions. The cash invested imbursable arrangement where NASA
in a given program or project by the pays a share of incurred costs, regard-
Federal Government and/or recipient. less of the accomplishment of tangible
The recipients cash contributions may milestones) must be approved through
include money contributed by third the deviation process discussed in
parties. 1274.106.
Closeout. The process by which NASA Date of completion. The date on which
determines that all applicable adminis- all work under an award is completed
trative actions and all required work of or the date on the award document, or
the award have been completed by the any supplement or amendment thereto,
recipient and NASA. on which NASA sponsorship ends.
Commercial item. The definition in Days. Calendar days, unless other-
FAR 2.101 is applicable. wise indicated.
Consortium. A consortium is a group General purpose equipment. Equipment
of organizations that enter into an which is usable for other than research,
agreement to collaborate for the pur- medical, scientific, or technical activi-
poses of the cooperative agreement ties, whether or not special modifica-
with NASA. The agreement to collabo- tions are needed to make them suitable
rate can take the form of a legal entity for a particular purpose. Examples of
such as a partnership or joint venture general purpose equipment include of-
but it is not necessary that such an en- fice equipment and furnishings, air
tity be created. A consortium may be conditioning equipment, reproduction
made up of firms that normally com- and printing equipment, motor vehi-
pete for commercial or Government cles, and automatic data processing
business or may be made up of firms equipment.
that perform complementary functions Government furnished equipment.
in a given industry. Equipment in the possession of, or ac-
Cooperative agreement. As defined by quired directly by, the Government and
31 U.S.C. 6305, cooperative agreements subsequently delivered, or otherwise
are financial assistance instruments made available, to a recipient and
used to stimulate or support activities equipment procured by the recipient
for authorized purposes and in which with Government funds under a cooper-
the Government participates substan- ative agreement. In most cases, Gov-
tially in the performance of the effort. ernment furnished equipment will be
This Part 1274 covers only cooperative counted as part of the Governments
agreements with commercial firms in-kind or non-cash contributions to
where resource sharing is involved. Co- the cooperative agreement for the pur-
operative agreements with other types pose of determining the share ratio.
of organizations are covered by 14 CFR Incremental funding. A method of
Part 1260. funding a cooperative agreement where
Cooperative agreement notice (CAN). the funds initially allotted to the coop-
Publication on Federal Business Oppor- erative agreement are less than the
tunities (FedBizOpps) or NASA Acqui- award amount. Additional funding is
sition Internet Service (NAIS) websites added as described in 1274.918.
advertising the solicitation of competi- Non-cash or in-kind contributions. May
tive proposals for the award of a coop- be in the form of personnel resources
erative agreement. (where cost accounting methods allow
Cost sharing. Arrangement whereby accumulation of such costs), real prop-
the Government and the recipient erty, equipment, supplies and other ex-
share the funding requirements of a pendable property, and the value of
program or project at an agreed upon goods and services directly benefiting
ratio or percentage (normally 50/50). and specifically identifiable to the

Normally, the Governments payment project or program. Costs incurred by
of its share of the costs is contingent NASA to provide the services of one of
312
its support contractors to perform part 1274.104 Effect on other issuances.

of NASAs requirements under a coop-
For awards subject to this part, all
erative agreement shall be included as
administrative requirements of codi-
part of NASAs cost share, and will be
counted as an in-kind contribution to fied program regulations, program
the cooperative agreement. manuals, handbooks and other non-reg-
ulatory materials which are incon-
Recipient. An organization receiving
sistent with the requirements of this
financial assistance under a coopera-
tive agreement to carry out a project part shall be superseded, except to the
or program. A recipient may be an in- extent they are required by statute, or
dividual firm, including sole propri- authorized in accordance with the devi-
etor, partnership, corporation, or a ations provision in 1274.106.
consortium of business entities.
1274.105 Review requirements.
Research misconduct is defined in 14
CFR 1275.101. NASA policies and proce- (a) Once the decision is made by a
dures regarding Research misconduct Headquarters program office or Center
are set out in 14 CFR part 1275, Inves- procurement personnel, to pursue the
tigation of Research Misconduct. Cooperative Agreement Notice (CAN)
Resource contributions. The total process, for which the total NASA re-
value of resources provided by either sources to be expended equal or exceed
party to the cooperative agreement in- $10 million (cash plus non-cash con-
cluding both cash and non-cash contributions), a notification shall imme-
tributions. diately be provided to the Assistant
Subcontracting dollar threshold. The Administrator for Procurement (Code
dollar amount of the cooperative HS). The notification(s) shall be for-
agreement subject to the small busi- warded by the cognizant Headquarters
ness subcontracting policies (includes program office or the Center procure-
small business, veteran-owned small ment office (as applicable). For any
business, service-disabled veteran- CAN where NASAs cash contributions
owned small business, historically un- are expected to equal or exceed $10 mil-
derutilized small business, small dis- lion, Headquarters program office or
advantaged business, women-owned Center procurement personnel shall
business concerns, Historically Black also notify the Assistant Adminis-
Colleges and Universities, and minority trator for Small and Disadvantaged
educational institutions). For coopera- Business Utilization (Code K). All such
tive agreements, the dollar threshold notifications, as described in paragraph
to which the small business subcon- (b) of this section, shall evidence con-
tracting policies apply, is established currence by the cognizant Center Pro-
by the total amount of NASAs cash curement Officer. These review re-
contributions. quirements also apply where an unso-
Suspension. An action by NASA or licited proposal is received from a com-
the recipient that temporarily discon- mercial firm (or from a team of recipi-
tinues efforts under an award, pending ents where one of more team members
corrective action or pending a decision is a commercial firm), and the planned
to terminate the award. award document is a cooperative agree-
Technical officer. The official of the ment.
cognizant NASA office who is respon- (b) The notification shall be accom-
sible for monitoring the technical as- plished by sending an electronic mail
pects of the work under a cooperative (e-mail) message to the following ad-
agreement. A Contracting Officers dress at NASA Headquarters:
Technical Representative may serve as can@hq.nasa.gov. The notification must
a Technical Officer. include the following information, as a
Termination. The cancellation of a co- minimum
operative agreement in whole or in (1) Identification of the cognizant
part, by either party at any time prior Center and program office;
to the date of completion.
(2) Description of the proposed pro-

[67 FR 45790, July 10, 2002, as amended at 70 gram for which proposals are to be so-
FR 28809, May 19, 2005] licited;
313
1274.106 14 CFR Ch. V (1116 Edition)
(3) Rationale for decision to use a and award of the cooperative agree-
CAN rather than other types of solici- ments as described.
tations; (e) Before issuance, each field-gen-
(4) The amount of Government fund- erated CAN shall be approved by the
ing to be available for award(s); installation director or designee, with
(5) Estimate of the number of cooper- the concurrence of the procurement of-
ative agreements to be awarded as a re- ficer. Each Headquarters generated
sult of the CAN; CAN shall be approved by the cog-
(6) The percentage of cost-sharing to nizant Program Associate Adminis-
be required; trator or designee, with concurrence of
(7) Tentative schedule for release of the Headquarters Offices of General
CAN and award of cooperative agree- Counsel (Code GK), External Relations
ments; (Code I), Safety & Mission Assurance
(8) If the term of the cooperative (Code Q), and Procurement (Code HS).
agreement is anticipated to exceed 3
years and/or if the Government cash 1274.106 Deviations.
contribution is expected to exceed (a) The Assistant Administrator for
$20M, address anticipated changes, if Procurement may grant exceptions for
any, to the provisions (see 1274.207); classes of, or individual cooperative
and agreements and deviations from the re-
(9) If the cooperative agreement is quirements of this Regulation when ex-
for programs/projects that provide ceptions are not prohibited by statute.
aerospace products or capabilities, (b) A deviation is required for any of
(e.g., provision of space and aero- the following:
nautics systems, flight and ground sys-
(1) When a prescribed provision set
tems, technologies and operations), a
forth in this regulation for use ver-
statement that the requirements of
batim is modified or omitted.
NASA Policy Directive (NPD) 7120.4
and NASA Policy Guidance (NPG) (2) When a provision is set forth in
7120.5 have been met. This affirmative this regulation, but not prescribed for
statement will include a specific refuse verbatim, and the installation sub-
erence to the signed Program Commit- stitutes a provision which is incon-
ment Agreement. sistent with the intent, principle, and
(c) Code HS will respond by e-mail substance of the prescribed provision.
message to the sender, with a copy of (3) When a NASA form or other form
the message to the Procurement Offi- is prescribed by this regulation, and
cer and the Office of Small and Dis- that form is altered or another form is
advantaged Business Utilization, with- used in its place.
in five (5) working days of receipt of (4) When limitations, imposed by this
this initial notification. The response regulation upon the use of a provision,
will address the following: form, procedure, or any other action,
(1) Whether Code HS agrees or dis- are not adhered to.
agrees with the appropriateness for (c) Requests for authority to deviate
using a CAN for the effort described, from this regulation will be forwarded
(2) Whether Code HS will require re- to Headquarters, Program Operations
view and approval of the CAN before its Division (Code HS). Such requests,
issuance, signed by the Procurement Officer,
(3) Whether Code HS will require re- shall contain as a minimum
view and approval of the selected (1) A full description of the deviation
offerors cost sharing arrangement and identification of the regulatory re-
(e.g., cost sharing percentage; type of quirement from which a deviation is
contribution (cash, labor, etc.)). sought;
(4) Whether Code HS will require re- (2) Detailed rationale for the request,
view and approval of the resulting co- including any pertinent background in-
operative agreement(s). formation;
(d) If a response from Code HS is not (3) The name of the recipient and
received within 5 working days of noti- identification of the cooperative agree-

fication, the program office or Center ment affected, including the dollar
may proceed with release of the CAN value.
314
(4) A statement as to whether the de- factors. Draft documents should be as

viation has been re quested previously, close to the final product as possible.
and, if so, circumstances of the pre- Draft Cooperative Agreement Notices
vious request(s); and (CANs) or Cooperative Agreements
(5) A copy of legal counsels concur- (CA) should include terms and condi-
rence or comments. tions, special requirements and ex-
pected cash and non-cash (in-kind) con-
1274.107 Publication of require- tributions.
ments. (1) Publication of draft documenta-
Cooperative agreements may result tion may serve to prevent unnecessary
from recipient proposals submitted in expenditure of resources and unproduc-
response to the publication of a NASA tive time that may be spent by NASA
Research Announcement (NRA), a Co- and potential recipients. Release of
operative Agreement Notice (CAN), or draft documentation also serves to as-
other Broad Agency Announcement sist NASA in refining program objec-
(BAA). BAAs, NRAs and CANs are nor- tives and requirements, and maximizes
mally promulgated through publicly the quality of research proposals sub-
accessible Government-wide announce- mitted for formal evaluation and
ments such as those published under source selection.
the Federal Business Opportunities (2) During the information gathering
(FedBizOpps), and/or the NASA Acqui- process, comments may be invited
sition Internet Service (NAIS). Prior to from potential recipients on all aspects
publicizing the CAN, see 1274.105. of the draft documentation, including
the requirements, schedules, proposal
Subpart 1274.2Pre-Award instructions and evaluation ap-
Requirements proaches. Potential recipients should
be specifically requested to identify
1274.201 Purpose. unnecessary or inefficient require-
This subpart provides pre-award ments. Comments should also be re-
guidance, prescribes forms and instruc- quested on any perceived safety, occu-
tions, and addresses other pre-award pational health, security (including in-
matters. formation technology security), envi-
ronmental, export control, and/or other
1274.202 Methods of award. programmatic risk issues associated
(a) Competitive agreements. Consistent with performance of the CA.
with 31 U.S.C. 6301(3), NASA uses com- (3) Agreement officers should include
petitive procedures to award coopera- in the award schedule adequate time
tive agreements whenever possible. for the process to include industry re-
(b) Awards using other than competitive view and comments, and NASAs eval-
procedures. Solicitations for award of a uation and disposition of comments re-
Cooperative Agreement shall not be ceived.
issued to, nor negotiations conducted (4) When providing draft documents
with a single source unless for comment, the draft CAN shall ad-
(1) Use of such actions is documented vise interested parties that any issued
in writing; and draft documentation shall not be con-
(2) Concurrence and approvals are ob- sidered as a solicitation for award, and
tained. The dollar thresholds will be that NASA is not requesting proposals
determined by the total value of the re- in response to the draft publication.
sources committed to the Cooperative (5) Whenever feasible, agreement offi-
Agreement (cash and quantifiable in- cers should include a summary of the
kind contributions). disposition of significant comments
when issuing the final CAN and/or CA.
1274.203 Solicitations/cooperative (b) The evaluation section of the CAN
agreement notices. shall notify potential recipients of the
(a) Agreement officers should use relative importance of factors, and any
every effort to issue draft pre-award subfactors or other criteria that will be
cooperative agreement information. evaluated during the selection process.

Any draft documentation released for (c) For its research projects, NASA
comment shall contain all factors/sub- may publish the expected project goals
315
1274.204 14 CFR Ch. V (1116 Edition)
and objectives in terms of What the ated with the source selection refrain
commercial recipient is expected to ac- from communicating with prospective
complish. The commercial recipient recipients and to refer all inquiries to
may be required to submit a proposed the agreement officer or other author-
statement of work with its proposal ized representative. The notification to
stating How the recipient will ac- potential recipients may be sent in any
complish the task(s). Depending on its format (e.g., letter or electronic) ap-
importance to the success of the propriate to the complexity of the ac-
project, for some projects the recipi- quisition. It is not intended that all
ents statement of work may be in- communication with potential recipi-
cluded as an evaluation criterion for ents be terminated. Agreement officers
award. In these instances, the require- should continue to provide information
ment for submission of the recipients as long as it does not create an unfair
statement of work will be clearly iden- competitive advantage or reveal pro-
tified as a subfactor or criterion that prietary data.
will be evaluated, and its relative
weight or ranking in relation to other 1274.204 Costs and payments.
evaluation criteria shall be stated. In (a) Cost allowability. (1) Cooperative
all cases, where the recipient submits a agreements awarded to commercial
statement of work in response to firms are subject to the cost account-
NASA project objectives, NASA shall ing standards and principles of 48 CFR
have final approval of the acceptability Chapter 99, as implemented by FAR
of the statement of work. Parts 30 and 31.
(d) Where performance-based mile- (2) If the recipient is a consortium
stone payments are planned, the poten- which includes non-commercial enti-
tial recipient should be encouraged to ties as members, cost allowability for
suggest in its statement of work those members will be determined as
(which incorporates the project goals follows:
and objectives), or elsewhere in its pro- (i) Allowability of costs incurred by
posal, terms and/or performance events state, local or federally-recognized In-
upon which milestone payments can be dian tribal governments is determined
negotiated. in accordance with the provisions of
(e) The CAN should provide a descrip- OMB Circular A87, Cost Principles
tion and value for any quantifiable for State and Local Governments.
non-cash or in-kind Government re- (ii) The allowability of costs incurred
sources (personnel, equipment, facili- by non-profit organizations is deter-
ties, etc.), in addition to any cash mined in accordance with the provi-
funds that will be offered by the Gov- sions of OMB Circular A122, Cost
ernment as part of its contributions to Principles for Non-Profit Organiza-
the cooperative agreement. As part of tions.
its proposal package, the recipient may (iii) The allowability of costs in-
also identify additional non-cash or incurred by institutions of higher edu-
kind resources it wishes NASA to con- cation is determined in accordance
tribute. The recipient shall verify the with the provisions of OMB Circular A
suitability of the requested resource(s) 21, Cost Principles for Educational
to the work to be performed under the nstitutions.
cooperative agreement. Any additional (iv) The allowability of costs in-
verifiable and suitable non-cash or incurred by hospitals is determined in ac-
kind resources requested, shall be cordance with the provisions of Appen-
added to NASAs shared cost of per- dix E of 45 CFR part 74, Principles for
forming the cooperative agreement, Determining Costs Applicable to Re-
and may require increased cash or in- search and Development Under Grants
kind contributions from the recipient and Contracts with Hospitals.
to meet its percentage of the cost (3) A recipients method for account-
share. ing for the expenditure of funds must
(f) To protect the integrity of the be consistent with generally accepted
competitive process, upon release of accounting principles.

the formal CAN the agreement officer (b) Cost sharing. (1) Given the mutu-
shall direct that all personnel associ- ally beneficial nature of, in particular,
316
potential commercially marketable Aviation Administration), the re-

products expected to result from the sources contributed by any Govern-
research activities of the cooperative ment agency shall be counted as part
agreement, resource contributions are of the Governments total cost share
required from the recipient. The com- under the cooperative agreement.
mercial recipient is expected to con- (5) For every cooperative agreement,
tribute at least 50 percent of the total there should be evidence of the recipi-
resources necessary to accomplish the ents strong commitment and self-in-
cooperative agreement effort. Recipi- terest in the success of the research
ent contributions may be cash, non- project. A very strong indicator of a re-
cash (in-kind) or both. Acceptable non- cipients self-interest is the willingness
cash or in-kind resources include such to commit to a meaningful level of cost
items as equipment, facilities, labor,
sharing (i.e., 50 percent). Before consid-
office space, etc. In determining the in-
ering whether it is impracticable for
centive to the recipient to share costs,
the recipient to share at least 50% of
agreement officers must consider a va-
the performance costs, agreement offi-
riety of factors. For example, while the
future profitability of intellectual cers should also consider whether other
property may serve as an incentive for factors exist that demonstrate the re-
involvement of the commercial firm in cipients financial stake or self-inter-
the cooperative agreement, the actual est in the success of the cooperative
or imputed value of such items as pat- agreement.
ent rights, data rights, trade secrets, (6) In cases where a contribution of
etc., included in intellectual property less than 50 percent is anticipated from
is generally not considered a reliable the commercial recipient, approval of
source for computation of the recipi- the Assistant Administrator for Pro-
ents contributions. curement (Code HS) is required prior to
(2) In most cases these costs are not award. The request for approval should
readily quantifiable. Thus, although address the evaluation factor in the so-
the value of intellectual property licitation and how the proposal accom-
rights should be factored into the in- plishes those objectives to such a de-
centive for the recipient to share at gree that a share ratio of less than 50
least 50 percent of costs, intellectual percent is warranted.
property rights do not serve as quan- (7) Once accepted for application to
tifiable amounts to determine the equi- costs shared under the cooperative
table dollar amounts of costs to be agreement, cash and in-kind contribu-
shared. tions including Independent Research
(3) As is expected from the commer- and Development (IR&D) costs, may
cial partner, the Governments cost not be included as contributions for
share should reflect certain non-cash any other federally assisted project or
as well as cash contributions to the
program.
most practicable extent possible.
Where quantifiable, NASA will include (c) Fixed funding. (1) Cooperative
in the calculation of the Governments agreements are funded by NASA
cost share, non-cash or in-kind con- through the disbursement of agreed
tributions, which includes the value of upon fixed payment amounts to the re-
equipment, personnel, and facilities. cipient. NASA makes disbursement of
Costs incurred by NASA to provide the funds to the recipient as Milestone
services of one or more support con- payments discussed in paragraph (d)
tractors to perform part of NASAs re- of this section. If the recipient
quirements under a cooperative agree- achieves the final milestone, final pay-
ment will be counted as part of NASAs ment is made, which completes NASAs
in-kind contributions. This approach is financial responsibilities under the
also supported by the initiative to im- agreement.
plement full cost accounting methods (2) Fixed payments on a cooperative
within the Federal Government. agreement are made by NASA based on
(4) When other Government agencies the accomplishment by the recipient of

act as partners along with NASA (e.g., predetermined tangible milestones.
Department of Defense or Federal Any arrangement where payments are
317
1274.204 14 CFR Ch. V (1116 Edition)
made on a basis other than accom- accomplished about every 60 to 90 days

plished tangible milestones must be ap- appears to be most workable. Partial
proved in accordance with the require- or interim milestone payments may
ments of 1274.106 Deviations. not be made.
(3) If the cooperative agreement is (4) The final milestone payment
terminated prior to achievement of all should be structured so that the associ-
milestones, NASAs funding is limited ated payment is large enough to pro-
to milestone payments already made vide incentive to the recipient to com-
plus NASAs share of costs incurred to plete its responsibilities under the co-
meet commitments of the recipient, operative agreement. Alternatively,
which had in the judgment of NASA be- funds may be reserved for disbursement
come firm prior to the effective date of after completion of the effort.
termination. In no event, however, (e) Incremental funding. Whenever the
shall the amount of NASAs share of period of performance for the coopera-
these additional costs exceed the tive agreement crosses fiscal years, the
amount of the next scheduled mile- agreement shall be incrementally fund-
stone payment. ed using appropriations from different
(d) Milestone obligations and payments. fiscal years. In other circumstances,
Agreement officers, technical officers, incremental funding may be appro-
accounting and finance officials, and priate. The total amount of funds obli-
all other responsible NASA personnel gated during the course of a fiscal year
shall ensure that funds for milestone must be sufficient to cover the Govern-
payments are obligated, billed and ex- ments share of the costs anticipated to
pended in accordance with the guid- be incurred by the recipient during
ance set forth by the NASA Financial that fiscal year. NASA may allot funds
Management Manual (FMM 9000). to an agreement at various times dur-
(1) There must always be sufficient ing a fiscal year in anticipation of the
funds obligated to cover the next mile- occurrence of costs. However, there
stone payment. In addition, funds must must always be sufficient funds obli-
be made available (but not necessarily gated to cover all milestone payments
obligated) to cover all milestone pay- expected to be made during the current
ments expected to be made during the fiscal year.
current fiscal year of performance. (f) Profit applicability. Recipients
(2) Disbursement of funds to the re- shall not be paid a profit under cooper-
cipient is based on the achievement of ative agreements. Profit may be paid
milestones or performance-related by the recipient to subcontractors, if
benchmarks. The milestone must rep- the subcontractor is not part of the of-
resent the accomplishment of fering team and the subcontract is an
verifiable, significant event(s) and may arms-length relationship. All entities
not be based upon the mere passage of that are involved in performing the re-
time or the performance of a particular search and development effort that is
level of effort. The Government tech- the purpose of the cooperative agree-
nical officer must verify to and advise ment shall be part of the recipients
the agreement officer that each mile- consortium and not subcontractors.
stone has been achieved prior to au- (g) Independent Research and Develop-
thorizing the corresponding payment. ment (IR&D) costs. When determining
(3) The amount of funds to be dis- the applicable dollar amounts or rea-
bursed by NASA in recognition of the sonableness of proposed IR&D costs to
achievement of milestones (milestone be included as part of the recipients
payments) shall be established con- cost share, agreement officers should
sistent with the ratio of resource shar- seek assistance from DCAA or the cog-
ing agreed upon under the cooperative nizant audit agency.
agreement (see paragraph (e)(2) of this (1) In accordance with FAR 31.205
section). While the schedule for mile- 18(e), IR&D costs may include costs
stone achievement must reflect the contributed by contractors in per-
project being undertaken, the fre- forming cooperative research and de-
quency should not be greater than one velopment agreements or similar ar-
payment per month. For many rangements, entered into under sec-
projects, scheduling milestones to be tions 203(c)(5) and (6) of the National
318
Aeronautics and Space Act of 1958, as behalf. It should also address to the ex-
amended (42 U.S.C. 2473(c)(5) and (6)). tent appropriate
IR&D costs incurred by a contractor (1) Commitments of financial, per-
pursuant to these types of cooperative sonnel, facilities and other resources;
agreements should be considered as al- (2) A detailed milestone chart of con-
lowable IR&D costs if the work per- sortium activities;
formed would have been allowed as (3) Accounting requirements;
contractor IR&D had there been no co- (4) Subcontracting procedures;
operative arrangement. (5) Disputes;
(2) IR&D costs (or an agreed upon (6) Term of the agreement;
portion of IR&D costs) incurred by the (7) Insurance and liability issues;
recipients organization and deemed by (8) Internal and external reporting
NASA as the same type of research requirements;
being undertaken by the cooperative (9) Management structure of the con-
agreement between NASA and the re- sortium;
cipient may serve as part of the recipi- (10) Obligations of organizations
ents contribution of shared costs withdrawing from the consortia;
under the cooperative agreement. (11) Allocation of data and patent
When considering the use of IR&D rights among the consortia members
costs as part of the recipients cost (12) Agreements, if any, to share ex-
share, the IR&D costs offered by the re- isting technology and data;
(13) The firm that is responsible for
cipient shall meet the requirements of
the completion of the consortiums re-
FAR 31.20518. Any IR&D costs in-
sponsibilities under the cooperative
curred in a prior period, and offered as
agreement and has the authority to
part of the recipients cost share shall
commit the consortium and receive
meet the criteria established by FAR
payments from NASA, and address em-
31.20518(d), Deferred IR&D Costs.
ployee policy or other personnel issues.
1274.205 Consortia as recipients. (d) The consortiums charter or by-
laws may be substituted for the Arti-
(a) The use of consortia as recipients cles of Collaboration only if they are
for cooperative agreements is encour- inclusive of all of the required informa-
aged. Such arrangements tend to bring tion.
a broader range of capabilities and re- (e) An outline of the Articles of Col-
sources to the cooperative agreement. laboration should be required as part of
In addition, consortium members can the proposal and evaluated during the
better share the projects financial source selection process. Articles of
costs (e.g., the 50 percent recipients Collaboration do not become part of
cost share or other costs of perform- the resulting cooperative agreement.
ance).
(b) NASA enters into an agreement 1274.206 Metric Conversion Act.
with only one entity (as identified by The Metric Conversion Act, as
the consortium members). (Also see amended by the Omnibus Trade and
1274.940.) The inclusion of non-profit Competitiveness Act (15 U.S.C. 205) de-
or educational institutions, small busi- clares that the metric system is the
nesses, or small disadvantaged busi- preferred measurement system for U.S.
nesses in the consortium could be par- trade and commerce. NASAs policy
ticularly valuable in ensuring that the with respect to the metric measure-
results of the consortiums activities ment system is stated in NPD 8010.2,
are disseminated. Use of the Metric System of Measure-
(c) Key to the success of the coopera- ment in NASA Programs.
tive agreement with a consortium is
the consortiums Articles of Collabora- 1274.207 Extended agreements.
tion, which is a definitive description (a) Multiple year cooperative agree-
of the roles and responsibilities of the ments are encouraged, but normally
consortiums members. The Articles of they should span no more than three
Collaboration must designate a lead years.

firm to represent the consortium and (b) Cooperative agreements that will
authority to sign on the consortiums exceed $5 million and have a period of
319
1274.208 14 CFR Ch. V (1116 Edition)
performance in excess of 5 years shall (c) Inventions. There are five situa-
require the approval of the Assistant tions in which inventions may arise
Administrator for Procurement prior under a cooperative agreement
to award. Requests for approval shall (1) Recipient Inventions;
include a justification for exceeding 5 (2) Subcontractor Inventions;
years and evidence that the extended (3) NASA Inventions;
years can be reasonably priced. Re- (4) NASA Support Contractor Inven-
quests for approval are not required tions; and
when the 5-year limitation is exceeded (5) Joint Inventions with Recipient.
due to a no cost extension. (d) Recipient inventions. (1) A recipi-
(c) Cooperative agreement renewals ent, if a large business, is subject to
provide for the continuation of re- section 305 of the National Aeronautics
search beyond the original scope, pe- and Space Act of 1958 (42 U.S.C. 2457)
riod of performance and funding levels; relating to property rights in inven-
therefore, new proposals, certifi- tions. The term invention includes
cations, and technical evaluations are any invention, discovery, improve-
required prior to the execution of a co- ment, or innovation. Title to an inven-
operative agreement renewal. Renew- tion made under a cooperative agree-
als will be awarded as new cooperative ment by a large business recipient ini-
agreements. Continued performance tially vests with NASA. The recipient
within a period specified under a mul- may request a waiver under the NASA
tiple year cooperative agreement pro- Patent Waiver Regulations to obtain
vision does not constitute a renewal. title to inventions made under the
(d) The provisions set forth in agreement. Such a request may be
1274.901 are generally considered ap- made in advance of the agreement (or
propriate for agreements not exceeding 30 days thereafter) for all inventions
3 years and/or a Government cash con- made under the agreement. Alter-
tribution not exceeding $20M. For coop- natively, requests may be made on a
erative agreements expected to be case-by-case basis any time an indi-
longer than 3 years and/or involve Gov- vidual invention is made. Such waivers
ernment cash contributions exceeding are liberally and expeditiously granted
$20M, consideration should be given to after review by NASAs Invention and
provisions which place additional re- Contribution Board and approval by
strictions on the recipient in terms of NASAs General Counsel. When a waiv-
validating performance and accounting er is granted, any inventions made in
for funds expended. the performance of work under the
[67 FR 45790, July 10, 2002, as amended at 68 agreement are subject to certain re-
FR 14535, Mar. 26, 2003] porting, election and filing require-
ments, a royalty-free license to the
1274.208 Intellectual property. Government, march-in rights, and cer-
(a) Intellectual property rights. A coop- tain other reservations.
erative agreement covers the disposi- (2) A recipient, if a small business or
tion of rights to intellectual property nonprofit organization, may elect to
between NASA and the recipient. If the retain title to its inventions. The term
recipient is a consortium or partner- nonprofit organization is defined in
ship, rights flowing between multiple 35 U.S.C. 201(i) and includes univer-
organizations in a consortium must be sities and other institutions of higher
negotiated separately and formally education or an organization of the
documented, preferably in the Articles type described in section 501(c)(3) of
of Collaboration. the Internal Revenue Code. The Gov-
(b) Rights in patents. Patent rights ernment obtains an irrevocable, non-
clauses are required by statute and reg- exclusive, royalty-free license.
ulation. The clauses exist for recipients (e) Subcontractor inventions(1) Large
of the agreement whether they are business. If a recipient enters into a
(1) Other than small business or non- subcontract (or similar arrangement)
profit organizations (generally referred with a large business organization for
to as large businesses) or experimental, developmental, research,

(2) Small businesses or nonprofit or- design or engineering work in support
ganizations. of the agreement to be performed in
320
the United States, its possessions, or (i) Acquire by negotiation and mu-
Puerto Rico, section 305 of the Space tual agreement rights to a subcontrac-
Act applies. The clause applicable to tors subject inventions as the recipi-
large business organizations is to be ent may deem necessary; or
used (suitably modified to identify the (ii) If unable to reach agreement pur-
parties) in any subcontract. The sub- suant to paragraph (e)(4)(i) of this sec-
contractor may request a waiver under tion, request that NASA invoke excep-
the NASA Patent Waiver Regulations tional circumstances as necessary pur-
to obtain rights to inventions made suant to 37 CFR 401.3(a)(2) if the pro-
under the subcontract just as a large spective subcontractor is a small busi-
business recipient can (see paragraph ness firm or nonprofit organization, or
(d)(1) of this section). It is strongly rec- for all other organizations, request
ommended that a prospective large that such rights for the recipient be in-
business subcontractor contact the cluded as an additional reservation in a
NASA installation Patent Counsel or waiver granted pursuant to 14 CFR
Intellectual Property Counsel to assure 1245.1. The exercise of this exception
that the right procedures are followed. does not change the flow down of the
Just like the recipient, any inventions applicable patent rights clause to sub-
made in the performance of work under contractors. Applicable laws and regu-
the agreement are subject to certain lations require that title to inventions
reporting, election and filing require- made under a subcontract must ini-
ments, a royalty-free license to the tially reside in either the subcon-
Government, march-in rights, and cer- tractor or NASA, not the recipient.
tain other reservations. This exception does not change that.
(2) Non-profit organization or small The exception does authorize the re-
business. In the event the recipient en- cipient to negotiate and reach mutual
ters into a subcontract (or similar ar- agreement with the subcontractor for
rangement) with a domestic nonprofit the grant-back of rights. Such grant-
organization or a small business firm back could be an option for an exclu-
for experimental, developmental, or re- sive license or an assignment, depend-
search work to be performed under the ing on the circumstances.
agreement, the requirements of 35 (f) NASA inventions. NASA will use
U.S.C. 200 et seq. regarding Patent reasonable efforts to report inventions
Rights in Inventions Made With Fed- made by its employees as a con-
eral Assistance, apply. The subcon- sequence of, or which bear a direct re-
tractor has the first option to elect lation to, the performance of specified
title to any inventions made in the per- NASA activities under an agreement.
formance of work under the agreement, Upon timely request, NASA will use its
subject to specific reporting, election best efforts to a grant recipient first
and filing requirements, a royalty-free option to acquire either an exclusive or
license to the Government, march-in partially-exclusive, revocable, royalty-
rights, and certain other reservations bearing license, on terms to be nego-
that are specifically set forth. tiated, for any patent applications and
(3) Work outside the United States. If patents covering such inventions. This
the recipient subcontracts for work to exclusive or partially-exclusive license
be done outside the United States, its to the recipient will be subject to the
possessions or Puerto Rico, the NASA retention of rights by or on behalf of
installation Patent Counsel or Intellec- the Government for Government pur-
tual Property Counsel should be con- poses.
tacted for the proper patent rights (g) NASA support contractor inventions.
clause to use and the procedures to fol- It is preferred that NASA support con-
low. tractors be excluded from performing
(4) Notwithstanding paragraphs any of NASAs responsibilities under
(e)(1), (2), and (3) of this section, and in an agreement since the rights obtained
recognition of the recipients substan- by a NASA support contractor could
tial contribution, the recipient is au- work against the rights needed by the
thorized, subject to rights of NASA set recipient. In the event NASA support
forth elsewhere in the agreement, to: contractors are tasked by NASA to
321
1274.208 14 CFR Ch. V (1116 Edition)
work under the agreement and inven- tain nonexclusive licenses to those in-
tions are made by support contractor ventions in which NASA obtains title.
employees, the support contractor will If a NASA support contractor employee
normally retain title to its employee is a joint inventor with a recipient em-
inventions in accordance with 35 U.S.C. ployee, the NASA support contractor
202, 14 CFR part 1245, and E.O. 12591. In and recipient will become joint owners
the event the recipient decides not to of those inventions in which they have
pursue right to title in any such inven- elected to retain title or requested and
tion and NASA obtains title to such in- have been granted waiver of title.
ventions, upon timely request, NASA Where the NASA support contractor
will use its best efforts to grant the re- has not elected to retain title or has
cipient first option to acquire either an
not been granted waiver of title, NASA
exclusive or partially exclusive, rev-
will jointly own the invention with the
ocable, royalty-bearing license, upon
terms to be negotiated, for any patent Recipient.
applications and patents covering such (i) Licenses to recipient(s). (1) Any ex-
inventions. This exclusive or partially- clusive or partially exclusive commer-
exclusive license to the recipient will cial licenses are to be royalty-bearing
be subject to the retention of rights by consistent with Government-wide pol-
or on behalf of the Government for icy in licensing its inventions. It also
Government purposes. provides an opportunity for royalty-
(h) Joint inventions. (1) NASA and the sharing with the employee-inventor,
recipient agree to use reasonable ef- consistent with Government-wide pol-
forts to identify and report to each icy under the Federal Technology
other any inventions made jointly be- Transfer Act.
tween NASA employees (or employees (2) Upon application in compliance
of NASA support contractors) and em- with 37 CFR Part 404Licensing of
ployees of Recipient. For large busi- Government Owned Inventions, all re-
nesses, the Associate General Counsel cipients shall be granted a revocable,
(Intellectual Property) may agree that nonexclusive, royalty-free license in
the United States will refrain, for a each patent application filed in any
specified period, from exercising its un- country on a subject invention and any
divided interest in a manner incon-
resulting patent in which the Govern-
sistent with the recipients commercial
ment obtains title. Because coopera-
interest. For small business firms and
tive agreements are cost sharing coop-
nonprofit organizations, the Associate
General Counsel (Intellectual Prop- erative arrangements with a purpose of
erty) may agree to assign or transfer benefiting the public by improving the
whatever rights NASA may acquire in competitiveness of the recipient and
a subject invention from its employee the Government receives an irrev-
to the recipient as authorized by 35 ocable, nonexclusive, royalty-free li-
U.S.C. 202(e). The agreement officer ne- cense in each recipient subject inven-
gotiating the agreement with small tion, it is only equitable that the re-
business firms and nonprofit organiza- cipient receive, at a minimum, a rev-
tions can agree, up front, that NASA ocable, nonexclusive, royalty-free li-
will assign whatever rights it may ac- cense in NASA inventions and NASA
quire in a subject invention from its contractor inventions where NASA has
employee to the small business firm or acquired title.
nonprofit organization. Requests under (3) Once a recipient has exercised its
this paragraph shall be made through option to apply for an exclusive or par-
the Center Patent Counsel. tially exclusive license, a notice, iden-
(2) NASA support contractors may be tifying the invention and the recipient,
joint inventors. If a NASA support con- is published in the FEDERAL REGISTER,
tractor employee is a joint inventor providing the public opportunity for
with a NASA employee, the same pro- filing written objections for 60 days.
visions apply as those for NASA sup-
(j) Preference for United States manu-
port contractor inventions (see para-

graph (g) of this section). The NASA facture. Despite any other provision,
support contractor will retain or ob- the recipient agrees that any products
322
embodying subject inventions or pro- etary information will be developed

duced through the use of subject inven- and/or exchanged under the agreement.
tions shall be manufactured substan- If cost sharing is unequal or no exten-
tially in the United States. Manufac- sive research, experimental, develop-
tured substantially in the United mental, engineering, demonstration, or
States means the product must have design activities are likely, a different
over 50 percent of its components man- set of clauses may be appropriate.
ufactured in the United States. This re- (2) The primary question that must
quirement is met if the cost to the re- be answered when developing data
cipient of the components mined, pro- clauses is what does each party need or
duced, or manufactured in the United intend to do with the data developed
States exceeds 50 percent of the cost of under the agreement. Accordingly, the
all components required to make the data rights clauses may be tailored to
product. In making this determination, fit the circumstances. Where con-
only the product and its components flicting goals of the parties result in
shall be considered. The cost of each incompatible data provisions, agree-
component includes transportation ment officers for the Government must
costs to the place of incorporation into recognize that private companies en-
the product and any applicable duty tering into cooperative agreements
whether or not a duty-free entry cer- bring resources to that relationship
tificate is issued. Components of for- and must be allowed to reap an appro-
eign origin of the same class or kind priate benefit for the expenditure of
for which determinations have been those resources. However, since serving
made in accordance with FAR 25.101(a) a public purpose is a major objective of
are treated as domestic. Scrap gen- a cooperative agreement, care must be
erated, collected, and prepared for exercised to ensure the recipient is not
processing in the United States is con- established as a long term sole source
sidered domestic. The intent of this supplier of an item or service and is
provision is to support manufacturing not in a position to take unfair advan-
jobs in the United States regardless of
tage of the results of the cooperative
the status of the recipient as a domes-
agreement. Therefore, a reasonable
tic or foreign controlled company.
time period (i.e., depending on the
However, in individual cases, the re-
technology, two to five years after pro-
quirement to manufacture substan-
duction of the data) may be established
tially in the United States, may be
after which the data first produced by
waived by the Assistant Administrator
the recipient in the performance of the
for Procurement (Code HS) upon a
agreement will be made public.
showing by the recipient that under
the circumstances domestic manufac- (3) Data can be generated from dif-
ture is not commercially feasible. ferent sources and can have various re-
(k) Space Act agreements. Invention strictions placed on its dissemination.
and patent rights in cooperative agree- Recipient data furnished to NASA can
ments must comply with statutory and exist prior to, or be produced outside
regulatory provisions. Where cir- of, the agreement or be produced under
cumstances permit, a Space Act Agree- the agreement. NASA can also produce
ment is available as an alternative in- data in carrying out its responsibilities
strument which can be more flexible in under the agreement. Each of these
the area of invention and patent rights. areas must be covered.
(l) Data rights. Data rights provisions (4) For data, including software, first
can and should be tailored to best produced by the recipient under the
achieve the needs and objectives of the agreement, the recipient may assert
respective parties concerned. copyright. Data exchanged with a no-
(1) The data rights clause at 1274.905 tice showing that the data is protected
assumes a substantially equal cost by copyright must include appropriate
sharing relationship where collabo- licenses in order for NASA to use the
rative research, experimental, develop- data as needed.
mental, engineering, demonstration, or (5) Recognizing that the dissemina-

design activities are to be carried out, tion of the results of NASAs activities
such that it is likely that propri- is a primary objective of a cooperative
323
1274.209 14 CFR Ch. V (1116 Edition)
agreement, the parties should specifi- upon the project requirements, and the
cally delineate what results will be goals and objectives of the cooperative
published and under what conditions. agreement.
This should be set forth in the clause of (b) Communications during non-com-
the cooperative agreement entitled petitive awards. For cooperative agree-
Publication and Reports: Non-Propri- ments awarded non-competitively (see
etary Research Results. Any such 1274.202(b)), there are no restrictions
agreement on the publication of results on communications between NASA and
should be stated to take precedence the recipient. In addition, there is no
over any other clause in the coopera- requirement for the development and
tive agreement. publication of formal evaluation or
(6) Section 1274.905(b)(3) requires the source selection criteria.
recipient to provide NASA a govern- (c) Communications during competitive
ment purpose license for data first pro- awards. As discussed in 1274.203(c),
duced by the Recipient that con- when a competitive source selection
stitutes trade secrets or confidential process will be followed to select the
business or financial information. recipient, an appropriate level of care
NASA and the recipient shall deter- shall be taken by NASA personnel in
mine the scope of this license at the order to protect the integrity of the
time of award of the cooperative agree- source selection process. Therefore,
ment. In addition to the purposes given upon release of the formal cooperative
as examples in 1274.905(b)(3), the li- agreement notice (CAN), the agree-
cense should provide NASA the right to ment officer shall direct all procure-
use this data under a separate coopera- ment personnel associated with the
tive agreement or contract issued to a source selection to refrain from com-
party other than the recipient for the municating with prospective recipients
purpose of continuing the project in and that all inquiries be referred to the
the event the cooperative agreement is agreement officer, or other authorized
terminated by either party. representative.
(7) In accordance with section 303(b) (d) Selection factors and subfactors. (1)
of the Space Act, any data first pro- At a minimum, the selection process
duced by NASA under the agreement for the competitive award of coopera-
which embodies trade secrets or finan- tive agreements to commercial entities
cial information that would be privi- shall include evaluation of potential
leged or confidential if it had been ob- recipients proposals for merit and rel-
tained from a private participant, will evance to NASAs mission require-
be marked with an appropriate legend ments through their responses to the
and maintained in confidence for an publication of NASA evaluation fac-
agreed to period of up to five years (the tors. The evaluation factors should in-
maximum allowed by law). This does clude technical and management capa-
not apply to data other than that for bilities (mission suitability), past per-
which there has been agreement re- formance, and proposed costs (includ-
garding publication or distribution. ing proposed cost share).
The period of time during which data (2) For programs that may involve
first produced by NASA is maintained potentially hazardous operations re-
in confidence should be consistent with lated to flight, and/or mission critical
the period of time determined in ac- ground systems, NASAs selection fac-
cordance with paragraph (h)(2) of this tors and subfactors shall provide for
section, before which data first pro- evaluation of the recipients proposed
duced by the recipient will be made approach to managing risk (e.g., tech-
public. Also, NASA itself may use the nology being applied or developed,
marked data (under suitable protective technical complexity, performance
conditions) for agreed-to purposes. specifications and tolerances, delivery
schedule, etc.).
1274.209 Evaluation and selection. (3) As part of the evaluation process,
(a) Factor development. The agreement the factors, subfactors, or other cri-
officer, along with the NASA evalua- teria should be tailored to properly ad-
tion team has discretion to determine dress the requirements of the coopera-
the relevant evaluation criteria based tive agreement.
324
(e) Other factors and subfactors. Other can assist in determining whether cost
factors and subfactors may include and pricing data are necessary and the
(1) The composition or appropriate- level of analysis required. While com-
ness of the business relationship of pro- petition may be present (i.e., more
posed team members or consortium, ar- than one proposal is received), in most
ticles of collaboration, participation of cases companies are proposing com-
an appropriate mix of small business, peting technologies and varying ap-
veteran-owned small business, service- proaches that reflect very different
disabled veteran-owned small business, methods (and accompanying costs) to
historically underutilized small busi- satisfy NASAs project objectives. Con-
ness, small disadvantaged business, and sequently, this type of competitive en-
women-owned business concerns, as vironment is very different from an en-
well as non-profits and educational in- vironment where competitive proposals
stitutions, including historically black are submitted in response to a request
colleges and universities and minority for proposals leading to award of a con-
institutions). tract for relatively well-defined pro-
(2) Other considerations may include gram or project requirements.
enhancing U.S. competitiveness, devel- (2) During evaluation of the cost pro-
oping a capability among U.S. firms, posal, the agreement officer, along
identification of potential markets, ap- with other NASA evaluation team
propriateness of business risks. members and/or pricing support per-
(f) Proposal evaluation. The proposals sonnel, shall determine the reasonable-
shall be evaluated in accordance with ness of the overall proposed project
the criteria published in the CAN. Pro- costs, including verifying the value of
posals selected for award will be sup- the recipients proposed non-cash and
ported by documentation as described in-kind contributions. Commitments
in 1274.211(b). When evaluation results should be obtained and verified to the
in a proposal not being selected, the extent practicable from the recipient
proposer will be notified in accordance or any associated team members, from
with the CAN. which proposed contributions will be
(g) Technical evaluation. The tech- made.
nical evaluation of proposals may in- (3) If the recipients proposed con-
clude peer reviews. Because the busi- tributions include application of IR&D
ness sense of a cooperative agreement costs, see 1274.204(g).
proposal is critical to its success, (i) Awards to foreign governments and
NASA may reserve the right to utilize firms. (1) An award may not be made to
appropriate outside evaluators to as- a foreign government. However, if se-
sist in the evaluation of such proposal lected as the best available source, an
elements as the business base projec- award may be made to a foreign firm.
tions, the market for proposed prod- If a proposal is selected from a foreign
ucts, and/or the impact of anticipated firm sponsored by their respective gov-
product price reductions. ernment agency, or from entities con-
(h) Cost/price evaluation. (1) Prior to sidered quasi-governmental, approval
award of a cooperative agreement, must be obtained from Headquarters,
agreement officers shall ensure that Program Operations Division (Code
proposed costs are accurate and reason- HS). Such requests must include de-
able. In order to do so, cost and pricing tailed rationale for the selection, to in-
data may be required. The level of cost clude the funding source of the foreign
and pricing data to be requested shall participant. The approval of the Assist-
be commensurate with the analysis ant Administrator for Procurement is
necessary to reach agreement on over- required to exclude foreign firms from
all proposed project costs. The evalua- submitting proposals. Award to a for-
tion of costs shall lead to the deter- eign firm shall be on a no-exchange-of-
mination and verification of total funds basis (see NPD 1360.2).
project costs to be shared by NASA and (2) The Office of External Affairs
the recipient, as well as establishment (Code I), shall be notified prior to any
of NASAs milestone payment schedule announcement of intent to award to a

based on its 50 percent cost share. The foreign firm. Additionally, pursuant to
guidance at FAR 15.4 and NFS 1815.4 section 126 of Pub. L. 106391, as part of
325
1274.210 14 CFR Ch. V (1116 Edition)
the evaluation of costs and benefits of the following legend shall be affixed to
entering into an obligation to conduct data provided to outside evaluators:
a space mission in which a foreign enti-
ty will participate as a supplier of the GOVERNMENT NOTICE FOR HANDLING
spacecraft, spacecraft system, or PROPOSALS
launch system, NASA shall solicit This proposal shall be used and dis-
comment on the potential impact of closed for evaluation purposes only,
such participation, through notice pub- and a copy of this Government notice
lished in the FedBizOpps or NAIS. shall be applied to any reproduction or
(j) Safe-guarding proposals. Competi- abstract thereof. Any authorized re-
tive proposal information shall be pro- strictive notices which the submitter
tected in accordance with FAR 15.207, places on this proposal shall also be
Handling proposals and information. strictly complied with.
Unsolicited proposals shall be pro- (l) Printing, binding, and duplicating.
tected in accordance with FAR 15.608, Proposals for efforts that involve print-
Prohibitions, and FAR 15.609, Limited ing, binding, and duplicating in excess
use of data. of 25,000 pages are subject to the regu-
(1) Evaluation team members, the lations of the Congressional Joint
source selection authority, and agree- Committee on Printing. The technical
ment officers are responsible for pro- office will refer such proposals to the
tecting sensitive information on the Installation Central Printing Manage-
award of a grant or cooperative agreement Officer (ICPMO) to ensure com-
ment and for determining who is au- pliance with NPD 1490.1. The Agree-
thorized to receive such information. ment Officer will be advised in writing
Sensitive information includes: infor- of the results of the ICPMO review.
mation contained in proposals; infor- 1274.210 Unsolicited proposals.
mation prepared for NASAs evaluation
of proposals; the rankings of proposals (a) For a proposal to be considered a
for an award; reports and evaluations valid unsolicited proposal, the submis-
of source selection panels, boards, or sion must
advisory councils; and other informa- (1) Be innovative and unique;
tion deemed sensitive by the source se- (2) Be independently originated and
lection authority or by the agreement developed by the recipient;
(3) Be prepared without Government
officer.
supervision, endorsement, direction or
(2) No sensitive information shall be
direct Government involvement;
disclosed to persons not on the evalua- (4) Include sufficient technical and
tion team or evaluation panel, unless cost detail to permit a determination
the Selecting Official or the agreement that Government support could be
officer has approved disclosure based worthwhile and the proposed work
upon an unequivocal need-to-know could benefit the agencys research and
and the individual receiving the infor- development or other mission respon-
mation has signed a Non-Disclosure sibilities; and
Certificate. All attendees at formal (5) Not be an advance proposal for a
source selection presentations and known agency requirement that can be
briefings shall be required to sign an acquired by competitive methods.
Attendance Roster and a Disclosure (b) For each unsolicited proposal se-
Certificate. The attendance rosters and lected for award, the cognizant tech-
certificates shall be maintained in offi- nical office will prepare and furnish to
cial files for a minimum of six months the Agreement Officer, a justification
after award. for acceptance of an unsolicited pro-
(3) The improper disclosure of sen- posal (JAUP). The JAUP shall be sub-
sitive information could result in mitted for the approval of the agree-
criminal prosecution or an adverse ac- ment officer after review and concur-
tion. rence at a level above the technical of-
(k) Controls on the use of outside eval- ficer. The evaluator shall consider the
uators. The use of outside evaluators following factors, in addition to any

shall be approved in accordance with others appropriate for the particular
NFS 1815.20770(b). A cover sheet with proposal:
326
(1) Unique and innovative methods, (b) For awards that are the result of
approaches or concepts demonstrated a competitive source selection, the
by the proposal. technical officer will prepare and fur-
(2) Overall scientific or technical nish to the agreement officer a signed
merits of the proposal. selection statement based on the selec-
(3) The offerors capabilities, related tion criteria stated in the solicitation.
experience, facilities, techniques, or (1) Bilateral award. All cooperative
unique combinations of these which are agreements shall be awarded on a bilat-
integral factors for achieving the pro- eral basis.
posal objectives.
(2) Consortium awards. If the coopera-
(4) The qualifications, capabilities,
and experience of the proposed key per- tive agreement is to be awarded to a
sonnel who are critical in achieving the consortium, a completed, formally exe-
proposal objectives. cuted Articles of Collaboration is re-
(5) Current, open solicitations under quired prior to award.
which the unsolicited proposal could be (c) Central Contractor Registration
evaluated. (CCR). Prior to implementation of the
(c) Unsolicited proposals shall be Integrated Financial Management
handled in accordance with NFS (IFM) System at each center, all grant
1815.606, Agency Procedures. and cooperative agreement recipients
(d) Unsolicited proposals from for- are required to register in the Depart-
eign sources are subject to NPD 1360.2, ment of Defense (DOD) Central Con-
Development of International Co- tractor Registration (CCR) database.
operation in Space and Aeronautics Registration is required in order to ob-
Programs. tain a Commercial and Government
(e) There is no requirement for a pub- Entity (CAGE) code, which will be used
lic announcement of the award of a co- as a grant and cooperative agreement
operative agreement. In addition, there identification number for the new sys-
is no requirement for announcement of tem. The agreement officer shall verify
awards resulting from unsolicited pro-
that the prospective awardee is reg-
posals. However, in those instances
istered in the CCR database using the
where a public announcement is
DUNS number or, if applicable, the
planned and the award is the result of
an unsolicited proposal, in addition to DUNS+4 number, via the Internet at
the requirements of NFS 1805.303 http://www.ccr2000.com or by calling toll
71(a)(3), NASA personnel must take free: 8882272423, commercial: 616961
measures that ensure protection of the 5757.
data and intellectual property rights of (d) Certifications, Disclosures, and As-
submitters of unsolicited proposals as surances. (1) Agreement officers are re-
provided by FAR 5.202(a)(8). quired to ensure that all necessary cer-
(f) Additional information regarding tifications, disclosures, and assurances
unsolicited proposals is available in have been obtained prior to awarding a
the handbook entitled, Guidance for cooperative agreement.
the Preparation and Submission of Un- (2) Each new proposal shall include a
solicited Proposals, which is available certification for debarment and suspen-
on the NASA Acquisition Internet sion under the requirements of 2 CFR
Service Website at: http:// 180.510 and 1260.117.
ec.msfc.nasa.gov/hq/library/unSol- (3) Each new proposal for an award
Prop.html. exceeding $100,000 shall include a cer-
1274.211 Award procedures. tification, and a disclosure form (SF
LLL) if required, on Lobbying under
(a) In accordance with NFS 1805.303 the requirements of 14 CFR 1271.110 and
71, the NASA Administrator shall be
1260.117.
notified at least three (3) workdays be-
fore a planned public announcement for (4) Unless a copy is on file at the
award of a cooperative agreement (re- NASA center, recipients must furnish
an assurance on NASA Form (NF) 1206
gardless of dollar value), if it is

thought the agreement may be of sig-
nificant interest to Headquarters.
327
1274.212 14 CFR Ch. V (1116 Edition)
on compliance with Civil Rights stat- news media or the general public. The
utes specified in 14 CFR parts 1250 procedures established by NFS 1805.403
through 1253. shall be followed when responding to
inquiries from members of Congress.
FR 62210, Oct. 24, 2006; 72 FR 19785, Apr. 20,
2007] 1274.215 Federal and federally fund-
ed construction projects.
1274.212 Document format and num- (a) In accordance with E.O. 13202 of
bering. February 17, 2001, Preservation of
(a) Formats. Agreement officers shall Open Competition and Government
use NF 1687A (available via the Inter- Neutrality Towards Government Con-
net at https://extranet.hq.nasa.gov/nef/ tractors Labor Relations on Federal
user/formlsearch.cfm), with minimum and Federally Funded Construction
modification, as the standard coopera- Projects, as amended on April 6, 2001,
tive agreement cover page for the the Government, or any construction
award of all cooperative agreements. manager acting on behalf of the Gov-
(b) Cooperative agreement numbering ernment, shall not
system. Cooperative agreement num- (1) Require or prohibit recipients, po-
bering may be changed once the Inte- tential recipients or subrecipients to
grated Financial Management (IFM) is enter into or adhere to agreements
implemented. Until IFM is imple- with one or more labor organizations
mented, cooperative agreement num- (as defined in 42 U.S.C. 2000e(d)) on the
bering shall conform to NFS 1804.7102, same or other related construction
except that a NCC prefix will be used in projects; or
lieu of the NAS prefix. Along with the (2) Otherwise discriminate against re-
prefix NCC, a one or two digit Center cipients, potential recipients or sub-
Identification Number, and a sequence recipients for becoming, refusing to be-
number of up to five digits will be used. come, or remaining signatories or oth-
Inclusive of the prefix and fiscal year, erwise adhering to agreements with
the total number of characters, digits, one or more organizations, on the same
and spaces cannot exceed 11. or other related construction projects.
(b) Nothing in this section prohibits
1274.213 Distribution of cooperative the recipient, potential recipients or
agreements. subrecipients from voluntarily enter-
Copies of cooperative agreements and ing into project labor agreements.
modifications will be provided to: pay- (c) The Assistant Administrator for
ment office, technical officer, adminis- Procurement may exempt a construc-
trative agreement officer when delegation project from this policy if, as of
tion has been made (particularly when February 17, 2001
administrative functions are delegated (1) The agency or a construction
to DOD or another agency), NASA Cen- manager acting on behalf of the Gov-
ter for Aerospace Information (CASI), ernment had issued or was party to bid
Attn: Document Processing Section, specifications, project agreements,
7121 Standard Drive, Hanover, MD agreements with one or more labor or-
21076, and any other appropriate recipi- ganizations, or other controlling docu-
ent. Copies of the statement of work, ments with respect to that particular
contained in the recipients proposal project, which contained any of the re-
and accepted by NASA, will be pro- quirements or prohibitions in para-
vided to the administrative agreement graph (d)(1) of this section; and
officer and CASI. The cooperative (2) One or more construction con-
agreement file will contain a record of tracts (includes any contract awarded
the addresses for distributing agree- by the recipient) subject to such re-
ments and supplements. quirements or prohibitions had been
awarded.
1274.214 Inquiries and release of in- (d) The Assistant Administrator for
formation. Procurement may exempt a particular
NASA personnel shall follow the pro- project, contract, or subcontract from
cedures established in NFS 1805.402 this policy upon a finding that special
prior to releasing information to the circumstances require an exemption in
328
order to avert an imminent threat to 45.2, as guidelines to calculate the

public health or safety, or to serve the value of the property or equipment.
national security. A finding of special
circumstances may not be based on 1274.402 Contractor acquired prop-
the possibility or presence of a labor erty.
dispute concerning the use of contrac- As provided in 1274.923(c), title to
tors or subcontractors who are nonsig- property acquired with government
natories to, or otherwise do not adhere funds vests in the government. Under a
to, agreements with one or more labor cost shared cooperative agreement,
organizations, or concerning employees joint ownership of property equal to
on the project who are not members of, the cost-sharing ratio will result if the
or affiliated with, a labor organization. parties make no specific arrangements
regarding such property. The disposi-
[67 FR 77668, Dec. 19, 2002]
tion of acquired property should be ad-
dressed in the cooperative agreement
Subpart 1274.3Administration at the time of award. The cooperative
agreement may provide that all such
1274.301 Delegation of administra- property be contributed by the recipi-
tion. ent as a non-cash contribution. A rea-
Cooperative agreements may be ad- sonable dollar value must be specified
ministered by the awarding activity or and adequately supported. In this case,
the awarding activity may obtain addi- title will vest in the recipient. Alter-
tional administration services in ac- natively, NASA and the recipient may
cordance with the procedures provided include in the cooperative agreement
by NFS 1842.202. NASA Form 1678, any other appropriate arrangement for
NASA Technical Officer Delegation for the disposition of acquired property
Cooperative Agreements with Commer- upon completion of the effort.
cial Firms, will be used to delegate re-
sponsibilities to the NASA Technical Subpart 1274.5Procurement
Officer. Standards
1274.302 Transfers, novations, and 1274.501 Purpose of procurement
change of name agreements. standards.
(a) Transfer of cooperative agreements. (a) The procurement standards stated
Novation is the only means by which a in 1274.502 through 1274.510, may not
cooperative agreement may be trans- apply to or may supplement the proce-
ferred from one recipient to another. dures of a commercial recipient that
(b) Novation and change of name. has a purchasing system approved in
NASA legal counsel shall review, for accordance with the requirements of
legal sufficiency, all novation agree- FAR Subpart 44.3 and NFS 1844.3.
ments or change of name agreements of (b) Sections 1274.502 through 1274.510
the recipient, prior to formal execution set forth standards for use by recipi-
by the agreement officer. ents in establishing procedures for the
procurement of supplies and other ex-
Subpart 1274.4Property pendable property, equipment, real
property and other services with Fed-
1274.401 Government furnished prop- eral funds. These standards are fur-
erty. nished to ensure that such materials
Property or equipment owned by the and services are obtained in an effec-
Government that will be used in the tive manner and in compliance with
performance of a cooperative agree- the provisions of applicable Federal
ment shall be included as part of the statutes and executive orders.
Governments percentage (usually 50
percent) of shared costs. In most cases 1274.502 Recipient responsibilities.
the property or equipment will be cat- The standards contained in this sec-
egorized as non-cash contributions. tion do not relieve the recipient of the

Agreement officers may use the proce- contractual responsibilities arising
dures promulgated by FAR Subpart under its contract(s). The recipient is
329
1274.503 14 CFR Ch. V (1116 Edition)
the responsible authority, without re- advantage, contractors that develop or

course to NASA, regarding the settle- draft specifications, requirements,
ment and satisfaction of all contrac- statements of work, invitations for
tual and administrative issues arising bids and/or requests for proposals shall
out of procurements entered into in normally be excluded from competing
support of an award or other agree- for such procurements, unless conflicts
ment. This includes disputes, claims, or apparent conflicts of interest issues
protests of award, source evaluation or have been resolved. Awards shall be
other matters of a contractual nature. made to the bidder or offeror whose bid
Matters concerning violation of statute or offer is responsive to the solicitation
are to be referred to such Federal, and is most advantageous to the recipi-
State or local authority as may have ent, price, quality and other factors
proper jurisdiction. considered. Solicitations shall clearly
set forth all requirements that the bid-
1274.503 Codes of conduct. der or offeror shall fulfill in order for
The recipient shall maintain written the bid or offer to be evaluated by the
standards of conduct governing the recipient. Any and all bids or offers
performance of its employees engaged may be rejected when it is in the re-
in the award and administration of cipients interest to do so.
contracts. No employee, officer, or
agent shall participate in the selection, 1274.505 Procurement procedures.
award, or administration of a contract (a) All recipients shall establish writ-
supported by Federal funds if a real or ten procurement procedures. These
apparent conflict of interest would be procedures shall provide at a min-
involved. Such a conflict would arise imum, that the conditions in para-
when the employee, officer, or agent, graphs (a)(1), (2) and (3) of this section
any member of his or her immediate apply.
family, his or her partner, or an orga- (1) Recipients avoid purchasing un-
nization which employs or is about to necessary items.
employ any of the parties indicated (2) Where appropriate, an analysis is
herein, has a financial or other interest made of lease and purchase alter-
in the firm selected for an award. The natives to determine which would be
officers, employees, and agents of the the most economical and practical pro-
recipient shall neither solicit nor ac- curement for the Federal Government.
cept gratuities, favors, or anything of (3) Solicitations for goods and serv-
monetary value from contractors, or ices provide for all of the following:
parties to subagreements. However, re- (i) A clear and accurate description
cipients may set standards for situa- of the technical requirements for the
tions in which the financial interest is material, product or service to be pro-
not substantial or the gift is an unso- cured. In competitive procurements,
licited item of nominal value. The such a description shall not contain
standards of conduct shall provide for features that unduly restrict competi-
disciplinary actions to be applied for tion.
violations of such standards by offi- (ii) Requirements that the bidder/of-
cers, employees, or agents of the re- feror must fulfill and all other factors
cipient. to be used in evaluating bids or pro-
posals.
1274.504 Competition. (iii) A description, whenever prac-
All procurement transactions shall ticable, of technical requirements in
be conducted in a manner to provide, terms of functions to be performed or
to the maximum extent practical, open performance required, including the
and free competition. The recipient range of acceptable characteristics or
shall be alert to organizational con- minimum acceptable standards.
flicts of interest as well as noncompeti- (iv) The specific features of brand
tive practices among contractors that name or equal descriptions that bid-
may restrict or eliminate competition ders are required to meet when such
or otherwise restrain trade. In order to items are included in the solicitation.

ensure objective contractor perform- (v) The acceptance, to the extent
ance and eliminate unfair competitive practicable and economically feasible,
330
of products and services dimensioned in matters as contractor integrity, record

the metric system of measurement. of past performance, financial and
(vi) Preference, to the extent prac- technical resources or accessibility to
ticable and economically feasible, for other necessary resources. In certain
products and services that conserve circumstances, contracts with certain
natural resources and protect the envi- parties are restricted by 2 CFR part
ronment and are energy efficient. 180, the implementation of Executive
(b) Positive efforts shall be made by Orders 12549 and 12689, Debarment and
recipients to utilize small business, Suspension.
veteran-owned small business, service- (e) Recipients shall, on request, make
disabled veteran-owned small business, available for NASA, pre-award review
historically underutilized small busi- and procurement documents, such as
ness, small disadvantaged business, request for proposals or invitations for
women-owned business concerns, His- bids, independent cost estimates, etc.,
torically Black Colleges and Univer- when any of the following conditions
sities, and minority educational insti- apply:
tutions as subcontractors to the max- (1) A recipients procurement proce-
imum extent practicable. Recipients of dures or operation fails to comply with
NASA awards shall take all of the fol- the procurement standards in NASAs
lowing steps to further this goal. implementation of this subpart.
(1) Make information on forthcoming (2) The procurement is expected to
opportunities available and arrange exceed the simplified acquisition
time frames for purchases and con- threshold and is to be awarded without
tracts. competition or only one bid or offer is
(2) Consider in the contract process received in response to a solicitation.
whether firms competing for larger (3) The procurement, which is ex-
contracts intend to subcontract with pected to exceed the simplified acquisi-
these businesses and institutions. tion threshold, specifies a brand
(3) Encourage contracting with con- name product.
sortiums or teams of these businesses (4) The proposed award over the sim-
and institutions when a contract is too plified acquisition threshold is to be
large for one of these firms to handle awarded to other than the apparent
individually. low bidder under a sealed bid procure-
(4) Use the services and assistance, as ment.
appropriate, of such organizations as (5) A proposed contract modification
the Small Business Administration and changes the scope of a contract or in-
the Department of Commerces Minor- creases the contract amount by more
than the amount of the simplified ac-
ity Business Development Agency in
quisition threshold.
the solicitation and utilization of
small businesses, minority-owned firms [67 FR 45790, July 10, 2002, as amended at 72
and womens business enterprises. FR 19785, Apr. 20, 2007]
(c) The type of procuring instruments
used (e.g., fixed price contracts, cost 1274.506 Cost and price analysis.
reimbursable contracts, purchase or- Some form of cost or price analysis
ders, and incentive contracts) shall be shall be made and documented in the
determined by the recipient but shall procurement files in connection with
be appropriate for the particular pro- every procurement action. Price anal-
curement and for promoting the best ysis may be accomplished in various
interest of the program or project in- ways, including the comparison of
volved. The cost-plus-a-percentage-of- price quotations submitted, market
cost or percentage of construction prices and similar indicies, together
cost methods of contracting shall not with discounts. Cost analysis is the re-
be used. view and evaluation of each element of
(d) Contracts shall be made only with cost to determine reasonableness,
responsible contractors who possess allocability and allowability.
the potential ability to perform suc-
1274.507 Procurement records.
cessfully under the terms and condi-

tions of the proposed procurement. Procurement records and files for
Consideration shall be given to such purchases in excess of the simplified
331
1274.508 14 CFR Ch. V (1116 Edition)
acquisition threshold shall include the records of the contractor which are di-
following at a minimum: rectly pertinent to a specific program
(a) Basis for contractor selection. for the purpose of making audits, ex-
(b) Justification for lack of competi- aminations, excerpts and tran-
tion when competitive bids or offers scriptions.
are not obtained. (d) For Construction and facility im-
(c) Basis for award cost or price. provements, except as otherwise re-
1274.508 Contract administration. quired by statute, an award that re-
quires the contracting (or subcon-
A system for contract administration tracting) for construction or facility
shall be maintained to ensure con- improvements shall provide for the re-
tractor conformance with the terms, cipient to follow its own requirements
conditions and specifications of the
relating to bid guarantees, perform-
contract and to ensure adequate and
ance bonds, and payment bonds unless
timely follow-up of all purchases. Re-
the construction contract or sub-
cipients shall evaluate contractor per-
contract exceeds $100,000. For those
formance and document, as appro-
priate, whether contractors have met contracts or subcontracts exceeding
the terms, conditions and specifica- $100,000, NASA may accept the bonding
tions of the contract. policy and requirements of the recipi-
ent, provided NASA has made a deter-
1274.509 Contract provisions. mination that the Federal Govern-
The recipient shall include, in addi- ments interest is adequately pro-
tion to provisions to define a sound and tected. If such a determination has not
complete agreement, the following pro- been made, the minimum requirements
visions in all contracts. The following shall be as follows:
provisions shall also be applied to sub- (1) A bid guarantee from each bidder
contracts: equivalent to five percent of the bid
(a) Contracts in excess of the sim- price. The bid guarantee shall con-
plified acquisition threshold (currently sist of a firm commitment such as a
$100,000) shall contain contractual pro- bid bond, certified check, or other ne-
visions or conditions that allow for ad- gotiable instrument accompanying a
ministrative, contractual, or legal bid as assurance that the bidder shall,
remedies in instances in which a con- upon acceptance of his bid, execute
tractor violates or breaches the con- such contractual documents as may be
tract terms, and provide for such reme- required within the time specified.
dial actions as may be appropriate. (2) A performance bond on the part of
(b) All contracts in excess of the sim- the contractor for 100 percent of the
plified acquisition threshold shall con- contract price. A performance bond
tain suitable provisions for termi- is one executed in connection with a
nation by the recipient, including the
contract to secure fulfillment of all the
manner by which termination shall be
contractors obligations under such
effected and the basis for settlement.
contract.
In addition, such contracts shall de-
scribe conditions under which the con- (3) A payment bond on the part of the
tract may be terminated for default as contractor for 100 percent of the con-
well as conditions where the contract tract price. A payment bond is one
may be terminated because of cir- executed in connection with a contract
cumstances beyond the control of the to assure payment as required by stat-
contractor. ute of all persons supplying labor and
(c) All negotiated contracts (except material in the execution of the work
those for less than the simplified ac- provided for in the contract.
quisition threshold) awarded by recipi- (4) Where bonds are required in the
ents shall include a provision to the ef- situations described in this section, the
fect that the recipient, NASA, the bonds shall be obtained from compa-
Comptroller General of the United nies holding certificates of authority
States, or any of their duly authorized as acceptable sureties pursuant to 31

representatives, shall have access to CFR part 223, Surety companies doing
any books, documents, papers and business with the United States.
332
1274.510 Subcontracts. cate record keeping, NASA may make

arrangements for recipients to retain
Recipients (individual firms or con-
any records that are continuously
sortia) are not authorized to issue
needed for joint use.
grants or cooperative agreements to
(e) NASA, the Inspector General,
subrecipients. All entities that are in-
Comptroller General of the United
volved in performing the research and
States, or any of their duly authorized
development effort that is the purpose
representatives, have the right of time-
of the cooperative agreement shall be
ly and unrestricted access to any
part of the recipients consortium and
books, documents, papers, or other
not subcontractors. All contracts, in-
records of Recipients that are perti-
cluding small purchases, awarded by
nent to the awards, in order to make
recipients and their contractors shall
audits, examinations, excerpts, tran-
contain the procurement provisions of
scripts and copies of such documents.
Exhibit A to this part, as applicable
This right also includes timely and rea-
and may be subject to approval re-
sonable access to a recipients per-
quirements cited in 1274.925.
sonnel for the purpose of interview and
discussion related to such documents.
Subpart 1274.6Reports and The rights of access in this paragraph
Records are not limited to the required reten-
tion period, but shall last as long as
1274.601 Retention and access re- records are retained.
quirements for records.
(f) Unless required by statute, NASA
(a) This subpart sets forth require- shall not place restrictions on recipi-
ments for record retention and access ents that limit public access to the
to records for awards to recipients. records of recipients that are pertinent
(b) Financial records, supporting doc- to an award, except when NASA can
uments, statistical records, and all demonstrate that such records shall be
other records pertinent to an award kept confidential and would have been
shall be retained for a period of three exempted from disclosure pursuant to
years from the date of submission of the Freedom of Information Act (5
the final invoice. The only exceptions U.S.C. 552) if the records had belonged
are the following: to NASA.
(1) If any litigation, claim, or audit is (g) Indirect cost rate proposals, cost al-
started before the expiration of the 3- locations plans, etc., applies to the fol-
year period, the records shall be re- lowing types of documents, and their
tained until all litigation, claims or supporting records: indirect cost rate
audit findings involving the records computations or proposals, cost alloca-
have been resolved and final action tion plans, and any similar accounting
taken. computations of the rate at which a
(2) Records for real property and particular group of costs is chargeable
equipment acquired with Federal funds (such as computer usage chargeback
shall be retained for 3 years after final rates or composite fringe benefit
disposition. rates).
(3) When records are transferred to or (1) If submitted for negotiation. If the
maintained by NASA, the 3-year reten- recipient submits to NASA or the sub-
tion requirement is not applicable to recipient submits to the recipient the
the Recipient. proposal, plan, or other computation to
(4) Indirect cost rate proposals, cost form the basis for negotiation of the
allocations plans, etc., as specified in rate, then the 3-year retention period
paragraph (g) of this section. for its supporting records starts on the
(c) Copies of original records may be date of such submission.
substituted for the original records if (2) If not submitted for negotiation. If
authorized by NASA. the recipient is not required to submit
(d) NASA shall request transfer of to NASA or the subrecipient is not re-
certain records to its custody from required to submit to the recipient the
cipients when it determines that the proposal, plan, or other computation

records possess long term retention for negotiation purposes, then the 3-
value. However, in order to avoid dupli- year retention period for the proposal,
333
1274.701 14 CFR Ch. V (1116 Edition)
plan, or other computation and its sup- Subpart 1274.8Post-Award/

porting records starts at the end of the Administrative Requirements
fiscal year (or other accounting period)
covered by the proposal, plan, or other 1274.801 Adjustments to performance
computation. costs.
In order to accomplish program ob-
Subpart 1274.7Suspension or jectives, there may be occasions where
Termination additional contributions (cash and/or
in-kind contributions) by NASA and
1274.701 Suspension or termination. the recipient beyond the initial agree-
ment may be needed. There may also
(a) Suspension. NASA or the recipient be occasions where actual costs of
may suspend the cooperative agree- NASA and the recipient may be less
ment for a mutually agreeable period than initially agreed. In cases where
of time, if an assessment is required to program costs are adjusted, prior to
determine whether the agreement execution of a modification to the
should be terminated. agreement, mutual agreement between
(b) Termination. (1) A cooperative NASA and the recipient shall also be
agreement provides both NASA and the reached on the corresponding changes
recipient the ability to terminate the in program requirements such as
Agreement if it is in their best inter- schedule, work statements and mile-
ests to do so, by giving the other party stone payments. Funding for any work
prior written notice. Upon receipt of a required beyond the initial funding
notice of termination, the receiving level of the cooperative agreement,
shall require submission by the recipi-
party shall take immediate steps to
ent of a detailed proposal to the agree-
stop the accrual of any additional obli- ment officer. Prior to execution of a
gations, which might require payment. modification increasing NASAs initial
(2) NASA may, for example, termi- cost share or funding levels, detailed
nate the Agreement if the recipient is cost analysis techniques may be ap-
not making anticipated technical plied, which may include requests for
progress, if the recipient materially audits services and/or application of
changes the objectives of the agree- other pricing support techniques. Any
ment, or if appropriated funds are not adjustments or modifications that re-
available to support the program. sult in a change to the performance
(3) Similarly, the recipient may ter- costs of the cooperative agreement
minate the agreement if, for example, shall continue to maintain the share
technical progress is not being made, if ratio requirements (normally 50/50)
the commercial recipient shifts its stated in 1274.204(b).
technical emphasis, or if other techno- 1274.802 Modifications.
logical advances have made the effort
obsolete. Modifications to the cooperative
agreement in particular, modifications
(4) If the cooperative agreement is
that affect funding, milestone pay-
terminated by either NASA or the re-
ments, program schedule and state-
cipient and NASA elects to continue
ment of work requirements shall be ex-
the project with a party other than the ecuted on a bilateral basis.
recipient, the right of the government
to use data first produced by either 1274.8031274.804 [Reserved]
NASA or the recipient in the perform-
ance of this agreement is covered by Subpart 1274.9Other Provisions
1274.905(b). See 1274.208(l)(6) to assure and Special Conditions
that appropriate language is contained
in 1274.905(b). 1274.901 Other provisions and spe-
cial conditions.
Where applicable, the provisions set
forth in this subpart are to be incor-

porated in and made a part of all coop-
erative agreements with commercial
334
firms. When included, the provisions at (d) Since NASA contractors may obtain
1274.902 through 1274.909 and the pro- certain intellectual property rights arising
visions at 1274.933 through 1274.942 from work for NASA in support of this agree-
ment, NASA will inform Recipient whenever
are to be incorporated in full text sub-
NASA intends to use NASA contractors to
stantially as stated in this regulation. perform technical engineering services in
When required, the provisions at support of this agreement.
1274.910 through 1274.932, may be in- (e) Unless the Cooperative Agreement is
corporated by reference in an enclosure terminated by the parties, end date can only
to each cooperative agreement. For in- be changed by execution of a bilateral modi-
clusion of provisions in subcontracts, fication.
see Exhibit A of this part, and
1274.925. [End of provision]
1274.902 Purpose. 1274.904 Resource sharing require-

ments.
PURPOSE
RESOURCE SHARING REQUIREMENTS
July 2002
July 2002
The purpose of this cooperative agreement
is to conduct a shared resource project that Where NASA and other Government agen-
will lead to llllllll. This cooperative cies are involved in the cooperative agree-
agreement will advance the technology de- ment, NASA shall also mean Federal
velopments and research which have been Government.
performed on lllllllll. The specific (a) NASA and the Recipient will share in
objective is to llllllllll. This work providing the resources necessary to perform
will culminate in llllllllll. the agreement. NASA funding and non-cash
contributions (personnel, equipment, facili-
[End of provision] ties, etc.) and the dollar value of the Recipi-
ents cash and/or non-cash contribution will
1274.903 Responsibilities. be on a ll percent (NASA)ll percent
(Recipient) basis. Criteria and procedures for
RESPONSIBILITIES the allowability and allocability of cash and
non-cash contributions shall be governed by
July 2002 FAR Parts 30 and 31, and NFS Parts 1830 and
(a) This Cooperative Agreement will in- 1831.
clude substantial NASA participation during (b) The funding and non-cash contributions
performance of the effort. NASA and the Re- by both parties are represented by the fol-
cipient agree to the following Responsibil- lowing dollar amounts:
ities, a statement of cooperative inter- Government Share lllllllllllll
actions to occur during the performance of Recipient Share lllllllllllllll
this effort. NASA and the Recipient shall
exert all reasonable efforts to fulfill the re- Total Amount llllllllllllllll
sponsibilities stated below. (c) The Recipients share shall not be
(b) NASA Responsibilities. The following charged to the Government under this
NASA responsibilities are hereby set forth Agreement or under any other contract,
effective upon the start date, which unless grant, or cooperative agreement, except to
stated otherwise, shall be the execution date the extent that the Recipients contribution
of this bilateral Cooperative Agreement. The may be allowable IR&D costs pursuant to
end date stated below, may be changed by a FAR 31.20518(e).
written bilateral modification:
[End of provision]
Responsibilities Start Date End Date
(c) Recipient Responsibilities. The Recipi- [67 FR 45790, July 10, 2002, as amended at 71
ent shall be responsible for particular as- FR 51714, Aug. 31, 2006]
pects of project performance as set forth in
the technical proposal dated llllllll, 1274.905 Rights in data.
attached hereto (or Statement of Work dated
llllllllll, attached hereto). The As noted in 1274.208(l)(1), the fol-
following responsibilities are hereby set lowing provision assumes a substan-
forth effective upon the start date, which un- tially equal cost sharing relationship
less stated otherwise, shall be the execution where collaborative research, experi-
date of this bilateral Cooperative Agree- mental, developmental, engineering,
ment. The end date stated below, may be demonstration, or design activities are
changed by a written bilateral modification: to be carried out, such that it is likely
Responsibilities Start Date End Date that proprietary information will be
335
1274.905 14 CFR Ch. V (1116 Edition)
developed and/or exchanged under the tice or legend, the Data will be maintained
agreement. If cost sharing is unequal in confidence for a period of [insert two to
or no extensive research, experimental, five] years after development of the data
and be disclosed and used by [NASA or
developmental, engineering, dem- the Government, as appropriate] and its
onstration, or design activities are contractors (under suitable protective condi-
likely, a different set of provisions may tions) only for [insert appropriate purpose;
be appropriate. The Agreement Officer for example: experimental; evaluation; re-
is expected to complete and/or select search; development, etc.] by or on behalf of
the appropriate bracketed language [NASA or the Government as appro-
under the provision for those para- priate] during that period. In order that
[NASA or the Government, as appro-
graphs dealing with data first produced priate] and its contractors may exercise the
under the cooperative agreement. In right to use such Data for the purposes des-
addition, the Agreement Officer may, ignated above, NASA, upon request to the
in consultation with the Centers Pat- Recipient, shall have the right to review and
ent or Intellectual Property Counsel, request delivery of Data first produced by
tailor the provision to fit the par- Recipient. Delivery shall be made within a
ticular circumstances of the program time period specified by NASA.
(4) Data first produced by NASA. As to data
and/or the recipients need to protect first produced by NASA in carrying out
specific proprietary information. NASAs responsibilities under this coopera-
RIGHTS IN DATA tive agreement and which Data would em-
body trade secrets or would comprise com-
July 2002 mercial or financial information that is priv-
ileged or confidential if it had been obtained
(a) Definitions. from the Recipient, will be marked with an
Data, means recorded information, re- appropriate legend and maintained in con-
gardless of form, the media on which it may fidence for an agreed to period of up to ( )
be recorded, or the method of recording. The years [INSERT A PERIOD UP TO 5 YEARS]
term includes, but is not limited to, data of after development of the information, with
a scientific or technical nature, computer the express understanding that during the
software and documentation thereof, and aforesaid period such Data may be disclosed
data comprising commercial and financial and used (under suitable protective condi-
information. tions) by or on behalf of the Government for
(b) Data categories. Government purposes only, and thereafter
(1) General. Data exchanged between NASA for any purpose whatsoever without restric-
and Recipient under this cooperative agree- tion on disclosure and use. Recipient agrees
ment will be exchanged without restriction not to disclose such Data to any third party
as to its disclosure, use or duplication except without NASAs written approval until the
as otherwise provided below in this provi- aforementioned restricted period expires.
sion. Use of this data under a separate cooperative
(2) Background Data. In the event it is nec- agreement or contract issued to a party
essary for Recipient to furnish NASA with other than the Recipient for the purpose of
Data which existed prior to, or produced out- continuing the project in the event this co-
side of, this cooperative agreement, and such operative agreement is terminated by either
Data embodies trade secrets or comprises party shall constitute a government purpose.
commercial or financial information which (5) Copyright. (i) In the event Data is ex-
is privileged or confidential, and such Data changed with a notice indicating the Data is
is so identified with a suitable notice or leg- protected under copyright as a published
end, the Data will be maintained in con- copyrighted work, or are deposited for reg-
fidence and disclosed and used by NASA and istration as a published work in the U.S.
its contractors (under suitable protective Copyright Office, the following paid-up li-
conditions) only for the purpose of carrying censes shall apply:
out NASAs responsibilities under this coop- (A) If it is indicated on the Data that the
erative agreement. Upon completion of ac- Data existed prior to, or was produced out-
tivities under this agreement, such Data will side of, this agreement, the receiving party
be disposed of as requested by Recipient. and others acting on its behalf, may repro-
(3) Data first produced by Recipient. In the duce, distribute, and prepare derivative
event Data first produced by Recipient in works for the purpose of carrying out the re-
carrying out Recipients responsibilities ceiving partys responsibilities under this co-
under this cooperative agreement is fur- operative agreement; and
nished to NASA, and Recipient considers (B) If the furnished Data does not contain
such Data to embody trade secrets or to the indication of paragraph (b)(5)(i)(A) of
comprise commercial or financial informa- this section, it will be assumed that the Data
tion which is privileged or confidential, and was first produced under this agreement, and
such Data is so identified with a suitable no- the receiving party and others acting on its
336
behalf, shall be granted a paid up, nonexclu- [End of provision]
sive, irrevocable, world-wide license for all
such Data to reproduce, distribute copies to 1274.906 Designation of New Tech-
the public, prepare derivative works, dis- nology Representative and Patent
tribute copies to the public, and perform Representative.
publicly and display publicly, by or on behalf
DESIGNATION OF NEW TECHNOLOGY REP-
of the receiving party. For Data that is com-
RESENTATIVE AND PATENT REPRESENTA-
puter software, the right to distribute shall TIVE
be limited to potential users in the United
States. July 2002
(ii) When claim is made to copyright, the (a) For purposes of administration of the
Recipient shall affix the applicable copyright clause of this cooperative agreement entitled
notice of 17 U.S.C. 401 or 402 and acknowledg- PATENT RIGHTSRETENTION BY THE
ment of Government sponsorship to the data CONTRACTOR (LARGE BUSINESS) or
when and if the data are delivered to the PATENT RIGHTSRETENTION BY THE
Government. CONTRACTOR (SMALL BUSINESS) the
(6) Oral and visual information. If informa- following named representatives are hereby
tion which the Recipient considers to em- designated by the Agreement Officer to ad-
body trade secrets or to comprise commer- minister such clause:
cial or financial information which is privi-
Office
leged or confidential is disclosed orally or Title Address
code
visually to NASA, such information must be
reduced to tangible, recorded form (i.e., con- New Technology
verted into Data as defined herein), identi- Representative
Patent
fied and marked with a suitable notice or Representative
legend, and furnished to NASA within 10
days after such oral or visual disclosure, or (b) Reports of reportable items, and disclo-
NASA shall have no duty to limit or restrict, sure of subject inventions, interim reports,
and shall not incur any liability for, any dis- final reports, utilization reports, and other
closure and use of such information. reports required by the clause, as well as any
(7) Disclaimer of liability. Notwithstanding correspondence with respect to such matters,
the above, NASA shall not be restricted in, should be directed to the New Technology
nor incur any liability for, the disclosure and Representative unless transmitted in re-
use of: sponse to correspondence or request from the
(i) Data not identified with a suitable no- Patent Representative. Inquiries or requests
tice or legend as set in paragraph (b)(2) of regarding disposition of rights, election of
rights, or related matters should be directed
this section; nor
to the Patent Representative. This clause
(ii) Information contained in any Data for shall be included in any subcontract here-
which disclosure and use is restricted under under requiring PATENT RIGHTSRE-
paragraphs (b)(2) or (3) of this section, if such TENTION BY THE CONTRACTOR (LARGE
information is or becomes generally known BUSINESS) clause or PATENT RIGHTS
without breach of the above, is known to or RETENTION BY THE CONTRACTOR
is generated by NASA independently of car- (SMALL BUSINESS) clause, unless other-
rying out responsibilities under this agree- wise authorized or directed by the Agree-
ment, is rightfully received from a third ment Officer. The respective responsibilities
party without restriction, or is included in and authorities of the above-named rep-
data which Participant has, or is required to resentatives are set forth in NFS 1827.305370.
furnish to the U.S. Government without re-
striction on disclosure and use. [End of provision]
(c) Marking of data. Any Data delivered
under this cooperative agreement, by NASA 1274.907 Disputes.
or the Recipient, shall be marked with a DISPUTES
suitable notice or legend indicating the data
was generated under this cooperative agree- July 2002
ment. (a) In the event that a disagreement arises,
(d) Lower tier agreements. The Recipient representatives of the parties shall enter
shall include this provision, suitably modi- into discussions in good faith and in a timely
fied to identify the parties, in all sub- and cooperative manner to seek resolution.
contracts or lower tier agreements, regard- If these discussions do not result in a satis-
less of tier, for experimental, developmental, factory solution, the aggrieved party may
or research work. seek a decision from the Dispute Resolution

Official under paragraph (b) of this provi-
sion. This request must be presented no more
337
1274.908 14 CFR Ch. V (1116 Edition)
than (3) three months after the events giving same as that in the cooperative agreement
rise to the disagreement have occurred. or in a proper notice of assignment).
(b) The aggrieved party may submit a writ- (vii) Name (where practicable), title, phone
ten request for a decision to the Center Om- number, and mailing address of the person to
budsman, who is designated as the Dispute be notified in the event of a defective in-
Resolution Official. The written request voice.
shall include a statement of the relevant (viii) Any other information or documenta-
facts, a discussion of the unresolved issues, tion required by the cooperative agreement.
and a specification of the clarification, re- (ix) Taxpayer identification number (TIN).
lief, or remedy sought. A copy of this written (x) While not required, the recipient is
request and all accompanying materials strongly encouraged to assign an identifica-
must be provided to the other party at the tion number to each invoice.
same time. The other party shall submit a (d) A payment milestone may be success-
written position on the matters in dispute fully completed in advance of the date ap-
within thirty (30) calendar days after receiv- pearing in paragraph (b) of this section. How-
ing this notification that a decision has been ever, payment shall not be made prior to
requested. The Dispute Resolution Official that date without the written consent of the
shall conduct a review of the matters in dis- Agreement Officer.
pute and render a decision in writing within (e) The recipient is not entitled to partial
thirty (30) calendar days of receipt of such payment for partial completion of a payment
written position. milestone.
(f) Unless approved by the Agreement Offi-
[End of provision] cer, all preceding payment milestones must
be completed before payment can be made
1274.908 Milestone payments. for the next payment milestone.
MILESTONE PAYMENTS (g) (i) If the Recipient is authorized to sub-
mit invoices directly to the NASA paying of-
July 2002 fice, the original invoice should be submitted
(a) By submission of the first invoice, the to:
Recipient is certifying that it has an estab- [Insert the mailing address for submission
lished accounting system which complies of cost vouchers]
with generally accepted accounting prin- (ii) If the Recipient is not authorized to
ciples, with the requirements of this agree- submit invoices directly to the NASA paying
ment, and that appropriate arrangements office, the original invoice should be sub-
have been made for receiving, distributing, mitted to the Agreement Officer for certifi-
and accounting for Federal funds received cation.
under this agreement. (iii) Copies of the recipients invoice should
(b) Payments will be made upon the fol- be submitted to the following offices:
lowing milestones: [The schedule for pay- (A) Copy 1NASA Agreement Officer.
ments may be based upon the Recipients (B) Copy 2Auditor.
completion of specific tasks, submission of (C) Copy 3Contract administration office.
specified reports, or whatever is appro- (D) Copy 4Project management office.
priate.] (E) Copy 5Other recipients as designated
by the Agreement Officer.
Date Payment Amount
Milestone [End of provision]
(c) Upon submission by the recipient of in-
voices in accordance with the provisions of 1274.909 Term of agreement.
the agreement and upon certification by
NASA of completion of the payable mile- TERM OF AGREEMENT
stone, the Agreement Officer shall authorize July 2002
payment. Payment shall be made within 30
calendar days after receipt of proper invoice. (a) The agreement commences on the effec-
Payment shall be considered as being made tive date indicated on the attached cover
on the date of electronic funds transfer. A sheet and continues until the expiration date
proper invoice must include the following: indicated on the attached cover sheet unless
(i) Name and address of the recipient. terminated by either party. If all resources
(ii) Invoice date (The Recipient is encour- are expended prior to the expiration date of
aged to date invoices as close as possible to the agreement, the parties have no obliga-
the date of the mailing or transmission). tion to continue performance and may elect
(iii) Cooperative agreement number. to cease at that point. The parties may ex-
(iv) Description, milestone, and extended tend the expiration date if additional time is
price of efforts/tasks performed. required to complete the milestones at no in-
(v) Payment terms. crease in Government resources. Requests

(vi) Name and address of Recipient official for approval for no-cost extensions must be
to whom payment is to be sent. (Must be the forwarded to the NASA Agreement Officer no
338
later than ten days prior to the expiration of the Administrator of the Small Business Ad-
the award to be considered. ministration. (For the purpose of this defini-
(b) Provisions of this Agreement, which, by tion, the size standard contained in 13 CFR
their express terms or by necessary implica- 121.901 through 121.911 will be used.)
tion, apply for periods of time other than (8) Subject Invention means any invention
that specified as the agreement term, shall of a Recipient and/or Government employee
be given effect, notwithstanding expiration conceived or first actually reduced to prac-
of the term of the agreement. tice in the performance of work under this
Agreement.
[End of provision]
(9) Manufactured substantially in the United
States means the product must have over 50
1274.910 Authority.
percent of its components manufactured in
AUTHORITY the United States. This requirement is met if
the cost to the Recipient of the components
July 2002 mined, produced, or manufactured in the
This is a cooperative agreement as defined United States exceeds 50 percent of the cost
in 31 U.S.C. 6305 (the Chiles Act) and is en- of all components required to make the prod-
tered into pursuant to the authority of 42 uct. (In making this determination only the
U.S.C. 2451, et seq. (the Space Act). product and its components shall be consid-
ered.) The cost of each component includes
[End of provision] transportation costs to the place of incorpo-
ration into the product and any applicable
1274.911 Patent rights. duty (whether or not a duty-free entry cer-
tificate is issued). Components of foreign ori-
PATENT RIGHTS gin of the same class or kind for which deter-
July 2002 minations have been made in accordance
with FAR 25.102(a)(3) and (4) are treated as
(a) Definitions. (1) Administrator means the domestic. Scrap generated, collected, and
Administrator or Deputy Administrator of prepared for processing in the United States
NASA. is considered domestic.
(2) Invention means any invention or dis- (b) Allocation of principal rights(1) Recipi-
covery which is or may be patentable or oth- ent Inventions. For other than Small Busi-
erwise protectable under Title 35 of the ness Firm or Nonprofit organization Recipi-
United States Code. ents, the PATENT RIGHTSRETENTION
(3) Made when used in relation to any in- BY RECIPIENT (LARGE BUSINESS) provi-
vention means the conception or first actual sion applies. For Small Business Firm and
reduction to practice such invention. Nonprofit organization Recipients, the
(4) Nonprofit organization means a domestic
PATENT RIGHTSRETENTION BY RE-
university or other institution of higher edu-
CIPIENT (SMALL BUSINESS) provision
cation or an organization of the type de-
applies.
scribed in Section 501(c)(3) of the Internal
Revenue Code of 1954 (26 U.S.C. 501(c)) and (2) NASA Inventions. NASA will use reason-
exempt from taxation under Section 501(a) of able efforts to report inventions made by
the Internal Revenue Code (26 U.S.C. 501(a)), NASA employees as a consequence of, or
or any domestic nonprofit scientific or edu- which bear a direct relation to, the perform-
cational organization qualified under a State ance of specified NASA activities under this
nonprofit organization statute. cooperative agreement and, upon timely re-
(5) Practical application means to manufac- quest, NASA will use its best efforts to grant
ture, in the case of a composition or product; the Recipient or designated Consortium
to practice, in the case of a process or meth- Member (if applicable) the first option to ac-
od; or to operate, in the case of a machine or quire either an exclusive or partially exclu-
system; and, in each case, under such condi- sive, revocable, royalty-bearing license, on
tions as to establish that the invention is terms to be subsequently negotiated, for any
being utilized and that its benefits are, to patent applications and patents covering
the extent permitted by law or Government such inventions, and subject to the license
regulations, available to the public on rea- reserved in paragraph (b)(5)(i) of this section.
sonable terms. Upon application in compliance with 37 CFR
(6) Recipient means: Part 404Licensing of Government Owned
(i) The signatory Recipient party or par- Inventions, the Recipient or each Consor-
ties or; tium Member (if applicable), shall be granted
(ii) The Consortium, where a Consortium a revocable, nonexclusive, royalty-free li-
has been formed for carrying out Recipient cense in each patent application filed in any
responsibilities under this agreement. country on a subject invention and any re-
(7) Small Business Firm means a domestic sulting patent in which the Government ac-
small business concern as defined at 15 quires title. Each nonexclusive license may
U.S.C. 632 and implementing regulations of extend to subsidiaries and affiliates, if any,
339
1274.911 14 CFR Ch. V (1116 Edition)
within the corporate structure of the li- void NASAs agreement to refrain from exer-
censee and includes the right to grant sub- cising its undivided interest and grant li-
licenses of the same scope to the extent the censes for this reason, notice shall be given
licensee was legally obligated to do so at the to the Inventions and Contributions Board as
time the cooperative agreement was signed. to why such action should not be taken. Ei-
(3) NASA Contractor Inventions. In the event ther alternative will be subject to the appli-
NASA contractors are tasked to perform cable license or licenses reserved in para-
work in support of specified NASA activities
graph (b)(5) of this section.
under this cooperative agreement and inven-
tions are made by contractor employees, the (ii) For small business firms and nonprofit
recipient will normally retain title to its organization, NASA may assign or transfer
employee inventions in accordance with 35 whatever rights it may acquire in a subject
U.S.C. 202, 14 CFR Part 1245, and E.O. 12591. invention from its employee to the Recipient
In the event the recipient decides not to pur- as authorized by 35 U.S.C. 202(e).
sue right to title in any such invention and (5) Minimum rights reserved by the Govern-
NASA obtains title to such inventions, ment. Any license or assignment granted Re-
NASA will use reasonable efforts to report cipient pursuant to paragraphs (b)(2), (b)(3),
such inventions and, upon timely request, or (b)(4) of this section will be subject to the
NASA will use its best efforts to grant the reservation of the following licenses:
Recipient or designated Consortium Member (i) As to inventions made solely or jointly
(if applicable) the first option to acquire ei- by NASA employees, the irrevocable, roy-
ther an exclusive or partially exclusive, rev- alty-free right of the Government of the
ocable, royalty-bearing license, upon terms
United States to practice and have practiced
to be subsequently negotiated, for any pat-
ent applications and patents covering such the invention by or on behalf of the United
inventions, and subject to the license re- States; and
served in paragraph (b)(5)(ii) of this section. (ii) As to inventions made solely by, or
Upon application in compliance with 37 CFR jointly with, employees of NASA contrac-
Part 404Licensing of Government Owned tors, the rights in the Government of the
Inventions, the Recipient or each Consor- United States as set forth in paragraph
tium Member (if applicable), shall be granted (b)(5)(i) of this section, as well as the rev-
a revocable, nonexclusive, royalty-free li- ocable, nonexclusive, royalty-free license in
cense in each patent application filed in any the contractor as set forth in 14 CFR 1245.108.
country on a subject invention and any re- (6) Preference for United States manufacture.
sulting patent in which the Government ac- The Recipient agrees that any products em-
quires title. Each nonexclusive license may bodying subject inventions or produced
extend to subsidiaries and affiliates, if any, through the use of subject inventions shall
within the corporate structure of the li-
be manufactured substantially in the United
censee and includes the right to grant sub-
States. However, in individual cases, the re-
licenses of the same scope to the extent the
licensee was legally obligated to do so at the quirement to manufacture substantially in
time the cooperative agreement was signed. the United States may be waived by the As-
(4) Joint NASA and Recipient Inventions. sistant Administrator for Procurement (Code
NASA and Recipient agree to use reasonable HS) with the concurrence of the Associate
efforts to identify and report to each other General Counsel for Intellectual Property
any inventions made jointly between NASA upon a showing by the Recipient that under
employees (or employees of NASA contrac- the circumstances domestic manufacture is
tors) and employees of Recipient. not commercially feasible.
(i) For other than small business firms and (7) Work performed by the Recipient under
nonprofit organizations the Administrator this cooperative agreement is considered un-
may agree that the United States will re- dertaken to carry out a public purpose of
frain from exercising its undivided interest support and/or stimulation rather than for
in a manner inconsistent with Recipients acquiring property or services for the direct
commercial interest and to cooperate with benefit or use of the Government. Accord-
Recipient in obtaining patent protection on
ingly, such work by the Recipient is not con-
its undivided interest on any waived inven-
sidered by or for the United States and the
tions subject, however, to the condition that
Recipient makes its best efforts to bring the Government assumes no liability for in-
invention to the point of practical applica- fringement by the Recipient under 28 U.S.C.
tion at the earliest practicable time. In the 1498.
event that the Administrator determines
that such efforts are not undertaken, the Ad-
ministrator may void NASAs agreement to
refrain from exercising its undivided interest
and grant licenses for the practice of the in-

vention so as to further its development. In
the event that the Administrator decides to
340
[End of provision] protectable under the Plant Variety Protec-

tion Act (7 U.S.C. 2321, et seq).
1274.912 Patent rightsretention by (9) Manufactured substantially in the United
the recipient (large business). States means the product must have over 50
percent of its components manufactured in
PATENT RIGHTSRETENTION BY THE the United States. This requirement is met if
RECIPIENT (LARGE BUSINESS) the cost to the Recipient of the components
mined, produced, or manufactured in the
July 2002 United States exceeds 50 percent of the cost
(a) Definitions. (1) Administrator, as used in of all components required to make the prod-
this clause, means the Administrator of the uct. (In making this determination only the
National Aeronautics and Space Administra- product and its components shall be consid-
tion (NASA) or duly authorized representa- ered.) The cost of each component includes
tive. transportation costs to the place of incorpo-
(2) Invention, as used in this clause, means ration into the product and any applicable
any invention or discovery which is or may duty (whether or not a duty-free entry cer-
be patentable or otherwise protectable under tificate is issued). Components of foreign ori-
title 35 of the U.S.C. gin of the same class or kind for which deter-
(3) Made, as used in relation to any inven- minations have been made in accordance
tion, means the conception or first actual re- with Federal Acquisition Regulation
duction to practice such invention. 25.102(a)(3) and (4) are treated as domestic.
(4) Nonprofit organization, as used in this Scrap generated, collected, and prepared for
clause, means a domestic university or other processing in the United States is considered
institution of higher education or an organi- domestic.
zation of the type described in section (b) Allocation of principal rights(1) Pre-
501(c)(3) of the Internal Revenue Code of 1954 sumption of title. (i) Any reportable item that
(26 U.S.C. 501(c)) and exempt from taxation the Administrator considers to be a subject
under section 501(a) of the Internal Revenue invention shall be presumed to have been
Code (26 U.S.C. 501(a)), or any domestic non- made in the manner specified in paragraph
profit scientific or educational organization (1) or (2) of section 305(a) of the National
qualified under a State nonprofit organiza- Aeronautics and Space Act of 1958 (42 U.S.C.
tion statute. 2457(a)) (hereinafter called the Act), and
(5) Practical application, as used in this the above presumption shall be conclusive
clause, means to manufacture, in the case of unless at the time of reporting the report-
a composition or product; to practice, in the able item the Recipient submits to the
case of a process or method; or to operate, in Agreement Officer a written statement, con-
case of a machine or system; and, in each, taining supporting details, demonstrating
case, under such conditions as to establish that the reportable item was not made in the
that the invention is being utilized and that manner specified in paragraph (1) or (2) of
its benefits are, to the extent permitted by section 305(a) of the Act.
law or Government regulations, available to (ii) Regardless of whether title to a given
the public on reasonable terms. subject invention would otherwise be subject
(6) Reportable item, as used in this clause, to an advance waiver or is the subject of a
means any invention, discovery, improve- petition for waiver, the Recipient may never-
ment, or innovation of the Recipient, wheth- theless file the statement described in para-
er or not the same is or may be patentable or graph (b)(1)(i) of this section. The Adminis-
otherwise protectable under Title 35 of the trator will review the information furnished
United States Code, conceived or first actu- by the Recipient in any such statement and
ally reduced to practice in the performance any other available information relating to
of any work under this contract or in the the circumstances surrounding the making
performance of any work that is reimburs- of the subject invention and will notify the
able under any clause in this contract pro- Recipient whether the Administrator has de-
viding for reimbursement of costs incurred termined that the subject invention was
prior to the effective date of this contract. made in the manner specified in paragraph
(7) Small business firm, as used in this (1) or (2) of section 305(a) of the Act.
clause, means a domestic small business con- (2) Property rights in subject inventions. Each
cern as defined at 15 U.S.C. 632 and imple- subject invention for which the presumption
menting regulations of the Administrator of of paragraph (b)(1)(i) of this section is con-
the Small Business Administration. (For the clusive or for which there has been a deter-
purpose of this definition, the size standard mination that it was made in the manner
contained in 13 CFR 121.901 through 121.911 specified in paragraph (1) or (2) of section
will be used.) 305(a) of the Act shall be the exclusive prop-
(8) Subject invention, as used in this clause, erty of the United States as represented by
means any reportable item which is or may NASA unless the Administrator waives all or
be patentable or otherwise protectable under any part of the rights of the United States,
Title 35 of the United States Code, or any as provided in paragraph (b)(3) of this sec-
novel variety of plant that is or may be tion.
341
1274.912 14 CFR Ch. V (1116 Edition)
(3) Waiver of rights. (i) Section 305(f) of the cipients business to which the invention
Act provides for the promulgation of regula- pertains.
tions by which the Administrator may waive (2) The Recipients domestic license may
the rights of the United States with respect be revoked or modified by the Administrator
to any invention or class of inventions made to the extent necessary to achieve expedi-
or that may be made under conditions speci- tious practical application of the subject in-
fied in paragraph (1) or (2) of section 305(a) of vention pursuant to an application for an ex-
the Act. The promulgated NASA Patent clusive license submitted in accordance with
Waiver Regulations, 14 CFR part 1245, sub- 14 CFR part 1245, subpart 3, Licensing of
part 1, have adopted the Presidential memo- NASA Inventions. This license will not be re-
randum on Government Patent Policy of voked in that field of use or the geographical
February 18, 1983, as a guide in acting on pe- areas in which the Recipient has achieved
titions (requests) for such waiver of rights. practical application and continues to make
(ii) As provided in 14 CFR part 1245, sub- the benefits of the invention reasonably ac-
part 1, Recipients may petition, either prior cessible to the public. The license in any for-
to execution of the Agreement or within 30 eign country may be revoked or modified at
days after execution of the Agreement, for the discretion of the Administrator to the
advance waiver of rights to any or all of the extent the Recipient, its licensees, or its do-
inventions that may be made under an mestic subsidiaries or affiliates have failed
Agreement. If such a petition is not sub- to achieve practical application in that for-
mitted, or if after submission it is denied, eign country.
the Recipient (or an employee inventor of (3) Before revocation or modification of the
the Recipient may petition for waiver of license, the Recipient will be provided a
rights to an identified subject invention written notice of the Administrators inten-
within eight months of first disclosure of in- tion to revoke or modify the license, and the
vention in accordance with paragraph (e)(2) Recipient will be allowed 30 days (or such
of this section or within such longer period other time as may be authorized by the Ad-
as may be authorized in accordance with 14 ministrator for good cause shown by the Re-
CFR 1245.105. Further procedures are pro- cipient) after the notice to show cause why
vided in the REQUESTS FOR WAIVER OF the license should not be revoked or modi-
RIGHTSLARGE BUSINESS provision. fied. The Recipient has the right to appeal,
(c) Minimum rights reserved by the Govern- in accordance with 14 CFR 1245.112, any deci-
ment. (1) With respect to each Recipient sub- sion concerning the revocation or modifica-
ject invention for which a waiver of rights is tion of its license.
applicable in accordance with 14 CFR part (e) Invention identification, disclosures, and
1245, subpart 1, the Government reserves reports. (1) The Recipient shall establish and
(i) An irrevocable, royalty-free license for maintain active and effective procedures to
the practice of such invention throughout assure that reportable items are promptly
the world by or on behalf of the United identified and disclosed to Recipient per-
States or any foreign government in accord- sonnel responsible for the administration of
ance with any treaty or agreement with the this clause within six months of conception
United States; and and/or first actual reduction to practice,
(ii) Such other rights as stated in 14 CFR whichever occurs first in the performance of
1245.107. work under this contract. These procedures
(2) Nothing contained in this paragraph shall include the maintenance of laboratory
shall be considered to grant to the Govern- notebooks or equivalent records and other
ment any rights with respect to any inven- records as are reasonably necessary to docu-
tion other than a subject invention. ment the conception and/or the first actual
(d) Minimum rights to the Recipient. (1) The reduction to practice of the reportable
Recipient is hereby granted a revocable, non- items, and records that show that the proce-
exclusive, royalty-free license in each patent dures for identifying and disclosing report-
application filed in any country on a Recipi- able items are followed. Upon request, the
ent subject invention and any resulting pat- Recipient shall furnish the Agreement Offi-
ent in which the Government acquires title, cer a description of such procedures for eval-
unless the Recipient fails to disclose the sub- uation and for determination as to their ef-
ject invention within the times specified in fectiveness.
paragraph (e)(2) of this section. The Recipi- (2) The Recipient will disclose each report-
ents license extends to its domestic subsidi- able item to the Agreement Officer within
aries and affiliates, if any, within the cor- two months after the inventor discloses it in
porate structure of which the Recipient is a writing to Recipient personnel responsible
party and includes the right to grant sub- for the administration of this clause or, if
licenses of the same scope to the extent the earlier, within six months after the Recipi-
Recipient was legally obligated to do so at ent becomes aware that a reportable item
the time the contract was awarded. The li- has been made, but in any event for subject
cense is transferable only with the approval inventions before any on sale, public use, or
of the Administrator except when trans- publication of such invention known to the
ferred to the successor of that part of the Re- Recipient. The disclosure to the agency shall
342
be in the form of a written report and shall as the work under this contract to determine
identify the Agreement under which the re- whether
portable item was made and the inventor(s) (i) Any such inventions are subject inven-
or innovator(s). It shall be sufficiently com- tions;
plete in technical detail to convey a clear (ii) The Recipient has established and
understanding, to the extent known at the maintained the procedures required by para-
time of the disclosure, of the nature, pur- graph (e)(1) of this section; and
pose, operation, and physical, chemical, bio- (iii) The Recipient and its inventors have
logical, or electrical characteristics of the complied with the procedures.
reportable item. The disclosure shall also (2) If the Agreement Officer learns of an
identify any publication, on sale, or public unreported Recipient invention that the
use of any subject invention and whether a Agreement Officer believes may be a subject
manuscript describing such invention has inventions, the Recipient may be required to
been submitted for publication and, if so, disclose the invention to the agency for a de-
whether it has been accepted for publication termination of ownership rights.
at the time of disclosure. In addition, after (3) Any examination of records under this
disclosure to the agency, the Recipient will paragraph will be subject to appropriate con-
promptly notify the agency of the accept- ditions to protect the confidentiality of the
ance of any manuscript describing a subject information involved.
invention for publication or of any on sale or (g) Subcontracts. (1) Unless otherwise au-
public use planned by the Recipient for such thorized or directed by the Agreement Offi-
invention. cer, the Recipient shall
(3) The Recipient shall furnish the Agree- (i) Include this Clause Patent RightsRe-
ment Officer the following: tention by the Recipient(Large Business)
(i) Interim reports every 12 months (or (suitably modified to identify the parties) in
such longer period as may be specified by the any subcontract hereunder (regardless of
Agreement Officer) from the date of the tier) with other than a small business firm
Agreement, listing reportable items during or nonprofit organization for the perform-
that period, and certifying that all report- ance of experimental, developmental, or re-
able items have been disclosed (or that there search work; and
are no such inventions) and that the proce- (ii) Include the clause Patent RightRe-
dures required by paragraph (e)(1) of this sec- tention by the Recipient(Small Business)
tion have been followed. (suitably modified to identify the parties) in
(ii) A final report, within three months any subcontract hereunder (regardless of
after completion of the work, listing all re- tier) with a small business firm or nonprofit
portable items or certifying that there were organization for the performance of experi-
no such reportable items, and listing all sub- mental, developmental, or research work.
contracts at any tier containing a patent (2) In the event of a refusal by a prospec-
rights clause or certifying that there were no tive subcontractor to accept such a clause
such subcontracts. the Recipient
(4) The Recipient agrees, upon written re- (i) Shall promptly submit a written notice
quest of the Agreement Officer, to furnish to the Agreement Officer setting forth the
additional technical and other information subcontractors reasons for such refusal and
available to the Recipient as is necessary for other pertinent information that may expe-
the preparation of a patent application on a dite disposition of the matter; and
subject invention and for the prosecution of (ii) Shall not proceed with such sub-
the patent application, and to execute all pa- contract without the written authorization
pers necessary to file patent applications on of the Agreement Officer.
subject inventions and to establish the Gov- (3) The Recipient shall promptly notify the
ernments rights in the subject inventions. Agreement Officer in writing upon the award
(5) The Recipient agrees, subject to 48 CFR of any subcontract at any tier containing a
(FAR) 27.302(j), that the Government may patent rights clause by identifying the sub-
duplicate and disclose subject invention dis- contractor, the applicable patent rights
closures and all other reports and papers fur- clause, the work to be performed under the
nished or required to be furnished pursuant subcontract, and the dates of award and esti-
to this clause. mated completion. Upon request of the
(f) Examination of records relating to inven- Agreement Officer, the Recipient shall fur-
tions. (1) The Agreement Officer or any au- nish a copy of such subcontract, and, no
thorized representative shall, pursuant to more frequently than annually, a listing of
the Retention and Examination of Records the subcontracts that have been awarded.
provision of this cooperative agreement, (4) The subcontractor will retain all rights
have the right to examine any books (includ- provided for the Recipient in the clause of
ing laboratory notebooks), records, and doc- paragraph (g)(1)(i) or (1)(ii) of this section,
uments of the Recipient relating to the con- whichever is included in the subcontract,
ception or first actual reduction to practice and the Recipient will not, as part of the
of inventions in the same field of technology consideration for awarding the subcontract,
343
1274.913 14 CFR Ch. V (1116 Edition)
obtain rights in the subcontractors subject (i) March-in rights. The Recipient agrees
inventions. that, with respect to any subject invention
(5) Notwithstanding paragraph (g)(4) of this in which it has acquired title, NASA has the
section, and in recognition of the contrac- right in accordance with the procedures in 37
tors substantial contribution of funds, fa- CFR 401.6 and any supplemental regulations
cilities and/or equipment to the work per- of the agency to require the Recipient, an as-
formed under this cooperative agreement, signee or exclusive licensee of a subject in-
the Recipient is authorized, subject to the vention to grant a nonexclusive, partially
rights of NASA set forth elsewhere in this exclusive, or exclusive license in any field of
clause, to: use to a responsible applicant or applicants,
(i) Acquire by negotiation and mutual upon terms that are reasonable under the
agreement rights to a subcontractors sub- circumstances, and if the Subcontractor, as-
ject inventions as the Recipient may deem signee, or exclusive licensee refuses such a
necessary to obtaining and maintaining of request NASA has the right to grant such a
such private support; and license itself if the Federal agency deter-
(ii) Request, in the event of inability to mines that
reach agreement pursuant to paragraph (1) Such action is necessary because the
(g)(5)(i) of this section, that NASA invoke Recipient or assignee has not taken, or is
exceptional circumstances as necessary pur- not expected to take within a reasonable
suant to 37 CFR 401.3(a)(2) if the prospective time, effective steps to achieve practical ap-
plication of the subject invention in such
subcontractor is a small business firm or or-
field of use;
ganization, or for all other organizations, re-
(2) Such action is necessary to alleviate
quest that such rights for the Recipient be
health or safety needs which are not reason-
included as an additional reservation in a
ably satisfied by the Recipient, assignee, or
waiver granted pursuant to 14 CFR part 1245,
their licensees;
subpart 1. Any such requests to NASA should
(3) Such action is necessary to meet re-
be prepared in consideration of the following
quirements for public use specified by Fed-
guidance and submitted to the contract offi- eral regulations and such requirements are
cer. not reasonably satisfied by the Recipient, as-
(A) Exceptional circumstances. A request signee, or licensees; or
that NASA make an exceptional cir- (4) Such action is necessary because the
cumstances determination pursuant to 37 agreement required by paragraph (i) of this
CFR 401.3(a)(2) must state the scope of rights clause has not been obtained or waived or be-
sought by the Recipient pursuant to such de- cause a licensee of the exclusive right to use
termination; identify the proposed subcon- or sell any subject invention in the United
tractor and the work to be performed under States is in breach of such agreement.
the subcontract; and state the need for the
determination. [End of provision]
(B) Waiver petition. The subcontractor
should be advised that unless it requests a 1274.913 Patent rightsretention by
waiver of title pursuant to the NASA Patent the recipient (small business).
Waiver Regulations (14 CFR part 1245, sub-
part 1), NASA will acquire title to the sub- PATENT RIGHTSRETENTION BY THE
ject invention (42 U.S.C. 2457, as amended, RECIPIENT (SMALL BUSINESS)
sec. 305). If a waiver is not requested or
granted, the Recipient may request a license July 2002
from NASA (see licensing of NASA inven- (a) Definitions. (1) Invention, as used in this
tions, 14 CFR part 1245, subpart 3). A subcon- clause, means any invention or discovery
tractor requesting a waiver must follow the which is or may be patentable or otherwise
procedures set forth in the attached clause protectable under title 35 of the U.S.C.
REQUESTS FOR WAIVER OF RIGHTS (2) Made, as used in this clause, when used
LARGE BUSINESS. in relation to any invention means the con-
(h) Preference for United States manufacture. ception or first actual reduction to practice
The Recipient agrees that any products em- such invention.
bodying subject inventions or produced (3) Nonprofit organization, as used in this
through the use of subject inventions shall clause, means a university or other institu-
be manufactured substantially in the United tion of higher education or an organization
States. However, in individual cases, the re- of the type described in section 501(c)(3) of
quirement to manufacture substantially in the Internal Revenue Code of 1954 (26 U.S.C.
the United States may be waived by the As- 501(c)) and exempt from taxation under sec-
sistant Administrator for Procurement (Code tion 501(a) of the Internal Revenue Code (26
HS) with the concurrence of the Associate U.S.C. 501(a)) or any nonprofit scientific or
General Counsel for Intellectual Property educational organization qualified under a
upon a showing by the Recipient that under state nonprofit organization statute.
the circumstances domestic manufacture is (4) Practical application, as used in this
not commercially feasible. clause, means to manufacture, in the case of
344
a composition of product; to practice, in the vey a clear understanding to the extent
case of a process or method, or to operate, in known at the time of the disclosure, of the
the case of a machine or system; and, in each nature, purpose, operation, and the physical,
case, under such conditions as to establish chemical, biological or electrical character-
that the invention is being utilized and that istics of the invention. The disclosure shall
its benefits are, to the extent permitted by also identify any publication, on sale or pub-
law or Government regulations, available to lic use of the invention and whether a manu-
the public on reasonable terms. script describing the invention has been sub-
(5) Small business firm, as used in this mitted for publication and, if so, whether it
clause, means a small business concern as has been accepted for publication at the time
defined at Section 2 of Pub. L. 85536 (15 of disclosure. In addition, after disclosure to
U.S.C. 632) and implementing regulations of the agency, the Recipient will promptly no-
the Administrator of the Small Business Ad- tify the agency of the acceptance of any
ministration. For the purpose of this clause, manuscript describing the invention for pub-
the size standards for small business con- lication or of any sale or public use planned
cerns involved in Government procurement
by the Recipient.
and subcontracting at 13 CFR 121.901 through
121.911 will be used. (2) The Recipient will elect in writing
(6) Subject invention, as used in this clause, whether or not to retain title to any such in-
means any invention of the Subcontractor vention by notifying NASA within two years
conceived or first actually reduced to prac- of disclosure to the Federal agency. How-
tice in the performance of work under this ever, in any case where publication, on sale
Agreement. or public use has initiated the one-year stat-
(7) Manufactured substantially in the United utory period wherein valid patent protection
States means the product must have over 50 can still be obtained in the United States,
percent of its components manufactured in the period for election of title may be short-
the United States. This requirement is met if ened by the agency to a date that is no more
the cost to the Recipient of the components than 60 days prior to the end of the statutory
mined, produced, or manufactured in the period.
United States exceeds 50 percent of the cost (3) The Recipient will file its initial patent
of all components required to make the prod- application on a subject invention to which
uct. (In making this determination only the it elects to retain title within one year after
product and its components shall be consid- election of title or, if earlier, prior to the end
ered.) The cost of each component includes of any statutory period wherein valid patent
transportation costs to the place of incorpo- protection can be obtained in the United
ration into the product and any applicable States after a publication, on sale, or public
duty (whether or not a duty-free entry cer- use. The Recipient will file patent applica-
tificate is issued). Components of foreign ori- tions in additional countries or international
gin of the same class or kind for which deter- patent offices within either 10 months of the
minations have been made in accordance corresponding initial patent application of
with FAR 25.102(a)(3) and (4) are treated as six months from the date permission is
domestic. Scrap generated, collected, and granted by the Commissioner of Patents and
prepared for processing in the United States Trademarks to file foreign patent applica-
is considered domestic. tions where such filing has been prohibited
(b) Allocation of principal rights. The Recipi- by a Secrecy Order.
ent may retain the entire right, title, and in-
(4) Requests for extension of the time for
terest throughout the world to each subject
disclosure election, and filing under para-
invention subject to the provisions of this
graphs (c)(1), (2), and (3) of this section may,
clause and 35 U.S.C. 203. With respect to any
at the discretion of the agency, be granted.
subject invention in which the Recipient re-
tains title, the Federal Government shall (d) Conditions when the Government may ob-
have a nonexclusive, nontransferable, irrev- tain title. The Recipient will convey to
ocable, paid-up license to practice or have NASA, upon written request, title to any
practiced for or on behalf of the United subject invention
States the subject invention throughout the (1) If the Recipient fails to disclose or elect
world. title to the subject invention within the
(c) Invention disclosure, election of title, and times specified in paragraph (c) of this sec-
filing of patent application by Recipient. (1) tion, or elects not to retain title; provided,
The Recipient will disclose each subject in- that the agency may only request title with-
vention to NASA within two months after in 60 days after learning of the failure of the
the inventor discloses it in writing to Recipi- Recipient to disclose or elect within the
ent personnel responsible for patent matters. specified times.
The disclosure to the agency shall be in the (2) In those countries in which the Recipi-
form of a written report and shall identify ent fails to file patent applications within
the contract under which the invention was the times specified in paragraph (c) of this
made and the inventor(s). It shall be suffi- section; provided, however, that if the Re-
ciently complete in technical detail to con- cipient has filed a patent application in a
345
1274.913 14 CFR Ch. V (1116 Edition)
country after the times specified in para- deliver to NASA all instruments necessary
graph (c) of this section, but prior to its re- to:
ceipt of the written request of the Federal (i) establish or confirm the rights the Gov-
agency, the Recipient shall continue to re- ernment has throughout the world in those
tain title in that country. subject inventions to which the Subcon-
(3) In any country in which the Recipient tractor elects to retain title, and,
decides not to continue the prosecution of (ii) convey title to the Federal agency
any application for, to pay the maintenance when requested under paragraph (d) of this
fees on, or defend in reexamination or oppo- section and to enable the Government to ob-
sition proceeding on, a patent on a subject tain patent protection throughout the world
invention. in that subject invention.
(e) Minimum rights to Recipient and protec- (2) The Recipient agrees to require, by
tion of the Recipient right to file. (1) The Re- written agreement, its employees, other
cipient will retain a nonexclusive, royalty- than clerical and nontechnical employees, to
free license throughout the world in each disclose promptly in writing to personnel
subject invention to which the Government identified as responsible for the administra-
obtains title, except if the Recipient fails to tion of patent matters and in a format sug-
disclose the invention within the times spec- gested by the Recipient each subject inven-
ified in paragraph (c) of this section. The Re- tion made under contract in order that the
cipients license extends to its domestic sub- Recipient can comply with the disclosure
sidiary and affiliates, if any, within the cor- provisions of paragraph (c) of this section,
porate structure of which the Recipient is a and to execute all papers necessary to file
party and includes the right to grant sub- patent applications on subject inventions
licenses of the same scope to the extent the and to establish the Governments rights in
Recipient was legally obligated to do so at the subject inventions. This disclosure for-
the time the agreement was awarded. The li- mat should require, as a minimum, the infor-
cense is transferable only with the approval mation required by paragraph (c)(1) of this
of NASA, except when transferred to the suc- section. The Recipient shall instruct such
cessor of that part of the Recipients busi- employees, through employee agreements or
ness to which the invention pertains. other suitable educational programs, on the
(2) The Contractors domestic license may importance of reporting inventions in suffi-
be revoked or modified by NASA to the ex- cient time to permit the filing of patent ap-
tent necessary to achieve expeditious prac- plications prior to U.S. or foreign statutory
tical application of subject invention pursu- bars.
ant to an application for an exclusive license (3) The Recipient will notify NASA of any
submitted in accordance with applicable pro- decisions not to continue the prosecution of
visions at 37 CFR Part 404 and agency licens- a patent application, pay maintenance fees,
ing regulations (if any). This license will not or defend in a reexamination or opposition
be revoked in that field of use or the geo- proceeding on a patent, in any country, not
graphical areas in which the Subcontractor less than 30 days before the expiration of the
has achieved practical application and con- response period required by the relevant pat-
tinues to make the benefits of the invention ent office.
reasonable accessible to the public. The li- (4) The Recipient agrees to include, within
cense in any foreign country may be revoked the specification of any United States patent
or modified at the discretion of NASA to the application and any patent issuing thereon
extent the Subcontractor, its licensees, or covering a subject invention the following
the domestic subsidiaries or affiliates have statement, This invention was made with
failed to achieve practical application in Government support under (identify the
that foreign country. agreement) awarded by NASA. The Govern-
(3) Before revocation or modification of the ment has certain rights in the invention.
license, NASA will furnish the Recipient a (5) The Recipient shall provide the Agree-
written notice of its intention to revoke or ment Officer the following:
modify the license, and the Recipient will be (i) A listing every 12 months (or such
allowed 30 days (or such other time as may longer period as the Agreement Officer may
be authorized by NASA for good cause shown specify) from the date of the Agreement, of
by the Recipient) after the notice to show all subject inventions required to be dis-
cause why the license should not be revoked closed during the period.
or modified. The Recipient has the right to (ii) A final report prior to closeout of the
appeal, in accordance with applicable regula- Agreement listing all subject inventions or
tions in 37 CFR Part 404 and 14 CFR Subpart certifying that there were none.
1245.1, concerning the licensing of Govern- (iii) Upon request, the filing date, serial
ment-owned inventions, any decision con- number, and title, a copy of the patent appli-
cerning the revocation or modification of the cation, and patent number and issue date for
license. any subject invention in any country in
(f) Recipient action to protect the Govern- which the Recipient has applied for patents.
ments interest. (1) The Recipient agrees to (iv) An irrevocable power to inspect and
execute or to have executed and promptly make copies of the patent application file,
346
by the Government, when a Federal Govern- ganization, or for all other organizations, re-
ment employee is a co-inventor. quest that such rights for the Recipient be
(g) Subcontracts. (1) Unless otherwise au- included as an additional reservation in a
thorized or directed by the Agreement Offi- waiver granted pursuant to 14 CFR part 1245,
cer, the Recipient shall subpart 1. Any such requests to NASA should
(i) Include this clause (Patent RightsRe- be prepared in consideration of the following
tention by the Recipient (Small Business)), guidance and submitted to the contract of-
suitably modified to identify the parties, in fice:
all subcontracts, regardless of tier, for exper- (A) Exceptional circumstances. A request
imental, developmental, or research work to that NASA make an exceptional cir-
be performed by a small business firm or do- cumstances determination pursuant to 37
mestic nonprofit organization; and CFR 401.3(a)(2) must state the scope of rights
(ii) Include in all other subcontracts, re- sought by the Recipient pursuant to such de-
gardless of tier, for experimental, develop- termination; identify the proposed subcon-
mental, or research work the patent rights tractor and the work to be performed under
clause (Patent RightsRetention by the Re- the subcontract; and state the need for the
cipient (Large Business). determination.
(2) In the event of a refusal by a prospec-
(B) Waiver petition. The subcontractor
tive subcontractor to accept such a clause
should be advised that unless it requests a
the Recipient
waiver of title pursuant to the NASA Patent
(i) Shall promptly submit a written notice
Waiver Regulations (14 CFR part 1245, sub-
to the Agreement Officer setting forth the
part 1), NASA will acquire title to the sub-
subcontractors reasons for such refusal and
ject invention (42 U.S.C. 2457, as amended,
other pertinent information that may expe-
dite disposition of the matter; and sec. 305). If a waiver is not requested or
(ii) Shall not proceed with such sub- granted, the Recipient may request a license
contract without the written authorization from NASA (see licensing of NASA inven-
of the Agreement Officer. tions, 14 CFR part 1245, subpart 3). A subcon-
(3) The Recipient shall promptly notify the tractor requesting a waiver must follow the
Agreement Officer in writing upon the award procedures set forth in the REQUESTS FOR
of any subcontract at any tier containing a WAIVER OF RIGHTSLARGE BUSINESS
patent rights clause by identifying the sub- provision.
contractor, the applicable patent rights (h) Reporting on utilization of subject inven-
clause, the work to be performed under the tions. The Recipient agrees to submit, on re-
subcontract, and the dates of award and esti- quest, periodic reports no more frequently
mated completion. Upon request of the than annually on the utilization of a subject
Agreement Officer, the Recipient shall fur- invention or on efforts at obtaining such uti-
nish a copy of such subcontract, and, no lization that are being made by the Recipi-
more frequently than annually, a listing of ent or its licensees or assignees. Such re-
the subcontracts that have been awarded. ports shall include information regarding the
(4) The subcontractor will retain all rights status of development, date of first commer-
provided for the Recipient in the clause cial sale or use, gross royalties received by
under paragraph (g)(1)(i) or (g)(1)(ii) of this the Recipient, and such other data and infor-
section, whichever is included in the sub- mation as the agency may reasonably speci-
contract, and the Recipient will not, as part fy. The Recipient also agrees to provide addi-
of the consideration for awarding the sub- tional reports as may be requested by the
contract, obtain rights in the subcontrac- agency in connection with any march-in pro-
tors subject inventions. ceeding under-taken by the agency in ac-
(5) Notwithstanding paragraph (g)(4) of this cordance with paragraph (i) of this section.
section, and in recognition of the contrac- As required by 35 U.S.C. 202(c)(5), the agency
tors substantial contribution of funds, fa- agrees it will not disclose such information
cilities and/or equipment to the work per- to persons outside the Government without
formed under this cooperative agreement, permission of the Recipient.
the Recipient is authorized, subject to the (i) Preference for United States manufacture.
rights of NASA set forth elsewhere in this The Recipient agrees that any products em-
clause, to bodying subject inventions or produced
(i) Acquire by negotiation and mutual through the use of subject inventions shall
agreement rights to a subcontractors sub- be manufactured substantially in the United
ject inventions as the Recipient may deem States. However, in individual cases, the re-
necessary to obtaining and maintaining of quirement to manufacture substantially in
such private support; and the United States may be waived by the As-
(ii) Request, in the event of inability to sistant Administrator for Procurement (Code
reach agreement pursuant to paragraph HS) with the concurrence of the Associate
(g)(5)(i) of this section that NASA invoke ex- General Counsel for Intellectual Property
ceptional circumstances as necessary pursu- upon a showing by the Recipient that under
ant to 37 CFR 401.3(a)(2) if the prospective the circumstances domestic manufacture is
subcontractor is a small business firm or or- not commercially feasible.
347
1274.914 14 CFR Ch. V (1116 Edition)
(j) March-in rights. The Recipient agrees invention if the Recipient determines that
that, with respect to any subject invention the small business firm has a plan or pro-
in which it has acquired title, NASA has the posal for marketing the invention which, if
right in accordance with the procedures in 37 executed, is equally as likely to bring the in-
CFR 401.6 and any supplemental regulations vention to practical application as any plans
of the agency to require the Recipient, an as- or proposals from applicants that are not
signee or exclusive licensee of a subject in- small business firms; provided that the Re-
vention to grant a nonexclusive, partially cipient is also satisfied that the small busi-
exclusive, or exclusive license in any field of ness firm has the capability and resources to
use to a responsible applicant or applicants, carry out its plan or proposal. The decision
upon terms that are reasonable under the whether to give a preference in any specific
circumstances, and if the Subcontractor, as- case will be at the discretion of the Recipi-
signee, or exclusive licensee refuses such a ent. However, the Recipient agrees that the
request NASA has the right to grant such a Secretary of Commerce may review the Con-
license itself if the Federal agency deter- tractors licensing program and decisions re-
mines that garding small business applicants, and the
(1) Such action is necessary because the Recipient will negotiate changes to its li-
Recipient or assignee has not taken, or is censing policies, procedures, or practices
not expected to take within a reasonable with the Secretary of Commerce when the
time, effective steps to achieve practical ap- Secretarys review discloses that the Recipi-
plication of the subject invention in such ent could take reasonable steps to more ef-
field of use; fectively implement the requirements of this
(2) Such action is necessary to alleviate paragraph.
health or safety needs which are not reason- (l) Documentation submissions. A copy of all
ably satisfied by the Recipient, assignee, or submissions or requests required by this
their licensees; clause, plus a copy of any reports, manu-
(3) Such action is necessary to meet re- scripts, publications, or similar material
quirements for public use specified by Fed-
bearing on patent matters, shall be sent to
eral regulations and such requirements are
the installation Patent Counsel in addition
not reasonably satisfied by the Recipient, as-
to any other submission requirements in the
signee, or licensees; or
cooperative agreement. If any reports con-
(4) Such action is necessary because the
tain information describing a subject in-
agreement required by paragraph (i) of this
vention for which the Recipient has elected
section has not been obtained or waived or
or may elect title, NASA will use reasonable
because a licensee of the exclusive right to
efforts to delay public release by NASA or
use or sell any subject invention in the
United States is in breach of such agree- publication by NASA in a NASA technical
ment. series, in order for a patent application to be
(k) Special provisions for Agreements with filed, provided that the Recipient identify
nonprofit organizations. If the Recipient is a the information and the subject invention
nonprofit organization, it agrees that to which it relates at the time of submittal.
(1) Rights to a subject invention in the If required by the Agreement Officer, the Re-
United States may not be assigned without cipient shall provide the filing date, serial
the approval of NASA, except where such as- number and title, a copy of the patent appli-
signment is made to an organization which cation, and a patent number and issue date
has one of its primary functions the manage- for any subject invention in any country
ment of inventions; provided, that such as- in which the Recipient has applied for pat-
signee will be subject to the same provisions ents.
as the Recipient;
(2) The Recipient will share royalties col- [End of provision]
lected on a subject invention with the inven-
tor, including Federal employee co-inventors 1274.914 Requests for waiver of
(when NASA deems it appropriate) when the rightslarge business.
subject invention is assigned in accordance
with 35 U.S.C. 202(e) and 37 CFR 401.10; REQUESTS FOR WAIVER OF RIGHTSLARGE
(3) The balance of any royalties or income BUSINESS
earned by the Recipient with respect to sub- July 2002
ject inventions, after payment of expenses
(including payments to inventors) incidental (a) In accordance with the NASA Patent
to the administration of subject inventions Waiver Regulations, 14 CFR part 1245, sub-
will be utilized for the support of scientific part 1, waiver of rights to any or all inven-
research or education; and tions made or that may be made under a
(4) It will make efforts that are reasonable NASA agreement, contract or subcontract
under the circumstances to attract licensees with other than a small business firm or a
of subject inventions that are small business domestic nonprofit organization may be re-
firms, and that it will give a preference to a quested at different time periods. Advance
small business firm when licensing a subject waiver of rights to any or all inventions that
348
may be made under a contract or sub- quested, the petitioner may request recon-
contract may be requested prior to the exe- sideration under procedures set forth in the
cution of the agreement, contract or sub- Regulations.
contract, or within 30 days after execution
by the selected Recipient. In addition, waiv- [End of provision]
er of rights to an identified invention made
and reported under an agreement, contract 1274.915 Restrictions on sale or
or subcontract may be requested, even transfer of technology to foreign
though a request for an advance waiver was firms or institutions.
not made or, if made, was not granted.
(b) Each request for waiver of rights shall RESTRICTIONS ON SALE OR TRANSFER OF TECH-
be by petition to the Administrator and shall NOLOGY TO FOREIGN FIRMS OR INSTITU-
include an identification of the petitioner; TIONS
place of business and address; if petitioner is
represented by counsel, the name, address, July 2002
and telephone number of the counsel; the (a) The parties agree that access to tech-
signature of the petitioner or authorized rep- nology developments under this Agreement
resentative; and the date of signature. No by foreign firms or institutions must be
specific forms need be used, but the request carefully controlled. For purposes of this
should contain a positive statement that clause, a transfer includes a sale of the com-
waiver of rights is being requested under the pany, or sales or licensing of the technology.
NASA Patent Waiver Regulations; a clear in- Transfers include:
dication of whether the request is for an ad- (1) Sales of products or components,
vance waiver or for a waiver of rights for an (2) Licenses of software or documentation
individual identified invention; whether for- related to sales of products or components,
eign rights are also requested and, if so, the or
countries, and a citation of the specific Sec- (3) Transfers to foreign subsidiaries of the
tion or Sections of the regulations under Recipient for purposes related to this Agree-
which such rights are requested; and the ment.
name, address, and telephone number of the (b) The Recipient shall provide timely no-
party with whom to communicate when the tice to the Agreement Officer in writing of
request is acted upon. Requests for advance any proposed transfer of technology devel-
waiver of rights should, preferably, be in- oped under this Agreement. If NASA deter-
cluded with the proposal, but in any event in mines that the transfer may have adverse
advance of negotiations. consequences to the national security inter-
(c) Petitions for advance waiver, prior to
ests of the United States, or to the establish-
agreement execution, must be submitted to
ment of a robust United States industry,
the Agreement Officer. All other petitions
NASA and the Recipient shall jointly en-
will be submitted to the Patent Representa-
deavor to find alternatives to the proposed
tive designated in the contract.
transfer which obviate or mitigate potential
(d) Petitions submitted with proposals se-
adverse consequences of the transfer.
lected for negotiation of an agreement will
be forwarded by the Contracting or Officer to
the installation Patent Counsel for proc- [End of provision]
essing and then to the Inventions and Con-
tributions Board. The Board will consider 1274.916 Liability and risk of loss.
these petitions and where the Board makes The following provision is applicable
the findings to support the waiver, the Board to all cooperative agreements with
will recommend to the Administrator that commercial firms, except programs or
waiver be granted, and will notify the peti-
projects that are subject to Section 431
tioner and the Agreement Officer of the Ad-
ministrators determination. The Agreement of Public Law 105276, which addresses
Officer will be informed by the Board when- insurance for, or indemnification of,
ever there is insufficient time or information developers of experimental aerospace
or other reasons to permit a decision to be vehicles.
made without unduly delaying the execution
of the agreement. In the latter event, the pe- LIABILITY AND RISK OF LOSS
titioner will be so notified by the Agreement
July 2002
Officer. All other petitions will be processed
by installation Patent Counsel and for- (a) With regard to activities undertaken
warded to the Board. The Board shall notify pursuant to this agreement, neither party
the petitioner of its action and if waiver is shall make any claim against the other, em-
granted, the conditions, reservations, and ployees of the other, the others related enti-
obligations thereof will be included in the ties (e.g., contractors, subcontractors, etc.),
Instrument of Waiver. Whenever the Board or employees of the others related entities
notifies a petitioner of a recommendation for any injury to or death of its own employ-
adverse to, or different from, the waiver re- ees or employees of its related entities, or
349
1274.917 14 CFR Ch. V (1116 Edition)
for damage to or loss of its own property or FAR Parts 30, 31, and 48 CFR part 99. (If the
that of its related entities, whether such in- Recipient is a consortium which includes
jury, death, damage or loss arises through non-commercial firm members, cost allow-
negligence or otherwise, except in the case of ability for those members will be determined
willful misconduct. as follows: Allowability of costs incurred by
(b) To the extent that a risk of damage or State, local or federally-recognized Indian
loss is not dealt with expressly in this agree- tribal governments is determined in accord-
ment, each partys liability to the other ance with the provisions of OMB Circular A
party arising out of this Agreement, whether 87, Cost Principles for State and Local Gov-
or not arising as a result of an alleged breach ernments. The allowability of costs in-
of this Agreement, shall be limited to direct curred by non-profit organizations is deter-
damages only, and shall not include any loss mined in accordance with the provisions of
of revenue or profits or other indirect or con- OMB Circular A122, Cost Principles for
sequential damages. Non-Profit Organizations. The allowability
of costs incurred by institutions of higher
[End of provision] education is determined in accordance with
the provisions of OMB Circular A21, Cost
1274.917 Additional funds. Principles for Educational Institutions. The
allowability of costs incurred by hospitals is
ADDITIONAL FUNDS
determined in accordance with the provi-
July 2002 sions of Appendix E of 45 CFR part 74, Prin-
ciples for Determining Costs Applicable to
Pursuant to this Agreement, NASA is pro- Research and Development Under Grants and
viding a fixed amount of funding for activi- Contracts with Hospitals.)
ties to be undertaken under the terms of this
cooperative agreement. NASA is under no [End of provision]
obligation to provide additional funds. Under
no circumstances shall the Recipient under-
1274.920 Responsibilities of the NASA
take any action which could be construed to
technical officer.
imply an increased commitment on the part
of NASA under this cooperative agreement. RESPONSIBILITIES OF THE NASA TECHNICAL
OFFICER
[End of provision]
July 2002
1274.918 Incremental funding.
(a) The NASA Agreement Officer and Tech-
INCREMENTAL FUNDING nical Officer for this cooperative agreement
are identified on the cooperative agreement
July 2002 cover sheet.
(a) Of the award amount indicated on the (b) The Agreement Officer shall serve as
cover page of this Agreement, only the obli- NASAs authorized representative for the ad-
gated amount indicated on the cover page of ministrative elements of all work to be per-
this agreement is available for payment. formed under the agreement.
NASA may supplement the Agreement, as (c) The Technical Officer shall have the au-
required, until it is fully funded. Any work thority to issue written Technical Advice
beyond the funding limit will be at the re- which suggests redirecting the project work
cipients risk. (e.g., by changing the emphasis among dif-
(b) These funds will be obligated as appro- ferent tasks), or pursuing specific lines of in-
priated funds become available without any quiry likely to assist in accomplishing the
action required of the Recipient. NASA is effort. The Technical Officer shall have the
not obligated to make payments in excess of authority to approve or disapprove those
the total funds obligated. technical reports, plans, and other technical
information the Recipient is required to sub-
[End of provision] mit to NASA for approval. The Technical Of-
ficer is not authorized to issue and the Re-
1274.919 Cost principles and account- cipient shall not follow any Technical Ad-
ing standards. vice which constitutes work which is not
contemplated under this agreement; which
COST PRINCIPLES AND ACCOUNTING STANDARDS in any manner causes an increase or decrease
in the resource sharing or in the time re-
July 2002
quired for performance of the project; which
The expenditure of Government funds by has the effect of changing any of the terms
the Recipient and the allowability of costs or conditions of the cooperative agreement;
recognized as a resource contribution by the or which interferes with the Recipients
Recipient (See clause entitled Resource right to perform the project in accordance
Sharing Requirements) shall be governed with the terms and conditions of this cooper-
by the FAR cost principles implemented by ative agreement. In the event of perceived
350
interference, dispute resolution procedures (2) CopyTechnical Officer
apply as set forth in 1274.907. (3) Micro-reproducible copyNASA Center
for Aerospace Information (CASI), Parkway
[End of provision] Center, Attn: Document Processing Section,
7121 Standard Drive, Hanover, MD 21076.
1274.921 Publications and reports:
non-proprietary research results. [End of provision]
The requirements set forth under 1274.922 Suspension or termination.
this provision may be modified by the
Agreement Officer based on specific re- SUSPENSION OR TERMINATION
port needs for the particular grant or
July 2002
cooperative agreement.
(a) This cooperative agreement may be
PUBLICATIONS AND REPORTS: NON- suspended or terminated in whole or in part
PROPRIETARY RESEARCH RESULTS by the Recipient or by NASA after consulta-
tion with the other party. With prior written
July 2002
notice, NASA may terminate the agreement,
(a) NASA encourages the widest prac- for example, if the Recipient is not making
ticable dissemination of research results at anticipated technical progress, if the Recipi-
all times during the course of the investiga- ent materially fails to comply with the
tion consistent with the other terms of this terms of the agreement, if the Recipient ma-
agreement. terially changes the objective of the agree-
(b) All information disseminated as a re- ment, or if appropriated funds are not avail-
sult of the cooperative agreement shall con- able to support the program.
tain a statement which acknowledges (b) Upon fifteen (15) days written notice to
NASAs support and identifies the coopera- the other party, either party may tempo-
tive agreement by number. rarily suspend the cooperative agreement,
(c) Prior approval by the NASA Technical pending corrective action or a decision to
Officer is required only where the Recipient terminate the cooperative agreement. The
requests that the results of the research be notice should express the reasons why the
published in a NASA scientific or technical agreement is being suspended.
publication. Two copies of each draft publi- (c) In the event of termination by either
cation shall accompany the approval re- party, the Recipient shall not be entitled to
quest. additional funds or payments except as may
(d) Reports shall contain full bibliographic be required by the Recipient to meet NASAs
references, abstracts of publications and lists share of commitments which had in the judg-
of all other media in which the research was ment of NASA become firm prior to the ef-
discussed. The Recipient shall submit the fective date of termination and are otherwise
following technical reports: appropriate. In no event, shall these addi-
(1) A progress report for every year of the tional funds or payments exceed the amount
cooperative agreement (except the final of the next payable milestone billing
year). Each report is due 60 days before the amount.
anniversary date of the cooperative agree-
ment and shall describe research accom- [End of provision]
plished during the report period.
(2) A summary of research is due by 90 days 1274.923 Equipment and other prop-
after the expiration date of the cooperative erty.
agreement, regardless of whether or not sup-
port is continued under another cooperative EQUIPMENT AND OTHER PROPERTY
agreement. This report is intended to sum- February 2004
marize the entire research accomplished dur-
ing the duration of the cooperative agree- (a) Under no circumstances shall coopera-
ment. tive agreement funds be used to acquire land
(e) Progress reports and summaries of re- or any interest therein, to acquire or con-
search shall display the following on the struct facilities (as defined in 48 CFR (FAR)
first page: 45.301), or to procure passenger carrying ve-
(1) Title of the cooperative agreement. hicles.
(2) Type of report. (b) Contractor acquired equipment or prop-
(3) Period covered by the report. erty used in performance of the Cooperative
(4) Name and address of the Recipients or- Agreement shall be controlled in accordance
ganization. with 48 CFR (FAR) 45.6.
(5) Cooperative agreement number. (c) The government shall have title to
(f) An original and two copies, one of which equipment and other personal property ac-
shall be of suitable quality to permit micro- quired with government funds. Such prop-
reproduction, shall be sent as follows: erty shall be disposed of pursuant to 48 CFR
(1) OriginalAgreement Officer. (FAR) 45.603. The Recipient shall have title
351
1274.924 14 CFR Ch. V (1116 Edition)
to equipment and other personal property as amended (29 U.S.C. 794), the Age Discrimi-
acquired with Recipient funds. Such prop- nation Act of 1975 (42 U.S.C. 6101 et seq.), and
erty shall remain with the Recipient at the the NASA implementing regulations (14 CFR
conclusion of the cooperative agreement. parts 1250, 1251, 1252 and 1253).
Under a shared cost arrangement, the Gov-
ernment and the Recipient have joint owner- [End of provision]
ship of acquired property in accordance with
the cost share ratio. Jointly owned property 1274.925 Subcontracts.
shall be disposed of as agreed to by the par-
ties. SUBCONTRACTS
(d) Title to Government furnished equip-
July 2002
ment (including equipment, title to which
has been transferred to the Government (a) Recipients are not authorized to issue
prior to completion of the work) will remain grants or cooperative agreements.
with the Government. (b) NASA Agreement Officer consent is re-
(e) The Recipient shall establish and main- quired for subcontracts over[dollar threshold
tain property management standards for inserted by Agreement Officer] and/or sub-
Government property and otherwise manage contracts for [critical systems, subsystems,
such property as set forth in 48 CFR (FAR) components, or services inserted by Agree-
45.5 and 48 CFR (NFS) 1845.5. ment Officer and Cognizant NASA Project
(f) Recipients shall submit annually a Office]lll.
NASA Form 1018, NASA Property in the Cus- (c) If not submitted by the Recipient and
tody of Contractors, in accordance with the accepted by NASA in the original proposal.
instructions on the form, the provisions of 48 The Recipient shall provide the following in-
CFR (NFS) 1845.71 and any supplemental information to the Agreement Officer:
structions that may be issued by NASA for (1) A copy of the proposed subcontract.
the current reporting period. The original (2) Basis for subcontractor selection.
NF 1018 shall be submitted to the center Dep- (3) Justification for lack of competition
uty Chief Financial Officer, Finance, with when competitive bids or offers are not ob-
three copies sent concurrently to the center tained.
Industrial Property Officer. The annual re- (4) Basis for award cost or award price.
porting period shall be from October 1 of (d) The Recipient shall utilize small busi-
each year through September 30 of the fol- ness, veteran-owned small business, service-
lowing year. The report shall be submitted in disabled veteran-owned small business, his-
time to be received by October 15. Negative torically underutilized small business, small
reports (i.e. no reportable property) are re- disadvantaged business, women-owned busi-
quired. The information contained in the re- ness concerns, Historically Black Colleges
ports is entered into the NASA accounting and Universities, and minority educational
system to reflect current asset values for institutions as subcontractors to the max-
agency financial statement purposes. There- imum extent practicable.
fore, it is essential that required reports be (e) All entities that are involved in per-
received no later than October 15. A final re- forming the research and development effort
port is required within 30 days after expira- that is the purpose of the cooperative agree-
tion of the agreement. ment shall be part of the Recipients consor-
(g) As of the date of this rewrite, process tium and not subcontractors.
changes have been made to facilitate elec-
tronic submission of NF 1018. Recipients may [End of provision]
use the procedures established by NASA Pro-
curement Notice (PN) 9764, issued on Au- 1274.926 Clean Air-Water Pollution
gust 9, 2001. Control Acts.
[End of provision] CLEAN AIR-WATER POLLUTION CONTROL ACTS
July 2002
FR 5017, Feb. 3, 2004] If this cooperative agreement or supple-
ment thereto is in excess of $100,000, the Re-
1274.924 Civil rights. cipient agrees to notify the Agreement Offi-
cer promptly of the receipt, whether prior or
CIVIL RIGHTS subsequent to the Recipients acceptance of
this cooperative agreement, of any commu-
July 2002 nication from the Director, Office of Federal
Work on NASA cooperative agreements is Activities, Environmental Protection Agen-
subject to the provisions of Title VI of the cy (EPA), indicating that a facility to be uti-
Civil Rights Act of 1964 (Public Law 88352; 42 lized under or in the performance of this co-
U.S.C. 2000d-l), Title IX of the Education operative agreement or any subcontract

Amendments of 1972 (20 U.S.C. 1680 et seq.), thereunder is under consideration to be list-
section 504 of the Rehabilitation Act of 1973, ed on the EPA List of Violating Facilities
352
published pursuant to 40 CFR 15.20. By ac- facilities. The NASA Form 531 and finger-
ceptance of a cooperative agreement in ex- print card may be obtained from the NASA
cess of $100,000, the Recipient Installation Security Office.
(a) Stipulates that any facility to be uti- (b) The Installation Security Office will re-
lized thereunder is not listed on the EPA quest from NASA Headquarters, Code I, ap-
List of Violating Facilities as of the date proval for each foreign nationals access to
of acceptance; the Installation prior to providing access to
(b) Agrees to comply with all requirements the Installation. If the access approval is ob-
of section 114 of the Clean Air Act, as amend- tained from NASA Headquarters prior to
ed (42 U.S.C. 1857 et seq. as amended by Pub- completion of the NAC and performance of
lic Law 91604) and section 308 of the Federal the cooperative agreement requires a foreign
Water Pollution Control Act, as amended (33 national to be given access immediately, the
U.S.C. 1251 et seq. as amended by Public Law Technical Officer may submit an escort re-
92500) relating to inspection, monitoring, quest to the Installations Chief of Security.
entry, reports and information, and all other
requirements specified in the aforemen- [End of provision]
tioned sections, as well as all regulations
and guidelines issued thereunder after award 1274.929 Restrictions on lobbying.
of and applicable to the cooperative agree-
ment; and RESTRICTIONS ON LOBBYING
(c) Agrees to include the criteria and re-
quirements of this clause in every sub- July 2002
contract hereunder in excess of $100,000, and This award is subject to the provisions of
to take such action as the Contracting or 14 CFR part 1271 New Restrictions on Lob-
Grant Officer may direct to enforce such cri- bying.
teria and requirements.
[End of provision]
[End of provision]
1274.930 Travel and transportation.
1274.927 Debarment and Suspension
and Drug-Free Workplace. TRAVEL AND TRANSPORTATION
DEBARMENT AND SUSPENSION AND DRUG-FREE July 2002

WORKPLACE (SEP 2014) (a) For travel funded by the government
NASA cooperative agreements are subject under this agreement, section 5 of the Inter-
to the provisions of 2 CFR Part 180, Govern- national Air Transportation Fair Competi-
ment-wide Debarment and Suspension (Non- tive Practices Act of 1974 (49 U.S.C. 40118)
procurement) and 2 CFR Part 182, Govern- (Fly America Act) requires the Recipient to
ment-wide requirements for Drug-Free use U.S.-flag air carriers for international
Workplace, unless excepted by 2 CFR 180.110 air transportation of personnel and property
or 180.610. to the extent that service by those carriers
is available.
(b) Department of Transportation regula-
[End of Provision] tions, 49 CFR part 173, govern Recipient ship-
ment of hazardous materials and other
[79 FR 56488, Sept. 22, 2014] items.
1274.928 Foreign national employee [End of provision]

investigative requirements.
1274.931 Electronic funds transfer
FOREIGN NATIONAL EMPLOYEE INVESTIGATIVE payment methods.
REQUIREMENTS
ELECTRONIC FUNDS TRANSFER PAYMENT
July 2002 METHODS
(a) The Recipient shall submit a properly
July 2002
executed Name Check Request (NASA Form
531) and a completed applicant fingerprint Payments under this cooperative agree-
card (Federal Bureau of Investigation Card ment will be made by the Government by
FD258) for each foreign national employee electronic funds transfer through the Treas-
requiring access to a NASA Installation. ury Fedline Payment System (FEDLINE) or
These documents shall be submitted to the the Automated Clearing House (ACH), at the
Installations Security Office at least 75 days option of the Government. After award, but
prior to the estimated duty date. The NASA no later than 14 days before an invoice is
Installation Security Office will request a submitted, the Recipient shall designate a fi-
National Agency Check (NAC) for foreign na- nancial institution for receipt of electronic
tional employees requiring access to NASA funds transfer payments, and shall submit
353
1274.932 14 CFR Ch. V (1116 Edition)
this designation to the Agreement Officer or payee bank account information may delay
other Government official, as directed. payments of amounts otherwise properly
(a) For payment through FEDLINE, the due.
Recipient shall provide the following infor-
mation: [End of provision]
(1) Name, address, and telegraphic abbre-
viation of the financial institution receiving 1274.932 Retention and examination
payment. of records.
(2) The American Bankers Association 9-
digit identifying number for wire transfers of RETENTION AND EXAMINATION OF RECORDS
the financing institution receiving payment
if the institution has access to the Federal July 2002
Reserve Communication System.
(3) Payees account number at the finan- Financial records, supporting documents,
cial institution where funds are to be trans- statistical records, and all other records (or
ferred. microfilm copies) pertinent to this coopera-
(4) If the financial institution does not tive agreement shall be retained for a period
have access to the Federal Reserve Commu- of 3 years, except that records for non-
nications System, name, address, and tele- expendable property acquired with coopera-
graphic abbreviation of the correspondent fi- tive agreement funds shall be retained for 3
nancial institution through which the finan- years after its final disposition and, if any
cial institution receiving payment obtains litigation, claim, or audit is started before
wire transfer activity. Provide the tele- the expiration of the 3-year period, the
graphic abbreviation and American Bankers records shall be retained until all litigation,
Association identifying number for the cor- claims, or audit findings involving the
respondent institution. records have been resolved. The retention pe-
(b) For payment through ACH, the Recipi- riod starts from the date of the submission
ent shall provide the following information: of the final invoice. The Administrator of
(1) Routing transit number of the financial NASA and the Comptroller General of the
institution receiving payment (same as United States, or any of their duly author-
American Bankers Association identifying ized representatives, shall have access to any
number used for FEDLINE). pertinent books, documents, papers, and
(2) Number of account to which funds are records of the Recipient and of subcontrac-
to be deposited. tors to make audits, examinations, excerpts,
(3) Type of depositor account (C for and transcripts. All provisions of this clause
checking, S for savings). shall apply to any subcontractor performing
(4) If the Recipient is a new enrollee to the substantive work under this cooperative
ACH system, a Payment Information agreement.
Form, SF 3881, must be completed before
payment can be processed. [End of provision]
(c) In the event the Recipient, during the
performance of this cooperative agreement, 1274.933 Summary of recipient re-
elects to designate a different financial insti-
porting responsibilities.
tution for the receipt of any payment made
using electronic funds transfer procedures, SUMMARY OF RECIPIENT REPORTING
notification of such change and the required RESPONSIBILITIES
information specified above must be received
by the appropriate Government official 30 July 2004
days prior to the date such change is to be-
come effective. This cooperative agreement requires the
(d) The documents furnishing the informa- recipient to submit a number of reports.
tion required in this clause must be dated These reporting requirements are summa-
and contain the signature, title, and tele- rized below. In the event of a conflict be-
phone number of the Recipient official au- tween this provision and other provisions of
thorized to provide it, as well as the Recipi- the cooperative agreement requiring report-
ents name and contract number. ing, the other provisions take precedence.
(e) Failure to properly designate a finan- [The Agreement Officer may add/delete report-
cial institution or to provide appropriate ing requirements as appropriate.]
Report Frequency Reference
Report of Joint NASA/Recipient Inventions As required .............................................. 1274.911 Patent Rights

(Paragraph (b)(4))
Interim Report of Reportable Items ........... Every 12 months ..................................... 1274.912 Patent RightsRetention by
the Recipient (Large Business)
(Paragraph (e)(3)(i))
354
Report Frequency Reference
Final Report of Reportable Items .............. 3 months after completion ....................... 1274.912 Patent RightsRetention by
the Recipient (Large Business) (Para-
graph (e)(3)(ii))
Disclosure of Subject Inventions ............... Within 2 months after inventor discloses 1274.912 Patent Rights Retention by the
it to Recipient. Recipient (Large Business) (Para-
graph (e)(2)) or
1274.913 Patent RightsRetention by
the Recipient (Small Business)
(Paragraph (c)(1))
Election of Title to a Subject Invention ..... 1 year after disclosure of the subject in- 1274.913 Patent RightsRetention by
vention if a statutory bar exists, other- the Recipient (Small Business)
wise within 2 years. (Paragraph (c)(2))
Listing of Subject Inventions ..................... Every 12 months from the date of the 1274.913 Patent RightsRetention by
agreement. the Recipient (Small Business)
(Paragraph (f)(5)(i))
Subject Inventions Final Report ................ Prior to close-out of the agreement ........ 1274.913 Retention by the Recipient
(Small Business)
(Paragraph (f)(5)(ii))
Notification of Decision to Forego Patent 30 days before expiration of the re- 1274.913 Patent RightsRetention by
Protection. sponse period. the Recipient (Small Business)
(Paragraph (f)(3))
Notification of a Subcontract Award .......... Promptly upon award of a subcontract ... 1274.912 Patent RightsRetention by
the Recipient (Large Busi-
ness)(Paragraph (g)(3))
or 1274.913 Patent RightsRetention
by the Recipient (Small Business)
(Paragraph (g)(3))
Utilization of Subject Invention .................. Annually ................................................... 1274.913 Patent RightsRetention by
the Recipient (Small Business)
(Paragraph (h))
Notice of Proposed Transfer of Tech- Prior to transferring technology to foreign 1274.915 Restrictions on Sale or Trans-
nology. firm or institution. fer of Technology to Foreign Firms or
Institutions
(Paragraph (b))
Progress Report ........................................ 60 days prior to the anniversary date of 1274.921 Publications and Reports:
the agreement (except final year). Non-Proprietary Research Results
(Paragraph (d)(1))
Summary of Research ............................... 90 days after completion of agreement .. 1274.921 Publications and Reports:
Non-Proprietary Research Results
(Paragraph (d)(2))
NASA Form 1018 Property in the Custody Annually by October 15 ........................... 1274.923 Equipment and Other Property
of Contractors. (Paragraph (f))
NASA Form 1018 Property in the Custody 60 days after expiration date of agree- 1274.923 Equipment and Other Property
of Contractors. ment. (Paragraph (f))
[67 FR 45790, July 10, 2002, as amended at 69 stantial loss of property. The Recipient will
FR 41936, July 13, 2004] immediately (within one workday) advise
NASA of hazards that come to its attention
1274.934 Safety. as a result of the work performed.
(b) Where the work under this cooperative
SAFETY
agreement involves flight hardware, the haz-
July 2002 ardous aspects, if any, of such hardware will
be identified, in writing, by the Recipient.
NASAs safety priority is to protect: (1) Compliance with this provision by sub-
The public, (2) astronauts and pilots, (3) the contractors shall be the responsibility of the
NASA workforce (including contractor em- Recipient.
ployees 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 reason-
able 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 im-

mediately (within one workday) of any acci-
dent involving death, disabling injury or sub-
355
1274.935 14 CFR Ch. V (1116 Edition)
[End of provision] lated directly to the work on the Coopera-

tive Agreement. A major breach of security
1274.935 Security classification re- may arise from any of the following: com-
quirements. promise of classified information; illegal
technology transfer; workplace violence re-
SECURITY CLASSIFICATION REQUIREMENTS sulting in criminal conviction; sabotage;
compromise or denial of information tech-
July 2002
nology services; damage or loss greater than
Performance under this Cooperative Agree- $250,000 to the Government; or theft.
ment will involve access to and/or genera- (b) In the event of a major breach of safety
tion of classified information, work in a se- or security, the Recipient shall report the
cure area, or both, up to the level of [insert breach to the Agreement Officer. If directed
the applicable security clearance level]. Federal by the Agreement Officer, the Recipient
Acquisition Regulation clause 52.2042 shall shall conduct its own investigation and re-
apply to this Agreement and DD Form 254, port the results to the Government. The Re-
Contract Security Classification Specifica- cipient shall cooperate with the Government
tion Attachment lll [Insert the attachment investigation, if conducted.
number of the DD Form 254.]
[End of provision]
[End of provision]
1274.937 Security requirements for
1274.936 Breach of safety or security. unclassified information technology
BREACH OF SAFETY OR SECURITY
resources.
July 2002 SECURITY REQUIREMENTS FOR UNCLASSIFIED

INFORMATION TECHNOLOGY RESOURCES
Safety is the freedom from those condi-
tions that can cause death, injury, occupa- July 2002
tional illness, damage to or loss of equip-
(a) The Recipient shall be responsible for
ment or property, or damage to the environ-
Information Technology security for all sys-
ment. Safety is essential to NASA and is a
tems connected to a NASA network or oper-
material part of this contract. NASAs safe-
ated by the Recipient for NASA, regardless
ty priority is to protect: The public; astro-
of location. This provision is applicable to
nauts and pilots; the NASA workforce (in-
all or any part of the cooperative agreement
cluding contractor employees working on
NASA contracts); and high-value equipment that includes information technology re-
and property. A major breach of safety by sources or services in which the Recipient
the Recipient entitles the Government to must have physical or electronic access to
remedies (pending corrective measures by NASAs sensitive information contained in
the Recipient) which includes, suspension or unclassified systems that directly support
termination of the Cooperative Agreement, the mission of the Agency. This includes in-
require removal or change of Recipients per- formation technology, hardware, software,
sonnel from performing under the Agree- and the management, operation, mainte-
ment. A major breach of safety must be re- nance, programming, and system adminis-
lated directly to the work on the Agreement. tration of computer systems, networks, and
A major breach of safety is an act or omis- telecommunications systems. Examples of
sion of the Recipient that consists of an acci- tasks that require security provisions in-
dent, incident, or exposure resulting in a fa- clude:
tality or mission failure; or in damage to (1) Computer control of spacecraft, sat-
equipment or property equal to or greater ellites, or aircraft or their payloads;
than $1 million; or in any willful or re- (2) Acquisition, transmission or analysis of
peat violation cited by the Occupational data owned by NASA with significant re-
Safety and Health Administration (OSHA) or placement cost should the Recipients copy
by a state agency operating under an OSHA be corrupted; and
approved plan. (3) Access to NASA networks or computers
(a) Security is the condition of safe- at a level beyond that granted the general
guarding against espionage, sabotage, crime public, e.g. bypassing a firewall.
(including computer crime), or attack. A (b) The Recipient shall provide, imple-
major breach of security by the Recipient ment, and maintain an IT Security Plan.
entitles the Government to remedies (pend- This plan shall describe the processes and
ing corrective measures by the Recipient) procedures that will be followed to ensure
which includes, suspension or termination of appropriate security of IT resources that are
the Cooperative Agreement, require removal developed, processed, or used under this co-
or change of Recipients personnel from per- operative agreement. The plan shall describe
forming under the Cooperative Agreement. A those parts of the cooperative agreement to
major breach of security may occur on or off which this provision applies. The Recipients
Government installations, but must be re- IT Security Plan shall be compliant with
356
Federal laws that include, but are not lim- whose misuse can cause serious adverse im-
ited to, the Computer Security Act of 1987 (40 pact to NASA missions. These systems in-
U.S.C. 1441 et seq.) and the Government Infor- clude, for example, those that can transmit
mation Security Reform Act of 2000. The commands directly modifying the behavior
plan shall meet IT security requirements in of payloads on spacecraft, satellites or air-
accordance with Federal and NASA policies craft; and those that contain the primary
and procedures that include, but are not lim- copy of level 1 data whose cost to replace
ited to: exceeds one million dollars.
(1) OMB Circular A130, Management of (iii) IT3Individuals having privileged ac-
Federal Information Resources, Appendix III, cess or limited privileged access to systems
Security of Federal Automated Information whose misuse can cause significant adverse
Resources; impact to NASA missions. These systems in-
(2) NASA Procedures and Guidelines (NPG) clude, for example, those that interconnect
2810.1, Security of Information Technology; with a NASA network in a way that exceeds
and access by the general public, such as bypass-
(3) Chapter 3 of NPG 1620.1, NASA Security ing firewalls; and systems operated by the
Procedures and Guidelines. Recipient for NASA whose function or data
(c) Within ll days after cooperative has substantial cost to replace, even if these
agreement award, the Recipient shall submit systems are not interconnected with a NASA
for NASA approval an IT Security Plan. This network.
plan must be consistent with and further de- (3) Screening for individuals shall employ
tail the approach contained in the Recipi- forms appropriate for the level of risk as fol-
ents proposal that resulted in the award of lows:
this cooperative agreement and in compli-
(i) IT1: Fingerprint Card (FC) 258 and
ance with the requirements stated in this
Standard Form (SF) 85P, Questionnaire for
provision. The plan, as approved by the
Public Trust Positions;
Agreement Officer, shall be incorporated
(ii) IT2: FC 258 and SF 85, Questionnaire
into the cooperative agreement as a compli-
for Non-Sensitive Positions; and
ance document.
(d)(1) Recipient personnel requiring privi- (iii) IT3: NASA Form 531, Name Check,
leged access or limited privileged access to and FC 258.
systems operated by the Recipient for NASA (4) The Agreement Officer may allow the
or interconnected to a NASA network shall Recipient to conduct its own screening of in-
be screened at an appropriate level in ac- dividuals requiring privileged access or lim-
cordance with NPG 2810.1, Section 4.5; NPG ited privileged access provided the Recipient
1620.1, Chapter 3; and paragraph (d)(2) of this can demonstrate that the procedures used by
provision. Those Recipient personnel with the Recipient are equivalent to NASAs per-
non-privileged access do not require personnel screening procedures. As used here,
sonnel screening. NASA shall provide screen- equivalent includes a check for criminal his-
ing using standard personnel screening Na- tory, as would be conducted by NASA, and
tional Agency Check (NAC) forms listed in completion of a questionnaire covering the
paragraph (d)(3) of this provision, unless Re- same information as would be required by
cipient screening in accordance with para- NASA.
graph (d)(4) is approved. The Recipient shall (5) Screening of Recipient personnel may
submit the required forms to the NASA Cen- be waived by the Agreement Officer for those
ter Chief of Security (CCS) within fourteen individuals who have proof of
(14) days after cooperative agreement award (i) Current or recent national security
or assignment of an individual to a position clearances (within last three years);
requiring screening. The forms may be ob- (ii) Screening conducted by NASA within
tained from the CCS. At the option of the last three years; or
government, interim access may be granted (iii) Screening conducted by the Recipient,
pending completion of the NAC. within last three years, that is equivalent to
(2) Guidance for selecting the appropriate the NASA personnel screening procedures as
level of screening is based on the risk of ad- approved by the Agreement Officer under
verse impact to NASA missions. NASA de- paragraph (d)(4) of this provision.
fines three levels of risk for which screening (e) The Recipient shall ensure that its em-
is required (IT1 has the highest level of ployees, in performance of the cooperative
risk): agreement, receive annual IT security train-
(i) IT1Individuals having privileged ac- ing in NASA IT Security policies, proce-
cess or limited privileged access to systems dures, computer ethics, and best practices in
whose misuse can cause very serious adverse accordance with NPG 2810.1, Section 4.3 re-
impact to NASA missions. These systems in- quirements. The Recipient may use web-
clude, for example, those that can transmit based training available from NASA to meet
commands directly modifying the behavior this requirement.
of spacecraft, satellites or aircraft. (f) The Recipient shall afford NASA, in-
(ii) IT2Individuals having privileged ac- cluding the Office of Inspector General, ac-
cess or limited privileged access to systems cess to the Recipients, subcontractors or
357
1274.938 14 CFR Ch. V (1116 Edition)
subawardees facilities, installations, oper- compliance with the provisions of the Agree-
ations, documentation, databases and per- ment would require the Recipient to violate
sonnel used in performance of the coopera- any applicable State or territorial law, the
tive agreement. Access shall be provided to Recipient agrees to notify the Government
the extent required to carry out a program (NASA) immediately in writing in order that
of IT inspection, investigation and audit to the Government and the Recipient may
safeguard against threats and hazards to the make appropriate arrangements to proceed
integrity, availability and confidentiality of with the Project as soon as possible.
NASA data or to the function of computer (c) Changed Conditions of Performance (In-
systems operated on behalf of NASA, and to cluding Litigation). The Recipient agrees to
preserve evidence of computer crime. notify the Government (NASA) immediately
(g) The Recipient shall incorporate the of any change in State or local law, condi-
substance of this clause in all subcontracts tions, or any other event that may signifi-
or subagreements that meet the conditions
cantly affect its ability to perform the
in paragraph (a) of this provision.
Project in accordance with the terms of this
Cooperative Agreement. In addition, the Re-
[End of provision]
cipient agrees to notify the Government
(NASA) immediately of any decision per-
1274.938 Modifications.
taining to the Recipients conduct of litiga-
MODIFICATIONS tion that may affect the Governments inter-
ests in the Project or the Governments ad-
July 2002 ministration or enforcement of applicable
During the term of this agreement and in Federal laws or regulations. Before the Re-
the interest of achieving program objectives, cipient may name the Government as a
the parties may agree to changes that affect party to litigation for any reason, the Re-
the responsibility statements, milestones, or cipient agrees to inform the Government;
other provisions of this agreement. Any this proviso applies to any type of litigation
changes to this agreement will be accom- whatsoever, in any forum.
plished by a written bilateral modification. (d) No Government Obligations to Third Par-
ties. Absent the Governments express writ-
[End of provision] ten consent, and notwithstanding any con-
currence by the Government in or approval
1274.939 Application of Federal, of the award of any Agreement of the Recipi-
State, and Local laws and regula- ent (third party contract) or subcontract of
tions. the Recipient (third party subcontract) or
the solicitation thereof, the Government
APPLICATION OF FEDERAL, STATE, AND LOCAL shall not be subject to any obligations or li-
LAWS AND REGULATIONS abilities to third party contractors or third
July 2002 party subcontractors or any other person(s).
(a) Federal Laws and Regulations. This Co- [End of provision]

operative Agreement shall be governed by
the Federal Laws, regulations, policies, and 1274.940 Changes in recipients mem-
related administrative practices applicable
bership.
to this Cooperative Agreement on the date
the Agreement is executed. The Recipient CHANGES IN RECIPIENTS MEMBERSHIP
understands that such Federal laws, regula-
tions, policies, and related administrative July 2002
practices may be modified from time to
time. The Recipient agrees to consider modi- The Recipient shall notify the cognizant
fying this Agreement to be governed by Agreement Officer within seven (7) days of
those later modified Federal laws, regula- any change in the corporate membership
tions, policies, and related administrative (ownership) structure of the Recipient, in-
practices that directly affect performance of cluding the addition or withdrawal of any of
the Project. the Recipients affiliated members (e.g., Con-
(b) State or Territorial Law and Local Law. sortium Member). If NASA reasonably deter-
Except to the extent that a Federal statute mines that any change in the corporate
or regulation preempts State or territorial membership (ownership) of Recipient will
law, nothing in the Cooperative Agreement conflict with NASAs objectives for the
shall require the Recipient to observe or en- lll Project or any statutory or regulatory
force compliance with any provision thereof, restriction applicable to the agency, NASA
perform any other act, or do any other thing may terminate this Agreement after giving
in contravention of any applicable State or the Agreement Recipient at least ninety (90)
territorial law; however, if any of the provi- days prior written notice of such perceived
sions of the Cooperative Agreement violate conflict and a reasonable opportunity to cure
any applicable State or territorial law, or if such conflict.
358
[End of provision] (2) No later than 30 days before each

launch; and
1274.941 Insurance and indemnifica- (3) Within 7 days after a request by the
tion. Agreement Officer.
Moreover, the Recipient shall promptly no-
The following provision is applicable tify the Agreement Officer of any termi-
to all cooperative agreements with nation, or of any change to the terms or con-
commercial firms that involve pro- ditions of an insurance policy or policies for
grams or projects that are subject to which proof of insurance was provided.
Section 431 of Public Law 105276, (e) Notification of Claims. The Recipient
which addresses insurance for, or in- shall
(1) Promptly notify the Agreement Officer
demnification of, developers of experi- of any third party claim or suit against the
mental aerospace vehicles. Recipient, one of its related entities, any
INSURANCE AND INDEMNIFICATION employee of the Recipient or its related enti-
ties, or any insurer of the Recipient for dam-
July 2002 ages resulting from covered activities;
(2) Furnish evidence or proof of any such
(a) General. The Recipient has applied, claim, suit or damages, in the form required
under the provisions of Section 431 of Public by NASA; and
Law 105276 (Section 431), for indemnification (3) Immediately furnish to NASA, or its
by the Government against certain third designee, copies of all information received
party damage claims that might arise under by the Recipient, or by any related entity,
the Agreement. Under Section 431, a nec- employee or insurer that is pertinent to such
essary prerequisite to, and consideration for, claim, suit or damages.
the Governments granting such indem- (f) NASA Concurrence in Settlements. NASA
nification is the Recipients obtaining insur- shall concur or not concur in each settle-
ance against an initial increment of such ment of a third party claim by the Recipi-
damages arising from certain third party ents insurer(s). For purposes of determining
claims. This provision sets forth the require- the amount of indemnification under this co-
ments for this insurance prerequisite to a operative agreement. Adjudicated claims
Government grant of indemnification. shall be deemed concurred in by NASA.
(b) Definitions. The definitions at 14 CFR
1266, Cross-Waivers and Indemnification, [End of provision]
apply to this provision.
(c) Insurance. The Recipient shall obtain, 1274.942 Export licenses.
as part of its financial contribution, insur-
ance that meets the following parameters: EXPORT LICENSES
(1) The insurance policy or policies shall
July 2002
insure against damages incurred by third
parties arising from covered activities; (a) The Recipient shall comply with all
(2) The amount of insurance applicable to U.S. export control laws and regulations, in-
each launch shall be [Amount to be inserted cluding the International Traffic in Arms
by the contracting officer]. The Government Regulations (ITAR), 22 CFR Parts 120
may subsequently increase the amount of in- through 130, and the Export Administration
surance the Recipient is required to main- Regulations (EAR), 15 CFR parts 730 through
tain to qualify for indemnification, for one 799, in the performance of this Cooperative
or more launches, and the Recipient shall Agreement. In the absence of available li-
pay the additional cost of such increases cense exemptions/exceptions, the Recipient
from its financial contribution; and shall be responsible for obtaining the appro-
(3) The insurance policy or policies shall priate licenses or other approvals, if re-
name the parties and their related entities, quired, for exports of hardware, technical
and the employees of the parties and their data, and software, or for the provision of
related entities, as named insureds. technical assistance.
Nothing in this provision precludes the Re- (b) The Recipient shall be responsible for
cipient from obtaining, at no cost to the obtaining export licenses, if required, before
Government, such other insurance as the Re- utilizing foreign persons in the performance
cipient determines advisable to protect its of this Cooperative Agreement, including in-
business interests. stances where the work is to be performed
(d) Proof of Insurance. The Recipient shall on-site at [insert name of NASA installa-
provide proof of insurance that meets the pation], where the foreign person will have ac-
rameters in paragraph (c) of this provision cess to export-controlled technical data or
and that is acceptable to the Agreement Offi- software.
cer: (c) The Recipient shall be responsible for
(1) Within 30/60 days after the execution of all regulatory record keeping requirements
the modification adding this provision to the associated with the use of licenses and li-
Agreement; cense exemptions/exceptions.
359
1274.943 14 CFR Ch. V (1116 Edition)
(d) The Recipient shall be responsible for entitled. The recipient shall report all sus-
ensuring that the requirements of this provi- pected or reported violations to NASA.
sion apply to its subcontractors. 3. Contract Work Hours and Safety Stand-
(e) The Recipient may request, in writing, ards Act (40 U.S.C. 327333)Where applica-
that the Agreement Officer authorize it to ble, all contracts awarded by recipients in
export ITAR-controlled technical data (in- excess of $2,000 for construction contracts
cluding software) pursuant to the exemption and in excess of $50,000 for other contracts,
at 22 CFR 125.4(b)(3). The Agreement Officer other than contracts for commercial items,
or designated representative may authorize that involve the employment of mechanics
or direct the use of the exemption where the or laborers shall include a provision for com-
data does not disclose details of the design, pliance with sections 102 and 107 of the Con-
development, production, or manufacture of tract Work Hours and Safety Standards Act
any defense article. (40 U.S.C. 327333), as supplemented by De-
partment of Labor regulations (29 CFR part
[End of provision] 5). Under Subsection 102 of the Act, each re-
cipient shall be required to compute the
1274.943 Investigation of research wages of every mechanic and laborer on the
misconduct. basis of a standard work week of 40 hours.
Work in excess of the standard work week is
INVESTIGATION OF RESEARCH MISCONDUCT permissible provided that the worker is com-
pensated at a rate of not less than 112 times
May 2005 the basic rate of pay for all hours worked in
Recipients of this cooperative agreement excess of 40 hours in the work week. Section
are subject to the requirements of 14 CFR 107 of the Act is applicable to construction
part 1275, Investigation of Research Mis- work and provides that no laborer or me-
conduct. chanic shall be required to work in sur-
roundings or under working conditions
[End of provision] which are unsanitary, hazardous or dan-
gerous. These requirements do not apply to
[70 FR 28809, May 19, 2005] the purchases of supplies or materials or ar-
ticles ordinarily available on the open mar-
ket, or contracts for transportation or trans-
APPENDIX TO PART 1274LISTING OF
mission of intelligence.
EXHIBITS 4. Rights to Inventions Made Under a Con-
EXHIBIT A TO PART 1274CONTRACT tract or Agreement
PROVISIONS Contracts or agreements for the perform-
ance of experimental, developmental, or re-
All contracts awarded by a recipient, in- search work shall provide for the rights of
cluding small purchases, shall contain the the Federal Government and the Recipient
following provisions if applicable: in any resulting invention in accordance
1. Equal Employment OpportunityAll with 37 CFR part 401, Rights to Inventions
contracts shall contain a provision requiring Made by Nonprofit Organizations and Small
compliance with E.O. 11246, Equal Employ- Business Firms Under Government Grants,
ment Opportunity, as amended by E.O. Contracts and Cooperative Agreements, and
11375, Amending Executive Order 11246 Re- any implementing regulations issued by the
lating to Equal Employment Opportunity, awarding agency.
and as supplemented by regulations at 41 5. Clean Air Act (42 U.S.C. 7401 et seq.) and
CFR Part 60, Office of Federal Contract the Federal Water
Compliance Programs, Equal Employment Pollution Control Act (33 U.S.C. 1251 et
Opportunity, Department of Labor. seq.), as amendedContracts, other than
2. Copeland Anti-Kickback Act (18 contracts for commercial items, of amounts
U.S.C. 874 and 40 U.S.C. 276c)All contracts in excess of $100,000 shall contain a provision
in excess of $50,000 for construction or repair that requires the Recipient to agree to com-
awarded by Recipients and subrecipients ply with all applicable standards, orders or
shall include a provision for compliance with regulations issued pursuant to the Clean Air
the Copeland Anti-Kickback Act (18 U.S.C. Act (42 U.S.C. 7401 et seq.) and the Federal
874), as supplemented by Department of Water Pollution Control Act as amended (33
Labor regulations (29 CFR part 3, Contrac- U.S.C. 1251 et seq.). Violations shall be re-
tors and Subcontractors on Public Building ported to NASA and the Regional Office of
or Public Work Financed in Whole or in Part the Environmental Protection Agency
by Loans or Grants from the United (EPA).
States). The Act provides that each recipi- 6. Byrd Anti-Lobbying Amendment (31
ent or subrecipient shall be prohibited from U.S.C. 1352)Contractors who apply or bid
inducing, by any means, any person em- for an award of $100,000 or more shall file the
ployed in the construction, completion, or required certification. Each tier certifies to

repair of public work, to give up any part of the tier above that it will not and has not
the compensation to which he is otherwise used Federal appropriated funds to pay any
360
person or organization for influencing or at- 1275.105 Conduct of the OIG investigation of
tempting to influence an officer or employee research misconduct.
of any agency, a member of Congress, officer 1275.106 Administrative actions.
or employee of Congress, or an employee of a 1275.107 Adjudication.
member of Congress in connection with ob- 1275.108 Appeals.
taining any Federal contract, grant or any APPENDIX: NASA RESEARCH DISCIPLINES AND
other award covered by 31 U.S.C. 1352. Each RESPECTIVE ASSOCIATED ENTERPRISES
tier shall also disclose any lobbying with
non-Federal funds that takes place in con- AUTHORITY: Pub. L. 85568, 72 Stat. 426, 42
nection with obtaining any Federal award. U.S.C. 2473.
Such disclosures are forwarded from tier to SOURCE: 69 FR 42103, July 14, 2004, unless
tier up to the Recipient. otherwise noted.
7. Debarment and Suspension (E.O.s 12549
and 12689)No contract shall be made to par- 1275.100 Purpose and scope.
ties listed on the General Services Adminis-
trations List of Parties Excluded from Fed- (a) The purpose of this part is to es-
eral Procurement or Nonprocurement Pro- tablish procedures to be used by the
grams in accordance with E.O.s 12549 and National Aeronautics and Space Ad-
12689, Debarment and Suspension. This list ministration (NASA) for the handling
contains the names of parties debarred, sus- of allegations of research misconduct.
pended, or otherwise excluded by agencies, Specifically, the procedures contained
and contractors declared ineligible under
statutory or regulatory authority other than
in this part are designed to result in:
E.O. 12549. Contractors with awards that ex- (1) Findings as to whether research
ceed the simplified acquisition threshold misconduct by a person or institution
shall provide the required certification re- has occurred in proposing, performing,
garding its exclusion status and that of its reviewing, or reporting results from re-
principal employees. search activities funded or supported
EXHIBIT B TO PART 1274REPORTS
by NASA; and
(2) Recommendations on appropriate
1. Property Reporting. administrative actions that may be un-
As provided in paragraph (f) of 1274.923, an dertaken by NASA in response to re-
annual NASA Form (NF) 1018, NASA Prop- search misconduct determined to have
erty in the Custody of Contractors, will be occurred.
submitted by October 31 of each year. Nega- (b) This part applies to all research
tive annual reports are required. A final re- wholly or partially funded or supported
port is required within 30 days after expira- by NASA. This includes any research
tion of the agreement (also see paragraph (g)
conducted by a NASA installation and
of 1274.923 for electronic submission guid-
ance). any research conducted by a public or
private entity receiving NASA funds or
2. Disclosure of Lobbying Activities (SFLLL) using NASA facilities, equipment or
(a) Agreement Officers shall provide one personnel, under a contract, grant, co-
copy of each SF LLL furnished under 14 CFR operative agreement, Space Act agree-
1271.110 to the Procurement Officer for trans- ment, or other transaction with NASA.
mittal to the Director, Analysis Division (c) NASA shall make a determination
(Code HC). of research misconduct only after care-
(b) Suspected violations of the statutory ful inquiry and investigation by an
prohibitions imple mented by 14 CFR part
1271 shall be reported to the Director, Con-
awardee institution, another Federal
tract Management Division (Code HK). agency, or NASA, and an adjudication
conducted by NASA. NASA shall afford
the accused individual or institution a
FR 40066, July 23, 2007]
chance to comment on the investiga-
tion report and a chance to appeal the
PART 1275RESEARCH decision resulting from the adjudica-
MISCONDUCT tion. In structuring procedures in indi-
vidual cases, NASA may take into ac-
Sec. count procedures already followed by
1275.100 Purpose and scope. other entities investigating the same
1275.102 OIG handling of research mis- allegation of research misconduct. In-
conduct matters. vestigation of allegations which, if

1275.103 Role of awardee institutions. true, would constitute criminal of-
1275.104 Conduct of Inquiry by the OIG. fenses, are not covered by this part.
361
1275.101 14 CFR Ch. V (1116 Edition)
(d) A determination that research search (ground based and micro-

misconduct has occurred must be ac- gravity), including research involving
companied by recommendations on ap- human subjects or animals.
propriate administrative actions. How- (b) Fabrication means making up data
ever, the administrative actions them- or results and recording or reporting
selves may be imposed only after fur- them.
ther procedures described in applicable (c) Falsification means manipulating
Federal acquisition and NASA regula-
research materials, equipment, or proc-
tions concerning contracts, cooperative
esses, or changing or omitting data or
agreements, grants, Space Act agree-
ments, or other transactions, depend- results such that the research is not
ing on the type of agreement used to accurately represented in the research
fund or support the research in ques- record.
tion. Administrative actions involving (d) Plagiarism means the appropria-
NASA civil service employees may be tion of another persons ideas, proc-
imposed only in compliance with all esses, results, or words without giving
relevant Federal laws and policies. appropriate credit.
(e) Allegations of research mis- (e) Awardee institution means any
conduct concerning NASA research public or private entity or organization
may be transmitted to NASA in one of (including a Federal, State, or local
the following ways: By mail address to agency) that is a party to a NASA con-
the Office of Inspector General (OIG), tract, grant, cooperative agreement,
National Aeronautics and Space Ad- Space Act agreement, or to any other
ministration, 300 E Street SW., Wash- transaction with NASA, whose purpose
ington, DC 205460001 via the NASA OIG
includes the conduct of research.
Hotline at 18004249183, or cyber hot-
line at http://oig.nasa.gov/hotline.html. (f) NASA research means research
(f) To the extent permitted by law, wholly or partially funded or supported
the identity of the Complainant, wit- by NASA involving an awardee institu-
nesses, or other sources of information tion or a NASA installation. This defi-
who wish to remain anonymous shall nition includes research wholly or par-
be kept confidential. To the extent per- tially funded by NASA appropriated
mitted by law, NASA shall protect the funds, or research involving the use of
research misconduct inquiry, inves- NASA facilities, equipment, or per-
tigation, adjudication, and appeal sonnel.
records maintained by NASA as ex- (g) NASA research discipline means
empt from mandatory disclosure under one of the following areas of research
5 U.S.C. 552, the Freedom of Informa- that together comprise NASAs re-
tion Act, as amended, and 5 U.S.C. 552a, search mission for aeronautics, space
the Privacy Act, as amended. science, Earth science, biomedicine, bi-
[69 FR 42103, July 14, 2004, as amended at 77 ology, engineering and physical
FR 44440, July 30, 2012] sciences (physics and chemistry).
(h) Inquiry means the assessment of
1275.101 Definitions. whether an allegation of research mis-
(a) Research misconduct means fab- conduct has substance and warrants an
rication, falsification, or plagiarism in investigation.
proposing, performing, or reviewing re- (i) Investigation means the formal de-
search, or in reporting research results. velopment of a factual record and the
Research misconduct does not include examination of that record leading to
honest error or differences of opinion. recommended findings on whether re-
Research as used in this part includes
search misconduct has occurred, and if
all basic and applied research as de-
the recommended findings are that
fined in OMB Circular A11 in all fields
of science, engineering, and mathe- such conduct has occurred, to include
matics, including, but not limited to, recommendations on appropriate ad-
research in space and Earth sciences, ministrative actions.
(j) Complainant is the individual
economics, education, linguistics, med-

icine, psychology, social sciences, sta- bringing an allegation of research mis-
tistics, and biological and physical re- conduct related to NASA research.
362
(k) Respondent is the individual or in- (1) Defer its inquiry or investigation
stitution who is the subject of an alle- pending review of the results of an in-
gation of research misconduct related quiry or investigation conducted at the
to NASA research. awardee institution or at the Federal
(l) Adjudication means the formal pro- agency (referred to for purposes of this
cedure for reviewing and evaluating part as external investigations) deter-
the investigation report and the ac- mined to be the lead investigative or-
companying evidentiary record and for ganization for the case; or
determining whether to accept the rec- (2) Commence its own inquiry or in-
ommended findings and any rec- vestigation.
ommendations for administrative ac- (b) The OIG must inform the NASA
tions resulting from the investigation. Office of the Chief Scientist of all alle-
(m) NASA Adjudication Official is gations that meet the definition of re-
the NASA Associate Administrator of a search misconduct received by the OIG
Mission Directorate, Chief Tech- and of the determinations of the OIG
nologist, or Chief Engineer, depending required by 1275.101. The NASA Office
on the research area involved in the of the Chief Scientist shall notify the
misconduct allegation (as described in NASA Office of the Chief Engineer or
the list of NASA research disciplines the NASA Office of the Chief Tech-
and their associated directorates con- nologist when the research is either en-
tained in the Appendix to this part). gineering or technology research.
(n) Appeal means the formal proce- (c) The OIG should defer its inquiry
dure initiated at the request of the Re- or investigation pending review of the
spondent for review of a determination results of an external investigation
resulting from the adjudication and for whenever possible. Nevertheless, the
affirming, overturning, or modifying it. OIG retains the right to proceed at any
(o) NASA Appeals Official is the NASA time with a NASA inquiry or investiga-
Deputy Administrator or other official tion. Circumstances in which the OIG
designated by the NASA Adminis- may elect not to defer its inquiry or in-
trator. vestigation include, but are not limited
to, the following:
[69 FR 42103, July 14, 2004, as amended at 77 (1) When the OIG determines that the
FR 44441, July 30, 2012] awardee institution is not prepared to
handle the allegation in a manner con-
1275.102 OIG handling of research sistent with this part;
misconduct matters. (2) When the OIG determines that
(a) When an allegation is made to the NASA involvement is needed to protect
OIG, rather than to the awardee insti- the public interest, including public
tution, the OIG shall determine wheth- health and safety;
er the allegation concerns NASA re- (3) When the OIG determines that the
search and whether the allegation, if allegation involves an awardee institu-
true, falls within the definition of re- tion of sufficiently small size that it
search misconduct in 1275.101(a). In- cannot reasonably conduct the inves-
vestigation of allegations which, if tigation itself;
true, would constitute criminal of- (4) When the OIG determines that a
fenses, are not covered by this part. If NASA program or project could be
these criteria are met and the research jeopardized by the occurrence of re-
in question is being conducted by search misconduct; or
NASA researchers, the OIG shall pro- (5) When the OIG determines that
ceed in accordance with 1275.104. If the any of the notifications or information
research in question is being conducted required to be given to the OIG by the
at an awardee institution, another Fed- awardee institution pursuant to
eral agency, or is a collaboration be- 1275.103(b) requires NASA to cease its
tween NASA researchers and co-inves- deferral to the awardee institutions
tigators at either academia or indus- procedures and to conduct its own in-
try, the OIG must refer the allegation quiry or investigation.
that meets the definition of research (d) A copy of the investigation re-
misconduct to the entities involved port, evidentiary record, and final de-
and determine whether to termination resulting from an external
363
1275.103 14 CFR Ch. V (1116 Edition)
investigation must be transmitted to funding can be deferred by the program

the OIG for review. The OIG shall de- until the completion of the inquiry or
termine whether to recommend to the investigation.
NASA Adjudication Official, or to the (g) If, during the course of an OIG
lead investigative organization in cases conducted inquiry or investigation, it
that involve multiple institutions, ac- appears that immediate administrative
ceptance of the investigation report action, as described in 1275.106, is nec-
and final determination in whole or in essary to protect public health or safe-
part. The OIGs decision must be made ty, Federal resources or interests, or
within 45 days of receipt of the inves- the interests of those involved in the
tigation report and evidentiary record. inquiry or investigation, the OIG shall
This period of time may be extended by inform the NASA sponsor for the re-
the OIG for good cause. The OIG shall search and the NASA Office of the
make this decision based on the OIGs Chief Scientist.
assessment of the completeness of the
investigation report, and the OIGs as- 1275.103 Role of awardee institu-
sessment of whether the investigating tions.
entity followed reasonable procedures, (a) The awardee institutions have the
including whether the Respondent had primary responsibility for prevention
an adequate opportunity to comment and detection of research misconduct
on the investigation report and wheth- and for the inquiry, investigation, and
er these comments were given due con- adjudication of research misconduct al-
sideration. If the OIG decides to rec- leged to have occurred in association
ommend acceptance of the results of with their own institutions, although
the external investigation, in whole or NASA has ultimate oversight author-
in part, the OIG shall transmit a copy ity for NASA research.
of the final determination, the inves- (b) When an allegation of research
tigation report, and the evidentiary misconduct related to NASA research
record to the NASA Adjudication Offi- is made directly to the OIG and the
cial, and to the NASA Office of the OIG defers to the awardee institutions
Chief Scientist. When the OIG decides inquiry or investigation, or when an al-
not to recommend acceptance, the OIG legation of research misconduct re-
must initiate its own investigation. lated to NASA research is made di-
(e) In the case of an investigation rectly to the awardee institution which
conducted by the OIG, the OIG shall commences an inquiry or investiga-
transmit copies of the investigation re- tion, the awardee institution is re-
port, including the Respondents writ- quired to:
ten comments (if any), the evidentiary (1) Notify the OIG if an inquiry sup-
record and its recommendations, to the ports a formal investigation as soon as
institution, to the NASA Adjudication this is determined.
Official and to the NASA Office of the (2) Keep the OIG informed during
Chief Scientist. such an investigation.
(f) Upon learning of alleged research (3) Notify the OIG immediately
misconduct, the OIG shall identify po- (i) If public health or safety is at
tentially implicated awards or pro- risk;
posals and, when appropriate, shall en- (ii) If Federal resources, reputation,
sure that program, grant, or con- or other interests need protecting;
tracting officers handling them are in- (iii) If research activities should be
formed. Neither a suspicion nor allega- suspended;
tion of research misconduct, nor a (iv) If there is reasonable indication
pending inquiry or investigation, shall of possible violations of civil or crimi-
normally delay review of proposals. nal law;
Subject to paragraph (g) of this sec- (v) If Federal action is needed to pro-
tion, reviewers or panelists shall not be tect the interests of those involved in
informed of allegations or of ongoing the investigation; or
inquiries or investigations in order to (vi) If the research community or the
avoid influencing reviews. In the event public should be informed.

that an application receives a fundable (4) Provide the OIG with a copy of
rating or ranking by a review panel, the investigation report, including the
364
recommendations made to the awardee the OIG shall determine whether the
institutions adjudication official and matter should be referred to the De-
the Respondents written comments (if partment of Justice.
any), along with a copy of the evi- (d) When a criminal investigation by
dentiary record. the Department of Justice or another
(5) Provide the OIG with the awardee Federal agency is underway or under
institutions final determination, in- active consideration, the OIG shall de-
cluding any corrective actions taken or termine what information, if any, may
planned. be disclosed to the Respondent or to
(c) If an awardee institution wishes NASA employees.
the OIG to defer its own inquiry or in- (e) To the extent possible, the iden-
vestigation, the awardee institution tity of sources who wish to remain
shall complete any inquiry and decide anonymous shall be kept confidential.
whether an investigation is warranted To the extent allowed by law, docu-
within 60 days. It should similarly ments and files maintained by the OIG
complete any investigation, adjudica- during the course of an inquiry or in-
tion, or other procedure necessary to vestigation of misconduct shall be
produce a final determination, within treated as investigative files exempt
an additional 180 days. If completion of from mandatory public disclosure upon
the process is delayed, but the awardee request under the Freedom of Informa-
institution wishes NASAs deferral of tion Act.
its own procedures to continue, NASA (f) When the OIG proceeds with its
may require submission of periodic sta- own inquiry, it is responsible for ensur-
tus reports. ing that the inquiry is completed with-
(d) Each awardee institution must in 60 days after it is commenced. The
maintain and effectively communicate OIG may extend this period of time for
to its staff, appropriate policies and good cause.
procedures relating to research mis- (g) On the basis of what the OIG
conduct, including the requirements on learns from an inquiry, and in con-
when and how to notify NASA. sultation as appropriate with other
1275.104 Conduct of Inquiry by the NASA offices, the OIG shall decide
OIG. whether a formal investigation is war-
ranted.
(a) When an awardee institution or
another Federal agency has promptly 1275.105 Conduct of the OIG inves-
initiated its own investigation, the OIG tigation of research misconduct.
may defer its inquiry or investigation
(a) The OIG shall make every reason-
until it receives the results of that ex-
able effort to complete a NASA re-
ternal investigation. When the OIG
search misconduct investigation and
does not receive the results within a
issue a report within 120 days after ini-
reasonable time, the OIG shall ordi-
tiating the investigation. The OIG may
narily proceed with its own investiga-
extend this period of time for good
tion.
cause.
(b) When the OIG decides to initiate
a NASA investigation, the OIG must (b) A NASA investigation may in-
give prompt written notice to the indi- clude:
vidual or institution to be inves- (1) Review of award files, reports, and
tigated, unless notice would prejudice other documents readily available at
the investigation or unless a criminal NASA or in the public domain;
investigation is underway or under ac- (2) Review of procedures or methods
tive consideration. If notice is delayed, and inspection of laboratory materials,
it must be given as soon as it will no specimens, and records at awardee in-
longer prejudice the investigation or stitutions;
contravene requirements of law or Fed- (3) Interviews with parties or wit-
eral law-enforcement policies. nesses;
(c) When alleged misconduct may in- (4) Review of any documents or other
volve a crime, the OIG shall determine evidence provided by or properly ob-
whether any criminal investigation is tainable from parties, witnesses, or
already pending or projected. If not, other sources;
365
1275.106 14 CFR Ch. V (1116 Edition)
(5) Cooperation with other Federal report and adopted by the adjudication
agencies; and process. They are not exhaustive, and
(6) Opportunity for the Respondent to are in addition to any administrative
be heard. actions necessary to correct the re-
(c) The OIG may invite outside con- search record. The administrative ac-
sultants or experts to participate in a tions range from minimal restrictions
NASA investigation. (Group I Actions) to severe restrictions
(d) During the course of the inves- (Group III Actions), and do not include
tigation, the OIG shall provide a draft possible criminal sanctions.
of the investigation report to the Re- (1) Group I Actions.
spondent, who shall be invited to sub- (i) Send a letter of reprimand to the
mit comments. The Respondent must individual or institution.
submit any comments within 20 days of (ii) Require as a condition of an
receipt of the draft investigation re- award that for a specified period of
port. This period of time may be ex- time an individual, department, or in-
tended by the OIG for good cause. Any stitution obtain special prior approval
comments submitted by the Respond- of particular activities from NASA.
ent shall receive full consideration be- (iii) Require for a specified period of
fore the investigation report is made time that an institutional official
final. other than those guilty of research
(e) At the end of the investigation misconduct certify the accuracy of re-
proceedings, an investigation report ports generated under an award or pro-
must be prepared that shall include vide assurance of compliance with par-
recommended findings as to whether ticular policies, regulations, guide-
research misconduct has occurred. A lines, or special terms and conditions.
recommended finding of research mis- (2) Group II Actions.
conduct requires that: (i) Restrict for a specified period of
(1) There be a significant departure
time designated activities or expendi-
from accepted practices of the relevant
tures under an active award.
research community for maintaining
(ii) Require for a specified period of
the integrity of the research record;
time special reviews of all requests for
(2) The research misconduct be com-
funding from an affected individual, de-
mitted intentionally, knowingly, or in
partment, or institution to ensure that
reckless disregard of accepted prac-
steps have been taken to prevent rep-
tices; and
etition of the research misconduct.
(3) The allegation be proven by a pre-
ponderance of evidence. (3) Group III Actions.
(f) The investigation report must also (i) Immediately suspend or terminate
be transmitted with the recommenda- an active award.
tions for administrative action, when (ii) Debar or suspend an individual,
recommended findings of research mis- department, or institution from par-
conduct are made. Section 1275.106 lists ticipation in NASA programs for a
possible recommended administrative specified period of time.
actions and considerations for use in (iii) Prohibit participation of an indi-
determining appropriate recommenda- vidual as a NASA reviewer, advisor, or
tions. consultant for a specified period of
(g) NASA OIG may elect to proceed time.
with its administrative investigation (b) In deciding what actions are ap-
processes in lieu of a research mis- propriate when research misconduct is
conduct investigation under this part found, NASA officials should consider
when the allegation is against a civil the seriousness of the misconduct, in-
service employee (an intramural re- cluding, but not limited to:
searcher). (i) The degree to which the mis-
conduct was knowing, intentional, or
1275.106 Administrative actions. reckless;
(a) Listed in paragraphs (a)(1) (ii) Whether the misconduct was an
through (a)(3) of this section are pos- isolated event or part of a pattern;
sible administrative actions that may (iii) Whether the misconduct had a
be recommended by the investigation significant impact on the research
366
National Aeronautics and Space Admin. Pt. 1275, App.
record, research subjects, or other re- period, the decision becomes the final
searchers, institutions, or the public Agency action insofar as the findings
welfare. are concerned.
(b) The NASA Appeals Official shall
1275.107 Adjudication. inform the Respondent of a final deter-
(a) The NASA Adjudication Official mination within 30 days after receiving
must review and evaluate the inves- the appeal. The NASA Appeals Official
tigation report and the evidentiary may extend this period of time for good
record required to be transmitted pur- cause. The final determination may af-
suant to 1275.102(d) and (e). The NASA firm, overturn, or modify the decision
Adjudication Official may initiate fur- of the NASA Adjudication Official and
ther investigations, which may include shall constitute the final Agency ac-
affording the Respondent another option insofar as the findings are con-
portunity for comment, before issuing cerned. The final determination shall
a decision regarding the case. The also be transmitted to the NASA Office
NASA Adjudication Official may also of the Chief Scientist and the OIG.
return the investigation report to the (c) Once final Agency action has been
OIG with a request for further fact- taken pursuant to paragraphs (a) or (b)
finding or analysis. of this section, the recommendations
(b) Based on a preponderance of the for administrative action shall be sent
evidence, the NASA Adjudication Offi- to the relevant NASA components for
cial shall issue a decision setting forth further proceedings in accordance with
the Agencys findings as to whether re- applicable laws and regulations.
search misconduct has occurred and
APPENDIX TO PART 1275RESEARCH
recommending appropriate administra-
MISCONDUCT
tive actions that may be undertaken
by NASA in response to research mis- NASA RESEARCH DISCIPLINES AND
conduct determined to have occurred. RESPECTIVE ASSOCIATED DIRECTORATES
The NASA Adjudication Official shall 1. Aeronautics ResearchAeronautics Re-
render a decision within 30 days after search Mission Directorate
receiving the investigation report and 2. Space Science ResearchScience Mission
evidentiary record, or after completion Directorate
of any further proceedings. The NASA 3. Earth Science Research and Applications
Adjudication Official may extend this Science Mission Directorate
period of time for good cause. 4. Biomedical ResearchHuman Exploration
and Operations Mission Directorate
(c) The decision shall be sent to the 5. Fundamental BiologyHuman Explo-
Respondent, to the Respondents insti- ration and Operations Mission Directorate
tution, and, if appropriate, to the Com- 6. Fundamental PhysicsHuman Explo-
plainant. If the decision confirms the ration and Operations Mission Directorate
alleged research misconduct, it must 7. Research for Exploration Systems not cov-
include instructions on how to pursue ered by the disciplines aboveHuman Ex-
an appeal to the NASA Appeals Offi- ploration and Operations Mission Direc-
cial. The decision shall also be trans- torate
8. Research for the International Space Sta-
mitted to the NASA Office of the Chief tion not covered by the disciplines above
Scientist and the OIG. Human Exploration and Operations Mis-
sion Directorate
1275.108 Appeals. 9. Other engineering research not covered by
(a) The Respondent may appeal the disciplines aboveNASA Chief Engineer
decision of the NASA Adjudication Of- 10. Other technology research not covered by
disciplines aboveNASA Chief Tech-
ficial by notifying the NASA Appeals
nologist
Official in writing of the grounds for
appeal within 30 days after Respond- [77 FR 44441, July 30, 2012]
ents receipt of the decision. If the de-
cision is not appealed within the 30-day PARTS 12761299 [RESERVED]
367
CHAPTER VIAIR TRANSPORTATION SYSTEM
STABILIZATION
SUBCHAPTER AOFFICE OF MANAGEMENT AND BUDGET
Part Page
1300 Aviation disaster reliefAir Carrier Guarantee
Loan Program ...................................................... 371
SUBCHAPTER BAIR TRANSPORTATION STABILIZATION BOARD
1310 Air Carrier Guarantee Loan Program administra-

tive regulations and amendment or waiver of a
term or condition of guaranteed loan .................. 379
13111399 [Reserved]
369
SUBCHAPTER AOFFICE OF MANAGEMENT AND BUDGET
PART 1300AVIATION DISASTER cluding, but not limited to care, preser-

RELIEFAIR CARRIER GUAR- vation and maintenance of collateral),
monitoring, collecting, and liquidating
ANTEE LOAN PROGRAM a loan and security.
(c) Agent means that lender author-
Subpart AGeneral
ized to take such actions, exercise such
Sec. powers, and perform such duties on be-
1300.1 Purpose. half and in representation of all lenders
1300.2 Definitions. party to a guarantee of a single loan,
1300.3 Supplementary regulations of the Air as is required by, or necessarily inci-
Transportation Stabilization Board.
dental to, the terms and conditions of
Subpart BMinimum Requirements and the guarantee.
Application Procedures (d) Air carrier means an air carrier as
defined in 49 U.S.C. 40102.
1300.10 General standard for Board issuance (e) Applicant means one or more air
of Federal credit instruments. carriers applying for a Federal credit
1300.11 Eligible borrower. instrument issued by the Board under
1300.12 Eligible lender.
the program.
1300.13 Guarantee amount.
1300.14 Guarantee percentage. (f) The Board, for purposes of any
1300.15 Loan terms. operational and decisionmaking func-
1300.16 Application process. tions in connection with individual
1300.17 Application evaluation. loan guarantees, means the voting
1300.18 Issuance of the guarantee. members of the Air Transportation
1300.19 Assignment or transfer of loans. Stabilization Board established under
1300.20 Lender responsibilities.
Section 102 of the Act. The voting
1300.21 Guarantee.
1300.22 Termination of obligations. members of the Board are the Chair-
1300.23 Participation in guaranteed loans. man of the Board of Governors of the
Federal Reserve System (who is the
AUTHORITY: Title I of Pub. L. 10742, 115
Stat. 230 (49 U.S.C. 40101 note). Chairman of the Board), the Secretary
of the Treasury and the Secretary of
SOURCE: 66 FR 52272, Oct. 12, 2001, unless Transportation, or their designees. The
otherwise noted.
Comptroller General, who is a non-
voting member, will not participate in
Subpart AGeneral the review, operations, or deliberations
of the Board in connection with indi-
1300.1 Purpose.
vidual loan guarantees, or otherwise
This part is issued by the Office of participate in the Boards exercise of
Management and Budget, (OMB) pursu- any executive power, but may provide
ant to Title I of the Air Transportation such audit, evaluation and other sup-
Safety and System Stabilization Act, port to the Board as the Board may re-
Public Law 10742, 115 Stat. 230 (Act). quest, consistent with applicable audit-
Specifically, Section 102(c)(2)(B) di- ing standards.
rects OMB to issue regulations setting (g) Borrower means an Obligor, as
forth procedures for application and defined in Section 102(a)(4) of the Act,
minimum requirements for the and includes an air carrier that is pri-
issuance of Federal credit instruments marily liable for payment of the prin-
under section 101(a)(1) of the Act. cipal of and interest on a Federal cred-
it instrument, which party may be a
1300.2 Definitions. corporation, partnership, joint venture,
(a) Act means the Air Transportation trust, or governmental entity, agency,
Safety and System Stabilization Act, or instrumentality.
Public Law 10742, 115 Stat. 230 (49 (h) Federal credit instrument, as de-
U.S.C. 40101 note). fined in Section 107(2) of the Act,
(b) Administer, administering and ad- means any guarantee or other pledge
ministration, mean the lenders actions by the Board issued under the program
in making, disbursing, servicing (in- to pledge the full faith and credit of
371
1300.3 14 CFR Ch. VI (1116 Edition)
the United States to pay all or part of 1300.3 Supplementary regulations of

any of the principal of and interest on the Air Transportation Stabilization
a loan issued by a borrower and funded Board.
by a lender. (a) The regulations in this part are
(i) Financial obligation, as defined in supplemented by the regulations of the
Section 102(a)(2) of the Act, means any Air Transportation Stabilization Board
note, bond, debenture, or other debt ob- in part 1310 of this chapter in accord-
ligation issued by a borrower in con- ance with section 102(c)(2)(B) of the
nection with financing under the pro- Act.
gram. (b) This part and part 1310 of this
(j) Guarantee means the written chapter jointly govern the application
agreement between the Board and one procedures and the requirements for
or more lenders, pursuant to which the issuance of Federal credit instruments
Federal government guarantees repay- under section 101(a)(1) of the Act.
ment of a specified percentage of the
principal of and/or interest on the loan. [67 FR 17258, Apr. 9, 2002]
Unless otherwise specified, guarantee
includes any other pledge issued under Subpart BMinimum Require-
a Federal credit instrument. ments and Application Proce-
(k) Lender means any non-Federal dures
qualified institutional buyer, as de-
fined in Section 102(a)(3) of the Act, 1300.10 General standards for Board
that funds a financial obligation sub- issuance of Federal credit instru-
ject to a guarantee issued by the ments.
Board. With respect to a guarantee of a (a) In accordance with section
single loan to which more than one 102(c)(1) of the Act, the Board may
lender is a party, the term lender enter into agreements with one or
means agent. more borrowers to issue Federal credit
(l) Loan, unless otherwise specified, instruments only if the Board deter-
includes any financial obligation (i.e., mines, in its discretion and in accord-
note, bond, debenture, or other debt ob- ance with the minimum requirements
ligation) issued by a borrower. set forth in this part, that
(m) Loan documents mean the loan (1) The borrower is an air carrier for
agreement and all other instruments, which credit is not reasonably avail-
and all documentation between the able at the time of the transaction;
lender and the borrower evidencing the (2) The intended obligation by the
making, disbursing, securing, col- borrower is prudently incurred; and
lecting, or otherwise administering of (3) Such agreement is a necessary
the loan. (References to loan docu- part of maintaining a safe, efficient,
ments also include comparable agree- and viable commercial aviation system
ments, instruments, and documenta- in the United States.
tion for other financial obligations for (b) In accordance with section
which a guarantee is requested or 102(c)(2)(A) of the Act, the Board shall
issued.) enter into an agreement to issue a Fed-
(n) Program means the air carrier eral credit instrument in such form
guarantee loan program established by and on such terms and conditions and
section 101(a)(1) and the related provi- subject to such covenants, representa-
sions of Title I of the Act. tions, warranties, and requirements
(o) Security means all property, real (including requirements for audits) as
or personal, required by the provisions the Board determines are appropriate
of the guarantee or by the loan docu- for satisfying the requirements of this
ments to secure repayment of any in- part and any supplemental require-
debtedness of the borrower under the ments issued by the Board under sec-
loan documents or guarantee. tion 102(c)(2)(B) of the Act.
(c) In accordance with section

102(d)(1) of the Act, in entering into
372
Air Trans. System Stabilization 1300.13
agreements to issue Federal credit in- ceptable to the Board or by the Comp-
struments, the Board shall, to the ex- troller General;
tent feasible and practicable and in ac- (5) In conducting audits and reviews
cordance with the requirements in this pursuant to paragraphs (a) (3) and (4) of
part, ensure that the Federal Govern- this section, it has agreed to provide
ment is compensated for the risk as- access to the officers and employees,
sumed in making guarantees. books, records, accounts, documents,
(d) In accordance with Section correspondence, and other information
102(d)(2) of the Act, the Board is au- of the borrower, its subsidiaries, affili-
thorized to enter into contracts under ates, financial advisers, consultants,
which the Federal Government, contin- and independent certified accountants
gent on the financial success of the air that the Board or the Comptroller Gen-
carrier, would participate in the gains eral consider necessary.
of the air carrier or its security holders (b) Status as an eligible borrower
through the use of such instruments as under this section does not ensure that
warrants, stock options, common or the Board will issue the guarantee
preferred stock, or other appropriate sought or preclude the Board from de-
equity instruments, except that the clining to issue a guarantee.
Board shall not accept an equity inter- 1300.12 Eligible lender.
est in an air carrier that gives the Fed-
eral Government voting rights. (a) A lender eligible to receive a Fed-
(e) In accordance with Section 104(a) eral credit instrument approved by the
of the Act, the Board may only issue a Board must be a non-Federal qualified
Federal credit instrument to an air institutional buyer as defined in Sec-
carrier after the air carrier enters into tion 102(a)(3) of the Act.
a legally binding agreement with the (b) If more than one institution par-
Board regarding certain employee com- ticipates as a lender in a single loan for
pensation. which a Federal credit instrument is
requested, each one of the institutions
1300.11 Eligible borrower. on the application must meet the re-
quirements to be an eligible lender. An
(a) An eligible borrower must be an application for a guarantee of a single
air carrier that can demonstrate, to loan, for which there is more than one
the satisfaction of the Board, that: lender, must identify one of the insti-
(1) It has incurred (or is incurring) tutions to act as agent for all. This
losses as a result of the terrorist at- agent is responsible for administering
tacks on the United States that oc- the loan and shall have those duties
curred on September 11, 2001, which and responsibilities required of an
may include losses due to the unavail- agent, as set forth in the guarantee.
ability of credit or the decrease in de- (c) Each lender, irrespective of any
mand for that air carriers services; indemnities or other agreements be-
(2) It is not under bankruptcy protec- tween the lenders and the agent, shall
tion or receivership when the applica- be bound by all actions, and/or failures
tion is submitted or when the Board to act, of the agent. The Board shall be
issues the guarantee, unless the guar- entitled to rely upon such actions and/
antee and the underlying financial ob- or failures to act of the agent as bind-
ligation is to be part of a bankruptcy ing the lenders.
court-certified reorganization plan; (d) Status as an eligible lender under
(3) It has agreed to permit such au- this section does not assure that the
dits and reviews prior to the issuance Board will issue the guarantee sought,
of a guarantee, as the Board may deem or otherwise preclude the Board from
appropriate, by an independent auditor declining to issue a guarantee.
acceptable to the Board;
(4) It has agreed to permit such au- 1300.13 Guarantee amount.
dits and reviews during the period the (a) Under Section 101(a)(1) of the Act,
loan is outstanding and three years the Board is authorized to enter into
after payment in full of the guaranteed agreements to issue Federal credit in-
loan, as the Board may deem appro- struments that, in the aggregate, do
priate, by an independent auditor ac- not exceed $10 billion.
373
1300.14 14 CFR Ch. VI (1116 Edition)
(b) The loan amount guaranteed to a for review if it is not received by the
single air carrier may not exceed that Board on or before June 28, 2002.
amount that, in the Boards sole dis- (b) Applications shall contain the fol-
cretion, the air carrier (or its suc- lowing:
cessor) needs in order for it to provide (1) A completed Form Application
commercial air services. for Air Carrier Guaranteed Loan;
(2) All loan documents that will be
1300.14 Guarantee percentage. signed by the lender and the borrower,
A guarantee issued by the Board if the application is approved, includ-
must be less than 100 percent of the ing all terms and conditions of, and se-
amount of principal and accrued inter- curity or additional security (if any),
est of the loan guaranteed. to assure the borrowers performance
under, the loan;
1300.15 Loan terms. (3) A certification by the borrower
(a) A loan guaranteed under the pro- that the borrower meets each of the re-
gram shall be due and payable in full quirements of the program as set forth
no later than seven years from the date in the Act, the regulations in this part,
on which the first disbursement of the and any supplemental requirements
loan is made. issued by the Board;
(b) Loans guaranteed under the pro- (4) A certification by the lender that
gram must bear a rate of interest de- the lender meets each of the require-
termined by the Board to be reason- ments of the program as set forth in
able. In determining the reasonable- the Act, the regulations in this part,
ness of an interest rate, the Board shall and any supplemental requirements
consider the percentage of the guar- issued by the Board, and that the lend-
antee, any collateral, other loan terms, er will provide the loan under the
and current average yields on out- terms outlined in the loan documents
standing obligations of the United if the Board approves the requested
States with maturity comparable to guarantee;
the term of the loan guaranteed. The (5) A statement that the borrower is
Board may reject an application to not under bankruptcy protection or re-
guarantee a loan if it determines the ceivership when the application is sub-
interest rate on such loan to be unrea- mitted, unless the guarantee and the
sonable. underlying financial obligation is to be
(c) An eligible lender may assess and part of a bankruptcy court-certified re-
collect from the borrower such other organization plan;
fees and costs associated with the ap- (6) Consolidated financial statements
plication and origination of the loan as of the borrower for the previous five
are reasonable and customary, taking years that have been audited by an
into consideration the amount and independent certified public account-
complexity of the credit. The Board ant, including any associated notes, as
may take such other fees and costs well as any interim financial state-
into consideration when determining ments and associated notes for the cur-
whether to offer a guarantee to the rent fiscal year;
lender. (7) Copies of the financial evaluations
and forecasts concerning the air car-
1300.16 Application process. riers air service operations that were
(a) Applications are to be submitted prepared by or for the air carrier with-
by the borrower. Borrowers may sub- in the three months prior to September
mit applications to the Board any time 11, 2001;
after October 12, 2001 through June 28, (8) The borrowers business plan on
2002. All applications must be received which the loan is based that includes
by the Board no later than 5 p.m. EDT, the following:
June 28, 2002, in the Boards offices. (i) A description of how the loan fits
Borrowers should submit an original within the borrowers business plan,
application and four copies. Applica- the purposes for which the borrower
tions will not be accepted via facsimile will use the loan, and an analysis show-
machine transmission or electronic ing that the loan is prudently incurred.
mail. No application will be accepted If loan funds are to be used to purchase
374
an existing firm (or the substantial as- (11) A description of all security (if
sets of an existing firm), the business any) for the loan, including, as applica-
plan of the combined entity shall con- ble, current appraisals of real and per-
tain a discussion of the way in which sonal property, copies of any appro-
any required regulatory or judicial ap- priate environmental site assessments,
provals will be obtained, including and current personal and corporate fi-
antitrust approval for any proposed ac- nancial statements of any guarantors
quisition; for the same period as required for the
(ii) A discussion of a complete cost borrower. Appraisals of real property
accounting and a range of revenue, op- shall be prepared by State licensed or
erating cost, and credit assumptions; certified appraisers, and be consistent
(iii) A discussion of the financing with the Uniform Standards of Profes-
plan on which the loan is based, show- sional Appraisal Practice, promul-
ing that the operational needs of the gated by the Appraisal Standards
borrower will be met during the term Board of the Appraisal Foundation. Fi-
of the plan; nancial statements of guarantors shall
(iv) An analysis demonstrating that, be prepared by independent certified
at the time of the application, there is public accountants;
(12) If appropriate, a description of
a reasonable assurance that the bor-
the Federal governments ability to
rower will be able to repay the loan ac-
participate, contingent on the finan-
cording to its terms, and a complete
cial success of the borrower, in the
description of the operational and fi-
gains of the borrower or its security
nancial assumptions on which this
holders through the use of such instru-
demonstration is based;
ments as warrants, stock options, com-
(v) A discussion of the borrowers mon or preferred stock, or other appro-
five-year history and five-year projec- priate equity instruments; and
tion for revenue, cash flow, average re- (13) Any other information requested
alized prices, and average realized op- by the Board.
erating costs and a demonstration that (c) The collections of information in
the borrower will be able to continue this section and elsewhere in this part
operations if the requested guarantee that are subject to the Paperwork Re-
is approved; and duction Act (44 U.S.C. 3501 et seq.) have
(vi) If appropriate, a description of a been approved by OMB and assigned
plan to restructure the borrowers obli- control number 03480059. Under the
gations, contracts, and costs. In pre- Paperwork Reduction Act, an agency
paring this description, the borrower may not conduct or sponsor, and a per-
shall jointly develop, with its existing son is not required to respond to, a col-
secured and unsecured creditors, em- lection of information unless it dis-
ployees, or vendors, an agreed-upon plays a currently valid OMB control
plan to restructure the borrowers obli- number.
gations, contracts and costs and incor-
porate this into the business plan sub- 1300.17 Application evaluation.
mitted; (a) Eligibility screening. Applica-
(9) A description of the losses that tions will be reviewed to determine
the borrower incurred (or is incurring) whether the lender and borrower are el-
as a result of the terrorist attacks on igible, the information required under
the United States that occurred on 1300.16(b) is complete, and the pro-
September 11, 2001, including losses due posed loan complies with applicable
to the unavailability of credit on rea- statutes and regulations. The Board
sonable terms or a decrease in demand may at any time reject an application
for the air carriers services; that does not meet these requirements.
(10) An analysis that demonstrates (b) Evaluation criteria. Applications
that the issuance of the guaranteed that are determined to be eligible pur-
loan is a necessary part of maintaining suant to paragraph (a) of this section
a safe, efficient, and viable commercial shall be subject to a substantive review
aviation system in the United States by the Board. In addition to the gen-
and that credit is not reasonably avail- eral standards for Board issuance of
able at the time of the transaction; Federal credit instruments set forth in
375
1300.17 14 CFR Ch. VI (1116 Edition)
1300.10, the Board shall consider the air carrier in a manner that will enable
following evaluation factors: it to repay the loan in accordance with
(1) Reasonable assurance that the its terms and provide commercial air
borrower will be able to repay the loan services on a financially sound basis
by the date specified in the loan docu- after repayment;
ment, which shall be no later than (vi) A demonstration that guaranteed
seven years from the date on which the loan proceeds will be used for a purpose
first disbursement of the loan is made; other than the payment or refinancing
(2) The adequacy of the proposed proof existing debt;
visions to protect the Federal Govern- (vii) A demonstration that the pro-
ment, including sufficiency of any se- posed instruments contain financial
curity provided by the borrower and structures that minimize the Federal
the percentage of guarantee requested; governments risk and cost associated
(3) The ability of the lender to ad- with making loan guarantees. Exam-
minister the loan in full compliance ples include, but are not limited to, re-
with the requisite standard of care. In quests for guarantees that contain the
making this determination, the Board following:
will assess: (A) A maturity period that is less
(i) The lenders level of regulatory than the maximum permitted under
capital, in the case of banking institu- the rules in this part;
tions, or net worth, in the case of other (B) Pledges of collateral;
institutions; (C) Agreements by the borrowers
(ii) Whether the lender possesses the parent or other entities to reimburse
ability to administer the loan, includ- the Federal government for any pay-
ing its experience with loans to air car- ments that the Federal government
riers; and may make under the guarantee;
(iii) Any other matter the Board
(D) A grant to the Federal govern-
deems material to its assessment of the
ment of favorable priority in the event
lender; and
of bankruptcy reflecting other credi-
(4) The ability of the borrower to
tors agreement to subordinate their
demonstrate, to the Boards satisfac-
debts as a condition of the loan guar-
tion, one or more of the following cri-
antee;
teria. The Board shall give preference
(E) Limitation of the borrowers
to applications that satisfy one or
issuance of dividends and/or the bor-
more of these criteria, giving greater
rowers payments to its parent or sub-
preference to those applications that
sidiaries or related companies;
meet the greatest number of these cri-
teria, as follows: (F) Limitation of the borrowers abil-
(i) A demonstration that the air car- ity to incur additional debt, and/or the
rier has presented a plan dem- borrowers ability to incur capital ex-
onstrating that its business plan is fi- penditures, beyond that set forth in the
nancially sound; business and financial plans that the
(ii) A demonstration of greater par- Borrower submitted with the applica-
ticipation in the loan by non-Federal tion;
entities; (G) A demonstration of reasonable li-
(iii) A demonstration of greater par- quidity;
ticipation in the loan by private enti- (H) A demonstration of favorable
ties, as opposed to public non-Federal debt ratios; and
entities; (I) A demonstration that any pro-
(iv) A demonstration that the proceeds raised from private sector financ-
posed instruments would ensure that ing subsequent to disbursement of the
the Federal Government will, contin- federally guaranteed loan be used to
gent on the financial success of the air repay the federally guaranteed loan.
carrier, participate in the gains of the (c) No guarantee will be made if ei-
air carrier and its security holders; ther the borrower or lender has an out-
(v) A demonstration of concessions standing delinquent Federal debt, in-
by the air carriers security holders, cluding tax liabilities, until:

other creditors, or employees that will (1) The delinquent debt has been paid
improve the financial condition of the in full;
376
(2) A negotiated repayment schedule (d) A borrower receiving a loan guar-

is established; or anteed by the Board under this pro-
(3) Other arrangements, satisfactory gram shall pay an annual fee, in an
to the agency responsible for collecting amount and payable as determined by
the debt are made. the Board. At the time that the guar-
(d) Decisions by the Board. The antee is issued, the Board shall ensure
Board shall approve or deny applica- that this annual fee will escalate for
tions received on or before June 28, each year that the loan is outstanding
2002, in a timely manner as such appli- and that such annual escalation re-
cations are received. The Board may flects the borrowers potential ability
limit the amount of a loan guarantee to obtain credit in the private credit
made to initial applicants to ensure markets, in addition to any other fac-
that sufficient funds remain available tors the Board may deem appropriate.
for subsequent applicants. The Board
shall notify the borrower in writing of 1300.19 Assignment or transfer of
the approval or denial of an applica- loans.
tion. Approvals for loan guarantees Neither the loan documents nor the
shall be conditioned upon compliance guarantee of the Board, or any interest
with 1300.18. therein, may be modified, assigned,
conveyed, sold or otherwise transferred
1300.18 Issuance of the guarantee. by the lender, in whole or in part, with-
(a) The Boards decisions to approve out the prior written approval of the
any application for a guarantee under Board.
1300.17 is conditioned upon:
(1) The lender and borrower obtaining 1300.20 Lender responsibilities.
any required regulatory or judicial ap- The lender shall have such obliga-
provals; tions and duties to the Board as are set
(2) Evidence showing, to the Boards forth in the guarantee.
satisfaction, that the lender and bor-
rower are legally authorized to enter 1300.21 Guarantee.
into the loan under the terms and con-
The Board shall adopt a form of guar-
ditions submitted to the Board in the
antee to be used by the Board under
application;
the program. Modifications to the pro-
(3) The Boards receipt of the loan
visions of the form of guarantee must
documents and any related instru-
be approved and adopted by the Board.
ments, in form and substance satisfac-
tory to the Board, and the guarantee, 1300.22 Termination of obligations.
all properly executed by the lender,
borrower, and any other required party The Board shall have such rights to
other than the Board; and terminate the guarantee as are set
(4) No material adverse change in the forth in the guarantee.
borrowers ability to repay the loan or
any of the representations and warran- 1300.23 Participation in guaranteed
loans.
ties made in the application between
the date of the Boards approval and (a) Subject to paragraph (b) of this
the date the guarantee is to be issued. section, a lender may distribute the
(b) The Board may withdraw its ap- risk of a portion of a loan guaranteed
proval of an application and rescind its under the program by sale of participa-
offer of guarantee if the Board deter- tions therein if:
mines that the lender or the borrower (1) Neither the loan note nor the
cannot, or is unwilling to, provide ade- guarantee is assigned, conveyed, sold,
quate documentation and proof of com- or transferred in whole or in part;
pliance with paragraph (a) of this sec- (2) The lender remains solely respon-
tion within the time provided for in the sible for the administration of the
offer. loan; and
(c) Only after receipt of all the docu- (3) The Boards ability to assert any
mentation required by this section, and all defenses available to it under

will the Board sign and deliver the the guarantee and the law is not ad-
guarantee. versely affected.
377
1300.23 14 CFR Ch. VI (1116 Edition)
(b) The following categories of enti- (3) Air Carrier company suppliers or
ties may purchase participations in customers, who are interested in par-
loans guaranteed under the program: ticipating as a means of commencing
(1) Eligible lenders; or solidifying the supplier or customer
(2) Private investment funds and in- relationship with the borrower; or
surance companies that do not usually (4) Any other entity approved by the
invest in commercial loans; Board on a case-by-case basis.
378
SUBCHAPTER BAIR TRANSPORTATION STABILIZATION
BOARD
PART 1310AIR CARRIER GUAR- ignee of the Comptroller General, who

ANTEE LOAN PROGRAM ADMIN- serves as a nonvoting member, shall
not be involved in any of the Boards
ISTRATIVE REGULATIONS AND discussions or deliberations in connec-
AMENDMENT OR WAIVER OF A tion with individual loan guarantee ap-
TERM OR CONDITION OF GUAR- plications.
ANTEED LOAN
1310.3 Authority of the Board.
Sec. Pursuant to the provisions of the
1310.2 Composition of the Board. Act, the Board is authorized to guar-
1310.3 Authority of the Board. antee loans provided to airlines by eli-
1310.4 Offices. gible lenders in accordance with the
1310.5 Meetings and actions of the Board. procedures, rules, and regulations es-
1310.6 Staff. tablished by the Board, to make the de-
1310.7 Communications with the Board. terminations authorized by the Act,
1310.8 Freedom of Information Act.
1310.9 Restrictions on lobbying.
and to take such other actions as nec-
1310.10 Government-wide debarment and essary to carry out its functions speci-
suspension. fied in the Act.
1310.11 Regulations of the Office of Manage-
ment and Budget. 1310.4 Offices.
1310.15 Amendment or Waiver of a term or The principal offices of the Board are
condition of a guaranteed loan.
at 1120 Vermont Avenue, NW., Suite
1310.20 Amendments.
970, Washington, DC 20005.
AUTHORITY: Title I of Pub. L. 10742, 115
Stat. 230 (49 U.S.C. 40101 note). 1310.5 Meetings and actions of the
SOURCE: 67 FR 17259, Apr. 9, 2002, unless Board.
otherwise noted. (a) Place and frequency. The Board
meets, on the call of the Chairman, in
1310.1 Purpose and scope. order to consider matters requiring ac-
This part is issued by the Air Trans- tion by the Board. The time and place
portation Stabilization Board pursuant for any such meeting shall be deter-
to Section 102(c)(2)(B) of the Air Trans- mined by the members of the Board.
portation Safety and System Stabiliza- (b) Quorum and voting. Two voting
tion Act, Public Law 10742, 115 Stat. members of the Board constitute a
230 (Act). This part describes the quorum for the transaction of business.
Boards authorities, organizational All decisions and determinations of the
structure, the rules by which the Board Board shall be made by a majority vote
takes actions, and procedures for pub- of the voting members. All votes on de-
lic access to Board records. terminations of the Board required by
the Act shall be recorded in the min-
1310.2 Composition of the Board. utes. A Board member may request
The Board consists of the Chairman that any vote be recorded according to
of the Board of Governors of the Fed- individual Board members.
eral Reserve System or the designee of (c) Agenda of meetings. As a general
the Chairman, who acts as Chairman of rule, an agenda for each meeting shall
the Board, the Secretary of the Treas- be distributed to members of the Board
ury or the designee of the Secretary, at least 48 hours in advance of the date
the Secretary of Transportation or the of the meeting, together with copies of
designee of the Secretary, and the materials relevant to the agenda items.
Comptroller General of the United (d) Minutes. The Chief Administrative
States or the designee of the Comp- Officer shall keep minutes of each
troller General, who serves as a non- Board meeting and of action taken
voting member. The Comptroller Gen- without a meeting, a draft of which is
eral of the United States or the des- to be distributed to each member of the
379
1310.6 14 CFR Ch. VI (1116 Edition)
Board as soon as practicable after each to be taken by the Board. All delega-
meeting or action. To the extent prac- tions shall be made pursuant to resolu-
ticable, the minutes of a Board meet- tions of the Board and recorded in writ-
ing shall be corrected and approved at ing, whether in the minutes of a meet-
the next meeting of the Board. ing or otherwise. Any action taken
(e) Use of conference call communica- pursuant to delegated authority has
tions equipment. Any member may par- the effect of an action taken by the
ticipate in a meeting of the Board Board.
through the use of conference call,
telephone or similar communications 1310.6 Staff.
equipment, by means of which all per- (a) Executive Director. The Executive
sons participating in the meeting can Director advises and assists the Board
simultaneously speak to and hear each in carrying out its responsibilities
other. Any member so participating in under the Act, provides general direc-
a meeting shall be deemed present for tion with respect to the administration
all purposes, except that the Comp- of the Boards actions, directs the ac-
troller General of the United States or tivities of the staff, and performs such
the designee of the Comptroller Gen- other duties as the Board may require.
eral, who serves as a nonvoting mem- (b) Legal Counsel. The Legal Counsel
ber, shall not participate in any of the provides legal advice relating to the re-
Boards discussions or deliberations in sponsibilities of the Board and per-
connection with individual loan guar- forms such other duties as the Execu-
antee applications. Actions taken by tive Director may require.
the Board at meetings conducted (c) Chief Administrative Officer. The
through the use of such equipment, in- Chief Administrative Officer sends no-
cluding the votes of each member, tice of all meetings, prepares minutes
shall be recorded in the usual manner of all meetings, maintains a complete
in the minutes of the meetings of the record of all votes and actions taken by
Board. the Board, has custody of all records of
(f) Actions between meetings. When, in the Board and performs such other du-
the judgment of the Chairman, it is de- ties as the Executive Director may re-
sirable for the Board to consider action quire.
without holding a meeting, the rel-
evant information and recommenda- 1310.7 Communications with the
tions for action may be transmitted to Board.
the members by the Chief Administra- Communications with the Board
tive Officer and the voting members shall be conducted through the staff of
may communicate their votes to the the Board.
Chairman in writing (including an ac-
tion signed in counterpart by each 1310.8 Freedom of Information Act.
Board member), electronically, or oral- While the Board is not part of the De-
ly (including telephone communica- partment of the Treasury, the Board
tion). Any action taken under this follows the regulations promulgated by
paragraph has the same effect as an ac- the Department of the Treasury at sub-
tion taken at a meeting. Any such ac- part A (Freedom of Information Act)
tion shall be recorded in the minutes. of part 1 (Disclosure of Records) of
If a voting member believes the matter title 31 (Money and Finance: Treas-
should be considered at a meeting, the ury) of the Code of Federal Regula-
member may so notify the Chief Ad- tions (CFR). The procedures of 31 CFR
ministrative Officer and the matter 1.1 through 1.7 shall be followed for re-
will be scheduled for consideration at a questing access to records maintained
meeting. by the Board, and processing such re-
(g) Delegations of authority. The Board quests. Any reference in 31 CFR 1.1
may delegate authority, subject to through 1.7 to the Department of the
such terms and conditions as the Board Treasury, the Department or to a
deems appropriate, to the Executive bureau, shall be construed to refer to
Director, the Legal Counsel, or the the Board. In the event that the regu-
Chief Administrative Officer, to take lations at subpart A of part 1 of title 31
certain actions not required by the Act of the CFR subsequently are amended
380
by the Department of the Treasury, the Restrictions on Lobbying) of title 31

Board will follow those amended regu- (Money and Finance: Treasury) of
lations. The following additional infor- the Code of Federal Regulations (CFR),
mation is provided to implement 31 including the appendices thereto, are
CFR 1.1 through 1.7 with respect to the applicable in connection with any of
Board. the following covered Federal actions:
(a) Public reading room. The public the awarding of any Federal contract,
reading room for the Board is the the making of any Federal grant, the
Treasury Department Library. The Li- making of any Federal loan, the enter-
brary is located in the Main Treasury ing into of any cooperative agreement,
Building, 1500 Pennsylvania Avenue,
and the extension, continuation, re-
NW., Washington, DC 20220. For build-
newal, amendment, or modification of
ing security purposes, visitors are re-
any Federal contract, grant, loan, or
quired to make an appointment by
calling 2026220990. cooperative agreement. The regula-
(b) Requests for records. Initial deter- tions promulgated by the Department
minations under 31 CFR 1.5(h) as to of the Treasury at 31 CFR part 21 also
whether to grant requests for records are applicable to a request for, or re-
of the Board will be made by the Chief ceipt of, any Federal contract, grant,
Administrative Officer or the designate loan or cooperative agreement; and to
of such official. Requests for records a request for, or receipt of, a commit-
should be addressed to: Freedom of In- ment providing for the United States
formation Request, Air Transportation to insure or guarantee a loan. These
Stabilization Board, Assistant Direc- terms are defined in 31 CFR 21.105.
tor, Disclosure Services, Department of (b) In the event that the regulations
the Treasury, 1500 Pennsylvania Ave- at part 21 of title 31 of the CFR subse-
nue, NW., Washington, DC 20220. quently are amended by the Depart-
(c) Administrative appeal of initial de- ment of the Treasury, the Board will
termination to deny records. (1) Appellate follow those amended regulations.
determinations under 31 CFR 1.5(i)
with respect to records of the Board 1310.10 Governmentwide debarment
will be made by the Executive Direc- and suspension.
tor, or the delegate of such official.
While the Board is not part of the De-
(2) Appellate determinations with re-
spect to requests for expedited proc- partment of the Treasury, the regula-
essing shall be made by the Executive tions promulgated by the Department
Director or the delegate of such offi- of the Treasury at subpart A (Gen-
cial. eral), subpart B (Effect of Action),
(3) Appeals should be addressed to: subpart C (Debarment), subpart D
Freedom of Information Appeal, Air (Suspension), and subpart E (Re-
Transportation Stabilization Board, sponsibilities of GSA, Agency and Par-
Assistant Director, Disclosure Serv- ticipants) of part 19 (Government-
ices, Department of the Treasury, 1500 wide Debarment and Suspension (Non-
Pennsylvania Avenue, NW., Wash- procurement) and Governmentwide Re-
ington, DC 20220. quirements For Drug-Free Workplace
(d) Delivery of process. Service of proc- (Grants)) of title 31 (Money and Fi-
ess will be received by the Legal Coun- nance: Treasury) of the Code of Fed-
sel of the Board or the delegate of such eral Regulations (CFR) are applicable
official and shall be delivered to the to the Board. Any reference in 31 CFR
following location: Legal Counsel, Air part 19 to the Department of the
Transportation Stabilization Board, Treasury or the Department shall
1120 Vermont Avenue, NW., Suite 970, be construed to refer to the Board. In
Washington, DC 20005. the event that the regulations at sub-
1310.9 Restrictions on lobbying. part A, B, C, D or E of part 19 of title
31 of the CFR subsequently are amend-
(a) While the Board is not part of the ed by the Department of the Treasury,
Department of the Treasury, the regu-

the Board will follow those amended
lations promulgated by the Depart-
regulations.
ment of the Treasury at part 21 (New
381
1310.11 14 CFR Ch. VI (1116 Edition)
1310.11 Regulations of the Office of amount and payable as determined by

Management and Budget. the Board, for each amendment to, or
(a) The regulations in this part sup- waiver of, any term or condition of any
plement the regulations of the Office of guaranteed loan document or related
Management and Budget in part 1300 of instrument approved by the Board.
this chapter in accordance with section [70 FR 10037, Mar. 2, 2005]
102(c)(2)(B) of the Act.
(b) This part and part 1300 of this 1310.20 Amendments.
chapter jointly govern the application
procedures and the requirements for The procedures in this part may be
issuance of Federal credit instruments adopted or amended, or new procedures
under section 101(a)(1) of the Act. may be adopted, only by majority vote
of the Board. Authority to adopt or
1310.15 Amendment or Waiver of a amend these procedures may not be
term or condition of a guaranteed delegated.
loan.
The Board may, in its discretion,
charge the borrower a fee, in an
PARTS 13111399 [RESERVED]
382
FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabet-
ical 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 sepa-
rately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
383
Table of CFR Titles and Chapters
(Revised as of January 1, 2016)
Title 1General Provisions
I Administrative Committee of the Federal Register (Parts 149)

II Office of the Federal Register (Parts 50299)
III Administrative Conference of the United States (Parts 300399)
IV Miscellaneous Agencies (Parts 400500)
Title 2Grants and Agreements
SUBTITLE AOFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR

GRANTS AND AGREEMENTS
I Office of Management and Budget Governmentwide Guidance for
Grants and Agreements (Parts 2199)
II Office of Management and Budget Guidance (Parts 200299)
SUBTITLE BFEDERAL AGENCY REGULATIONS FOR GRANTS AND
AGREEMENTS
III Department of Health and Human Services (Parts 300399)
IV Department of Agriculture (Parts 400499)
VI Department of State (Parts 600699)
VII Agency for International Development (Parts 700799)
VIII Department of Veterans Affairs (Parts 800899)
IX Department of Energy (Parts 900999)
X Department of the Treasury (Parts 10001099)
XI Department of Defense (Parts 11001199)
XII Department of Transportation (Parts 12001299)
XIII Department of Commerce (Parts 13001399)
XIV Department of the Interior (Parts 14001499)
XV Environmental Protection Agency (Parts 15001599)
XVIII National Aeronautics and Space Administration (Parts 1800
1899)
XX United States Nuclear Regulatory Commission (Parts 20002099)
XXII Corporation for National and Community Service (Parts 2200
2299)
XXIII Social Security Administration (Parts 23002399)
XXIV Housing and Urban Development (Parts 24002499)
XXV National Science Foundation (Parts 25002599)
XXVI National Archives and Records Administration (Parts 26002699)

XXVII Small Business Administration (Parts 27002799)
385
Title 2Grants and AgreementsContinued
Chap.
XXVIII Department of Justice (Parts 28002899)

XXIX Department of Labor (Parts 29002999)
XXX Department of Homeland Security (Parts 30003099)
XXXI Institute of Museum and Library Services (Parts 31003199)
XXXII National Endowment for the Arts (Parts 32003299)
XXXIII National Endowment for the Humanities (Parts 33003399)
XXXIV Department of Education (Parts 34003499)
XXXV Export-Import Bank of the United States (Parts 35003599)
XXXVI Office of National Drug Control Policy, Executive Office of the
President (Parts 36003699)
XXXVII Peace Corps (Parts 37003799)
LVIII Election Assistance Commission (Parts 58005899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 59005999)
Title 3The President
I Executive Office of the President (Parts 100199)
Title 4Accounts
I Government Accountability Office (Parts 1199)
Title 5Administrative Personnel
I Office of Personnel Management (Parts 11199)

II Merit Systems Protection Board (Parts 12001299)
III Office of Management and Budget (Parts 13001399)
IV Office of Personnel Management and Office of the Director of
National Intelligence (Parts 14001499)
V The International Organizations Employees Loyalty Board
(Parts 15001599)
VI Federal Retirement Thrift Investment Board (Parts 16001699)
VIII Office of Special Counsel (Parts 18001899)
IX Appalachian Regional Commission (Parts 19001999)
XI Armed Forces Retirement Home (Parts 21002199)
XIV Federal Labor Relations Authority, General Counsel of the Fed-
eral Labor Relations Authority and Federal Service Impasses
Panel (Parts 24002499)
XVI Office of Government Ethics (Parts 26002699)
XXI Department of the Treasury (Parts 31003199)
XXII Federal Deposit Insurance Corporation (Parts 32003299)
XXIII Department of Energy (Parts 33003399)
XXIV Federal Energy Regulatory Commission (Parts 34003499)
XXV Department of the Interior (Parts 35003599)
XXVI Department of Defense (Parts 36003699)

XXVIII Department of Justice (Parts 38003899)
386
Title 5Administrative PersonnelContinued
Chap.
XXIX Federal Communications Commission (Parts 39003999)

XXX Farm Credit System Insurance Corporation (Parts 40004099)
XXXI Farm Credit Administration (Parts 41004199)
XXXIII Overseas Private Investment Corporation (Parts 43004399)
XXXIV Securities and Exchange Commission (Parts 44004499)
XXXV Office of Personnel Management (Parts 45004599)
XXXVII Federal Election Commission (Parts 47004799)
XL Interstate Commerce Commission (Parts 50005099)
XLI Commodity Futures Trading Commission (Parts 51005199)
XLII Department of Labor (Parts 52005299)
XLIII National Science Foundation (Parts 53005399)
XLV Department of Health and Human Services (Parts 55005599)
XLVI Postal Rate Commission (Parts 56005699)
XLVII Federal Trade Commission (Parts 57005799)
XLVIII Nuclear Regulatory Commission (Parts 58005899)
XLIX Federal Labor Relations Authority (Parts 59005999)
L Department of Transportation (Parts 60006099)
LII Export-Import Bank of the United States (Parts 62006299)
LIII Department of Education (Parts 63006399)
LIV Environmental Protection Agency (Parts 64006499)
LV National Endowment for the Arts (Parts 65006599)
LVI National Endowment for the Humanities (Parts 66006699)
LVII General Services Administration (Parts 67006799)
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 70007099)
LXI National Labor Relations Board (Parts 71007199)
LXII Equal Employment Opportunity Commission (Parts 72007299)
LXIII Inter-American Foundation (Parts 73007399)
LXIV Merit Systems Protection Board (Parts 74007499)
LXV Department of Housing and Urban Development (Parts 7500
7599)
LXVI National Archives and Records Administration (Parts 76007699)
LXVII Institute of Museum and Library Services (Parts 77007799)
LXVIII Commission on Civil Rights (Parts 78007899)
LXIX Tennessee Valley Authority (Parts 79007999)
LXX Court Services and Offender Supervision Agency for the District
of Columbia (Parts 80008099)
LXXI Consumer Product Safety Commission (Parts 81008199)
LXXIII Department of Agriculture (Parts 83008399)
LXXIV Federal Mine Safety and Health Review Commission (Parts
84008499)
LXXVI Federal Retirement Thrift Investment Board (Parts 86008699)
387
Title 5Administrative PersonnelContinued
Chap.
LXXVII Office of Management and Budget (Parts 87008799)

LXXX Federal Housing Finance Agency (Parts 90009099)
LXXXIII Special Inspector General for Afghanistan Reconstruction (Parts
93009399)
LXXXIV Bureau of Consumer Financial Protection (Parts 94009499)
LXXXVI National Credit Union Administration (Parts 96009699)
XCVII Department of Homeland Security Human Resources Manage-
ment System (Department of Homeland SecurityOffice of
Personnel Management) (Parts 97009799)
XCVII Council of the Inspectors General on Integrity and Efficiency
(Parts 98009899)
XCIX Military Compensation and Retirement Modernization Commis-
sion (Parts 99009999)
C National Council on Disability (Partys 1000010049)
Title 6Domestic Security
I Department of Homeland Security, Office of the Secretary

(Parts 1199)
X Privacy and Civil Liberties Oversight Board (Parts 10001099)
Title 7Agriculture
SUBTITLE AOFFICE OF THE SECRETARY OF AGRICULTURE (PARTS

026)
SUBTITLE BREGULATIONS OF THE DEPARTMENT OF AGRICULTURE
I Agricultural Marketing Service (Standards, Inspections, Mar-
keting Practices), Department of Agriculture (Parts 27209)
II Food and Nutrition Service, Department of Agriculture (Parts
210299)
III Animal and Plant Health Inspection Service, Department of Ag-
riculture (Parts 300399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400499)
V Agricultural Research Service, Department of Agriculture
(Parts 500599)
VI Natural Resources Conservation Service, Department of Agri-
culture (Parts 600699)
VII Farm Service Agency, Department of Agriculture (Parts 700
799)
VIII Grain Inspection, Packers and Stockyards Administration (Fed-
eral Grain Inspection Service), Department of Agriculture
(Parts 800899)
IX Agricultural Marketing Service (Marketing Agreements and Or-
ders; Fruits, Vegetables, Nuts), Department of Agriculture
(Parts 900999)
X Agricultural Marketing Service (Marketing Agreements and Or-

ders; Milk), Department of Agriculture (Parts 10001199)
388
Title 7AgricultureContinued
Chap.
XI Agricultural Marketing Service (Marketing Agreements and Or-

ders; Miscellaneous Commodities), Department of Agriculture
(Parts 12001299)
XIV Commodity Credit Corporation, Department of Agriculture
(Parts 14001499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
15001599)
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, Depart-
ment of Agriculture (Parts 18002099)
XX Local Television Loan Guarantee Board (Parts 22002299)
XXV Office of Advocacy and Outreach, Department of Agriculture
(Parts 25002599)
XXVI Office of Inspector General, Department of Agriculture (Parts
26002699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 27002799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800
2899)
XXIX Office of Energy Policy and New Uses, Department of Agri-
XXX Office of the Chief Financial Officer, Department of Agriculture
(Parts 30003099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 31003199)
XXXII Office of Procurement and Property Management, Department
of Agriculture (Parts 32003299)
XXXIII Office of Transportation, Department of Agriculture (Parts
33003399)
XXXIV National Institute of Food and Agriculture (Parts 34003499)
XXXV Rural Housing Service, Department of Agriculture (Parts 3500
3599)
XXXVI National Agricultural Statistics Service, Department of Agri-
XXXVII Economic Research Service, Department of Agriculture (Parts
37003799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 38003899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities Service,
Department of Agriculture (Parts 42004299)
Title 8Aliens and Nationality

I Department of Homeland Security (Immigration and Naturaliza-

tion) (Parts 1499)
389
Title 8Aliens and NationalityContinued
Chap.
V Executive Office for Immigration Review, Department of Justice

(Parts 10001399)
Title 9Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of Ag-

riculture (Parts 1199)
II Grain Inspection, Packers and Stockyards Administration
(Packers and Stockyards Programs), Department of Agri-
III Food Safety and Inspection Service, Department of Agriculture
(Parts 300599)
Title 10Energy
I Nuclear Regulatory Commission (Parts 0199)

II Department of Energy (Parts 200699)
III Department of Energy (Parts 700999)
X Department of Energy (General Provisions) (Parts 10001099)
XIII Nuclear Waste Technical Review Board (Parts 13001399)
XVII Defense Nuclear Facilities Safety Board (Parts 17001799)
XVIII Northeast Interstate Low-Level Radioactive Waste Commission
(Parts 18001899)
Title 11Federal Elections
I Federal Election Commission (Parts 19099)

II Election Assistance Commission (Parts 94009499)
Title 12Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts

1199)
II Federal Reserve System (Parts 200299)
III Federal Deposit Insurance Corporation (Parts 300399)
IV Export-Import Bank of the United States (Parts 400499)
V Office of Thrift Supervision, Department of the Treasury (Parts
500599)
VI Farm Credit Administration (Parts 600699)
VII National Credit Union Administration (Parts 700799)
VIII Federal Financing Bank (Parts 800899)
IX Federal Housing Finance Board (Parts 900999)
X Bureau of Consumer Financial Protection (Parts 10001099)
XI Federal Financial Institutions Examination Council (Parts
11001199)
XII Federal Housing Finance Agency (Parts 12001299)
XIII Financial Stability Oversight Council (Parts 13001399)

XIV Farm Credit System Insurance Corporation (Parts 14001499)
390
Title 12Banks and BankingContinued
Chap.
XV Department of the Treasury (Parts 15001599)

XVI Office of Financial Research (Parts 16001699)
XVII Office of Federal Housing Enterprise Oversight, Department of
Housing and Urban Development (Parts 17001799)
XVIII Community Development Financial Institutions Fund, Depart-
ment of the Treasury (Parts 18001899)
Title 13Business Credit and Assistance
I Small Business Administration (Parts 1199)

III Economic Development Administration, Department of Com-
merce (Parts 300399)
IV Emergency Steel Guarantee Loan Board (Parts 400499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts 500599)
Title 14Aeronautics and Space
I Federal Aviation Administration, Department of Transportation

(Parts 1199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200399)
III Commercial Space Transportation, Federal Aviation Adminis-
tration, Department of Transportation (Parts 4001199)
V National Aeronautics and Space Administration (Parts 1200
1299)
VI Air Transportation System Stabilization (Parts 13001399)
Title 15Commerce and Foreign Trade
SUBTITLE AOFFICE OF THE SECRETARY OF COMMERCE (PARTS 0

29)
SUBTITLE BREGULATIONS RELATING TO COMMERCE AND FOREIGN
TRADE
I Bureau of the Census, Department of Commerce (Parts 30199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200299)
III International Trade Administration, Department of Commerce
(Parts 300399)
IV Foreign-Trade Zones Board, Department of Commerce (Parts
400499)
VII Bureau of Industry and Security, Department of Commerce
(Parts 700799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts
800899)
IX National Oceanic and Atmospheric Administration, Department
of Commerce (Parts 900999)
XI Technology Administration, Department of Commerce (Parts
11001199)
XIII East-West Foreign Trade Board (Parts 13001399)
391
Title 15Commerce and Foreign TradeContinued
Chap.
XIV Minority Business Development Agency (Parts 14001499)

SUBTITLE CREGULATIONS RELATING TO FOREIGN TRADE AGREE-
MENTS
XX Office of the United States Trade Representative (Parts 2000
2099)
SUBTITLE DREGULATIONS RELATING TO TELECOMMUNICATIONS
AND INFORMATION
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 23002399)
Title 16Commercial Practices
I Federal Trade Commission (Parts 0999)

II Consumer Product Safety Commission (Parts 10001799)
Title 17Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1199)

II Securities and Exchange Commission (Parts 200399)
IV Department of the Treasury (Parts 400499)
Title 18Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy

(Parts 1399)
III Delaware River Basin Commission (Parts 400499)
VI Water Resources Council (Parts 700799)
VIII Susquehanna River Basin Commission (Parts 800899)
XIII Tennessee Valley Authority (Parts 13001399)
Title 19Customs Duties
I U.S. Customs and Border Protection, Department of Homeland

Security; Department of the Treasury (Parts 0199)
II United States International Trade Commission (Parts 200299)
III International Trade Administration, Department of Commerce
(Parts 300399)
IV U.S. Immigration and Customs Enforcement, Department of
Homeland Security (Parts 400599)
Title 20Employees Benefits
I Office of Workers Compensation Programs, Department of

Labor (Parts 1199)
II Railroad Retirement Board (Parts 200399)
III Social Security Administration (Parts 400499)
IV Employees Compensation Appeals Board, Department of Labor

(Parts 500599)
392
Title 20Employees BenefitsContinued
Chap.
V Employment and Training Administration, Department of Labor

(Parts 600699)
VI Office of Workers Compensation Programs, Department of
Labor (Parts 700799)
VII Benefits Review Board, Department of Labor (Parts 800899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900999)
IX Office of the Assistant Secretary for Veterans Employment and
Training Service, Department of Labor (Parts 10001099)
Title 21Food and Drugs
I Food and Drug Administration, Department of Health and

Human Services (Parts 11299)
II Drug Enforcement Administration, Department of Justice (Parts
13001399)
III Office of National Drug Control Policy (Parts 14001499)
Title 22Foreign Relations
I Department of State (Parts 1199)

II Agency for International Development (Parts 200299)
III Peace Corps (Parts 300399)
IV International Joint Commission, United States and Canada
(Parts 400499)
V Broadcasting Board of Governors (Parts 500599)
VII Overseas Private Investment Corporation (Parts 700799)
IX Foreign Service Grievance Board (Parts 900999)
X Inter-American Foundation (Parts 10001099)
XI International Boundary and Water Commission, United States
and Mexico, United States Section (Parts 11001199)
XII United States International Development Cooperation Agency
(Parts 12001299)
XIII Millennium Challenge Corporation (Parts 13001399)
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 14001499)
XV African Development Foundation (Parts 15001599)
XVI Japan-United States Friendship Commission (Parts 16001699)
XVII United States Institute of Peace (Parts 17001799)
Title 23Highways
I Federal Highway Administration, Department of Transportation

(Parts 1999)
II National Highway Traffic Safety Administration and Federal

Highway Administration, Department of Transportation
(Parts 12001299)
393
Title 23HighwaysContinued
Chap.
III National Highway Traffic Safety Administration, Department of

Transportation (Parts 13001399)
Title 24Housing and Urban Development
SUBTITLE AOFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING

AND URBAN DEVELOPMENT (PARTS 099)
SUBTITLE BREGULATIONS RELATING TO HOUSING AND URBAN DE-
VELOPMENT
I Office of Assistant Secretary for Equal Opportunity, Department
of Housing and Urban Development (Parts 100199)
II Office of Assistant Secretary for Housing-Federal Housing Com-
missioner, Department of Housing and Urban Development
(Parts 200299)
III Government National Mortgage Association, Department of
Housing and Urban Development (Parts 300399)
IV Office of Housing and Office of Multifamily Housing Assistance
Restructuring, Department of Housing and Urban Develop-
ment (Parts 400499)
V Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 500599)
VI Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 600699) [Reserved]
VII Office of the Secretary, Department of Housing and Urban Devel-
opment (Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700799)
VIII Office of the Assistant Secretary for HousingFederal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Section 8 Housing Assistance Programs, Section 202 Di-
rect Loan Program, Section 202 Supportive Housing for the El-
derly Program and Section 811 Supportive Housing for Persons
With Disabilities Program) (Parts 800899)
IX Office of Assistant Secretary for Public and Indian Housing, De-
partment of Housing and Urban Development (Parts 9001699)
X Office of Assistant Secretary for HousingFederal Housing
ment (Interstate Land Sales Registration Program) (Parts
17001799)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 20002099)
XV Emergency Mortgage Insurance and Loan Programs, Depart-
ment of Housing and Urban Development (Parts 27002799)
[Reserved]
XX Office of Assistant Secretary for HousingFederal Housing
ment (Parts 32003899)
XXIV Board of Directors of the HOPE for Homeowners Program (Parts
40004099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 41004199)
394
Title 25Indians
Chap.
I Bureau of Indian Affairs, Department of the Interior (Parts 1

299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300399)
III National Indian Gaming Commission, Department of the Inte-
rior (Parts 500599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700799)
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 10001199)
VII Office of the Special Trustee for American Indians, Department
of the Interior (Parts 12001299)
Title 26Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1

End)
Title 27Alcohol, Tobacco Products and Firearms
I Alcohol and Tobacco Tax and Trade Bureau, Department of the

Treasury (Parts 1399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart-
ment of Justice (Parts 400699)
Title 28Judicial Administration
I Department of Justice (Parts 0299)

III Federal Prison Industries, Inc., Department of Justice (Parts
300399)
V Bureau of Prisons, Department of Justice (Parts 500599)
VI Offices of Independent Counsel, Department of Justice (Parts
600699)
VII Office of Independent Counsel (Parts 700799)
VIII Court Services and Offender Supervision Agency for the District
of Columbia (Parts 800899)
IX National Crime Prevention and Privacy Compact Council (Parts
900999)
XI Department of Justice and Department of State (Parts 1100
1199)
Title 29Labor
SUBTITLE AOFFICE OF THE SECRETARY OF LABOR (PARTS 099)

SUBTITLE BREGULATIONS RELATING TO LABOR

I National Labor Relations Board (Parts 100199)
395
Title 29LaborContinued
Chap.
II Office of Labor-Management Standards, Department of Labor

(Parts 200299)
III National Railroad Adjustment Board (Parts 300399)
IV Office of Labor-Management Standards, Department of Labor
(Parts 400499)
V Wage and Hour Division, Department of Labor (Parts 500899)
IX Construction Industry Collective Bargaining Commission (Parts
900999)
X National Mediation Board (Parts 12001299)
XII Federal Mediation and Conciliation Service (Parts 14001499)
XIV Equal Employment Opportunity Commission (Parts 16001699)
XVII Occupational Safety and Health Administration, Department of
XX Occupational Safety and Health Review Commission (Parts
22002499)
XXV Employee Benefits Security Administration, Department of
XXVII Federal Mine Safety and Health Review Commission (Parts
27002799)
XL Pension Benefit Guaranty Corporation (Parts 40004999)
Title 30Mineral Resources
I Mine Safety and Health Administration, Department of Labor

(Parts 1199)
II Bureau of Safety and Environmental Enforcement, Department
of the Interior (Parts 200299)
IV Geological Survey, Department of the Interior (Parts 400499)
V Bureau of Ocean Energy Management, Department of the Inte-
rior (Parts 500599)
VII Office of Surface Mining Reclamation and Enforcement, Depart-
ment of the Interior (Parts 700999)
XII Office of Natural Resources Revenue, Department of the Interior
(Parts 12001299)
Title 31Money and Finance: Treasury
SUBTITLE AOFFICE OF THE SECRETARY OF THE TREASURY (PARTS

050)
SUBTITLE BREGULATIONS RELATING TO MONEY AND FINANCE
I Monetary Offices, Department of the Treasury (Parts 51199)
II Fiscal Service, Department of the Treasury (Parts 200399)
IV Secret Service, Department of the Treasury (Parts 400499)
V Office of Foreign Assets Control, Department of the Treasury
(Parts 500599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600699)
VII Federal Law Enforcement Training Center, Department of the

396
Title 31Money and Finance: TreasuryContinued
Chap.
VIII Office of International Investment, Department of the Treasury

(Parts 800899)
IX Federal Claims Collection Standards (Department of the Treas-
uryDepartment of Justice) (Parts 900999)
X Financial Crimes Enforcement Network, Department of the
Title 32National Defense
SUBTITLE ADEPARTMENT OF DEFENSE

I Office of the Secretary of Defense (Parts 1399)
V Department of the Army (Parts 400699)
VI Department of the Navy (Parts 700799)
VII Department of the Air Force (Parts 8001099)
SUBTITLE BOTHER REGULATIONS RELATING TO NATIONAL DE-
FENSE
XII Defense Logistics Agency (Parts 12001299)
XVI Selective Service System (Parts 16001699)
XVII Office of the Director of National Intelligence (Parts 17001799)
XVIII National Counterintelligence Center (Parts 18001899)
XIX Central Intelligence Agency (Parts 19001999)
XX Information Security Oversight Office, National Archives and
Records Administration (Parts 20002099)
XXI National Security Council (Parts 21002199)
XXIV Office of Science and Technology Policy (Parts 24002499)
XXVII Office for Micronesian Status Negotiations (Parts 27002799)
XXVIII Office of the Vice President of the United States (Parts 2800
2899)
Title 33Navigation and Navigable Waters
I Coast Guard, Department of Homeland Security (Parts 1199)

II Corps of Engineers, Department of the Army (Parts 200399)
IV Saint Lawrence Seaway Development Corporation, Department
of Transportation (Parts 400499)
Title 34Education
SUBTITLE AOFFICE OF THE SECRETARY, DEPARTMENT OF EDU-

CATION (PARTS 199)
SUBTITLE BREGULATIONS OF THE OFFICES OF THE DEPARTMENT
OF EDUCATION
I Office for Civil Rights, Department of Education (Parts 100199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200299)
III Office of Special Education and Rehabilitative Services, Depart-

ment of Education (Parts 300399)
397
Title 34EducationContinued
Chap.
IV Office of Career, Technical and Adult Education, Department of

Education (Parts 400499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500599) [Reserved]
VI Office of Postsecondary Education, Department of Education
(Parts 600699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700799) [Reserved]
SUBTITLE CREGULATIONS RELATING TO EDUCATION
XI [Reserved]
XII National Council on Disability (Parts 12001299)
Title 35 [Reserved]
Title 36Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1199)

II Forest Service, Department of Agriculture (Parts 200299)
III Corps of Engineers, Department of the Army (Parts 300399)
IV American Battle Monuments Commission (Parts 400499)
V Smithsonian Institution (Parts 500599)
VI [Reserved]
VII Library of Congress (Parts 700799)
VIII Advisory Council on Historic Preservation (Parts 800899)
IX Pennsylvania Avenue Development Corporation (Parts 900999)
X Presidio Trust (Parts 10001099)
XI Architectural and Transportation Barriers Compliance Board
(Parts 11001199)
XII National Archives and Records Administration (Parts 12001299)
XV Oklahoma City National Memorial Trust (Parts 15001599)
XVI Morris K. Udall Scholarship and Excellence in National Environ-
mental Policy Foundation (Parts 16001699)
Title 37Patents, Trademarks, and Copyrights
I United States Patent and Trademark Office, Department of

Commerce (Parts 1199)
II U.S. Copyright Office, Library of Congress (Parts 200299)
III Copyright Royalty Board, Library of Congress (Parts 300399)
IV Assistant Secretary for Technology Policy, Department of Com-
merce (Parts 400599)
Title 38Pensions, Bonuses, and Veterans Relief

I Department of Veterans Affairs (Parts 0199)

II Armed Forces Retirement Home (Parts 200299)
398
Title 39Postal Service
Chap.
I United States Postal Service (Parts 1999)

III Postal Regulatory Commission (Parts 30003099)
Title 40Protection of Environment
I Environmental Protection Agency (Parts 11099)

IV Environmental Protection Agency and Department of Justice
(Parts 14001499)
V Council on Environmental Quality (Parts 15001599)
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 17001799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 18001899)
Title 41Public Contracts and Property Management
SUBTITLE AFEDERAL PROCUREMENT REGULATIONS SYSTEM

[NOTE]
SUBTITLE BOTHER PROVISIONS RELATING TO PUBLIC CONTRACTS
50 Public Contracts, Department of Labor (Parts 50150999)
51 Committee for Purchase From People Who Are Blind or Severely
Disabled (Parts 5115199)
60 Office of Federal Contract Compliance Programs, Equal Employ-
ment Opportunity, Department of Labor (Parts 60160999)
61 Office of the Assistant Secretary for Veterans Employment and
Training Service, Department of Labor (Parts 61161999)
62100 [Reserved]
SUBTITLE CFEDERAL PROPERTY MANAGEMENT REGULATIONS
SYSTEM
101 Federal Property Management Regulations (Parts 101110199)
102 Federal Management Regulation (Parts 1021102299)
103104 [Reserved]
105 General Services Administration (Parts 1051105999)
109 Department of Energy Property Management Regulations (Parts
109110999)
114 Department of the Interior (Parts 114111499)
115 Environmental Protection Agency (Parts 115111599)
128 Department of Justice (Parts 128112899)
129200 [Reserved]
SUBTITLE DOTHER PROVISIONS RELATING TO PROPERTY MANAGE-
MENT [RESERVED]
SUBTITLE EFEDERAL INFORMATION RESOURCES MANAGEMENT
REGULATIONS SYSTEM [RESERVED]
SUBTITLE FFEDERAL TRAVEL REGULATION SYSTEM
300 General (Parts 300130099)

301 Temporary Duty (TDY) Travel Allowances (Parts 301130199)
399
Title 41Public Contracts and Property ManagementContinued
Chap.
302 Relocation Allowances (Parts 302130299)

303 Payment of Expenses Connected with the Death of Certain Em-
ployees (Part 303130399)
304 Payment of Travel Expenses from a Non-Federal Source (Parts
304130499)
Title 42Public Health
I Public Health Service, Department of Health and Human Serv-

ices (Parts 1199)
IV Centers for Medicare & Medicaid Services, Department of Health
and Human Services (Parts 400599)
V Office of Inspector General-Health Care, Department of Health
Title 43Public Lands: Interior
SUBTITLE AOFFICE OF THE SECRETARY OF THE INTERIOR (PARTS

1199)
SUBTITLE BREGULATIONS 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
10009999)
III Utah Reclamation Mitigation and Conservation Commission
(Parts 1000010099)
Title 44Emergency Management and Assistance
I Federal Emergency Management Agency, Department of Home-

land Security (Parts 0399)
IV Department of Commerce and Department of Transportation
(Parts 400499)
Title 45Public Welfare
SUBTITLE ADEPARTMENT OF HEALTH AND HUMAN SERVICES

(PARTS 1199)
SUBTITLE BREGULATIONS RELATING TO PUBLIC WELFARE
II Office of Family Assistance (Assistance Programs), Administra-
tion for Children and Families, Department of Health and
Human Services (Parts 200299)
III Office of Child Support Enforcement (Child Support Enforce-
ment Program), Administration for Children and Families,
Department of Health and Human Services (Parts 300399)
IV Office of Refugee Resettlement, Administration for Children and
Families, Department of Health and Human Services (Parts
400499)
V Foreign Claims Settlement Commission of the United States,

Department of Justice (Parts 500599)
400
Title 45Public WelfareContinued
Chap.
VI National Science Foundation (Parts 600699)

VII Commission on Civil Rights (Parts 700799)
VIII Office of Personnel Management (Parts 800899)
X Office of Community Services, Administration for Children and
Families, Department of Health and Human Services (Parts
10001099)
XI National Foundation on the Arts and the Humanities (Parts
11001199)
XII Corporation for National and Community Service (Parts 1200
1299)
XIII Office of Human Development Services, Department of Health
XVI Legal Services Corporation (Parts 16001699)
XVII National Commission on Libraries and Information Science
(Parts 17001799)
XVIII Harry S. Truman Scholarship Foundation (Parts 18001899)
XXI Commission on Fine Arts (Parts 21002199)
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 46Shipping
I Coast Guard, Department of Homeland Security (Parts 1199)

II Maritime Administration, Department of Transportation (Parts
200399)
III Coast Guard (Great Lakes Pilotage), Department of Homeland
Security (Parts 400499)
IV Federal Maritime Commission (Parts 500599)
Title 47Telecommunication
I Federal Communications Commission (Parts 0199)

II Office of Science and Technology Policy and National Security
Council (Parts 200299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300399)
IV National Telecommunications and Information Administration,
Department of Commerce, and National Highway Traffic Safe-
ty Administration, Department of Transportation (Parts 400
499)
Title 48Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 199)

2 Defense Acquisition Regulations System, Department of Defense

(Parts 200299)
401
Title 48Federal Acquisition Regulations SystemContinued
Chap.
3 Health and Human Services (Parts 300399)

4 Department of Agriculture (Parts 400499)
5 General Services Administration (Parts 500599)
6 Department of State (Parts 600699)
7 Agency for International Development (Parts 700799)
8 Department of Veterans Affairs (Parts 800899)
9 Department of Energy (Parts 900999)
10 Department of the Treasury (Parts 10001099)
12 Department of Transportation (Parts 12001299)
13 Department of Commerce (Parts 13001399)
14 Department of the Interior (Parts 14001499)
15 Environmental Protection Agency (Parts 15001599)
16 Office of Personnel Management, Federal Employees Health
Benefits Acquisition Regulation (Parts 16001699)
17 Office of Personnel Management (Parts 17001799)
18 National Aeronautics and Space Administration (Parts 1800
1899)
19 Broadcasting Board of Governors (Parts 19001999)
20 Nuclear Regulatory Commission (Parts 20002099)
21 Office of Personnel Management, Federal Employees Group Life
Insurance Federal Acquisition Regulation (Parts 21002199)
23 Social Security Administration (Parts 23002399)
24 Department of Housing and Urban Development (Parts 2400
2499)
25 National Science Foundation (Parts 25002599)
28 Department of Justice (Parts 28002899)
29 Department of Labor (Parts 29002999)
30 Department of Homeland Security, Homeland Security Acquisi-
tion Regulation (HSAR) (Parts 30003099)
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 53005399) [Reserved]
54 Defense Logistics Agency, Department of Defense (Parts 5400
5499)
57 African Development Foundation (Parts 57005799)
61 Civilian Board of Contract Appeals, General Services Adminis-
tration (Parts 61006199)
63 Department of Transportation Board of Contract Appeals (Parts
63006399)
99 Cost Accounting Standards Board, Office of Federal Procure-

ment Policy, Office of Management and Budget (Parts 9900
9999)
402
Title 49Transportation
Chap.
SUBTITLE AOFFICE OF THE SECRETARY OF TRANSPORTATION

(PARTS 199)
SUBTITLE BOTHER REGULATIONS RELATING TO TRANSPORTATION
I Pipeline and Hazardous Materials Safety Administration, De-
partment of Transportation (Parts 100199)
II Federal Railroad Administration, Department of Transportation
(Parts 200299)
III Federal Motor Carrier Safety Administration, Department of
IV Coast Guard, Department of Homeland Security (Parts 400499)
V National Highway Traffic Safety Administration, Department of
VI Federal Transit Administration, Department of Transportation
(Parts 600699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts
700799)
VIII National Transportation Safety Board (Parts 800999)
X Surface Transportation Board, Department of Transportation
(Parts 10001399)
XI Research and Innovative Technology Administration, Depart-
ment of Transportation (Parts 14001499) [Reserved]
XII Transportation Security Administration, Department of Home-
land Security (Parts 15001699)
Title 50Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Inte-

rior (Parts 1199)
II National Marine Fisheries Service, National Oceanic and Atmos-
pheric Administration, Department of Commerce (Parts 200
299)
III International Fishing and Related Activities (Parts 300399)
IV Joint Regulations (United States Fish and Wildlife Service, De-
partment of the Interior and National Marine Fisheries Serv-
ice, National Oceanic and Atmospheric Administration, De-
partment of Commerce); Endangered Species Committee Reg-
ulations (Parts 400499)
V Marine Mammal Commission (Parts 500599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts
600699)
403
Alphabetical List of Agencies Appearing in the CFR
(Revised as of January 1, 2016)
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 General for 5, LXXXIII
African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57
Agency for International Development 2, VII; 22, II
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 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 Administration 7, VIII; 9, II
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, Bureau of 27, II
AMTRAK 49, VII

American Battle Monuments Commission 36, IV
American Indians, Office of the Special Trustee 25, VII
405
Agency Chapter
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind or Severely Disabled, Committee for Purchase from 41, 51
People Who Are
Broadcasting Board of Governors 22, V
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 Board 40, VI
Chief Financial Officer, Office of 7, XXX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Council of the Inspectors General on Integrity and Efficiency 5, XCVIII
Court Services and Offender Supervision Agency for the 5, LXX
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
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 Administration 15, IX; 50, II, III, IV, 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, Assistant 37, IV
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 Assistant 24, V, VI
Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
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 for the 5, LXX; 28, VIII
District of Columbia
Customs and Border Protection 19, I
Defense Contract Audit Agency 32, I
406
Agency Chapter
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
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
District of Columbia, Court Services and Offender Supervision 5, LXX; 28, VIII
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 Affairs, Office 34, V
of
Career, Technical and Adult Education, Office of 34, IV
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Career, Technical, and Adult Education, Office of 34, IV
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 Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
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
407
Agency Chapter
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 States 15, XX
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 Aviation Administration 14, I
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 Acquisition 48, 21
Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination Council 12, XI
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 United States 45, V
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
408
Agency Chapter
Forest Service 36, II
General Services Administration 5, LVII; 41, 105
Contract Appeals, Board of 48, 61
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 Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
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 Administration 7, VIII; 9, II
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
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Food and Drug Administration 21, I
Human Development Services, Office of 45, XIII
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; 6, I; 8, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
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 of 24, XXIV
Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of Assistant 24, V, VI
Secretary for
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Housing Enterprise Oversight, Office of 12, XVII
Government National Mortgage Association 24, III
HousingFederal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle A, VII
HousingFederal Housing Commissioner, Office of Assistant 24, II, VIII, X, XX
Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Human Development Services, Office of 45, XIII
Immigration and Customs Enforcement Bureau 19, IV

Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
409
Agency Chapter
Independent Counsel, Offices of 28, VI
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant Secretary 25, VI
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 Archives and 32, XX
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 Trustee 25, VII
Endangered Species Committee 50, IV
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 Secretary 25, VI
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, Office of 30, VII
Internal Revenue Service 26, I
International Boundary and Water Commission, United States 22, XI
and Mexico, United States Section
International Development, United States Agency for 22, II
International Development Cooperation Agency, United 22, XII
States
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
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
JapanUnited 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, Bureau of 27, II
Drug Enforcement Administration 21, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United 45, V
States
Immigration Review, Executive Office for 8, V
Independent Counsel, Offices of 28, VI
Prisons, Bureau of 28, V
Labor Department 2, XXIX; 5, XLII
Employee Benefits Security Administration 29, XXV

Employees Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
410
Agency Chapter
Employment Standards Administration 20, VI
Federal Contract Compliance Programs, Office of 41, 60
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, Office of the 41, 61; 20, IX
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 Modernization 5, XCIX
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 National 36, XVI
Environmental Policy Foundation
Museum and Library Services, Institute of 2, XXXI
National Aeronautics and Space AdministrationI722, XVIII; 5,
LIX; 14, V
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 Science 45, XVII
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 Council 28, IX
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 Humanities 45, XI
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
411
Agency Chapter
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI
National Security Council 32, XXI
National Security Council and Office of Science and 47, II
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
Neighborhood Reinvestment Corporation 24, XXV
Northeast Interstate Low-Level Radioactive Waste 10, XVIII
Commission
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
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 Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
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 Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Pipeline and Hazardous Materials Safety Administration 49, I
Postal Regulatory Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
Presidents Commission on White House Fellowships 1, IV
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, Assistant 37, IV
Secretary
Public Contracts, Department of Labor 41, 50
Public and Indian Housing, Office of Assistant Secretary for 24, IX
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 Administration 49, XI
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
412
Agency Chapter
Safety and Environmental Enforcement, Bureau of 30, II
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National 47, II
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 Airmens Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State Department 2, VI; 22, I; 28, XI
Surface Mining Reclamation and Enforcement, Office of 30, VII
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 Treasury 12, V
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
Contract Appeals, Board of 48, 63
Emergency Management and Assistance 44, IV
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 Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Surface Transportation Board 49, X
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 Fund 12, XVIII
Comptroller of the Currency 12, I
Engraving and Printing, Bureau of 31, VI
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 Commission 22, IV

United States and Mexico, International Boundary and Water 22, XI
Commission, United States Section
413
Agency Chapter
U.S. Copyright Office 37, II
Utah Reclamation Mitigation and Conservation Commission 43, III
Veterans Affairs Department 2, VIII; 38, I
Veterans Employment and Training Service, Office of the 41, 61; 20, IX
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
414
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, 2011 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 sub-
parts 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, 19491963,
19641972, 19731985, and 19862000 published in 11 separate volumes. The
List of CFR Sections Affected 19862000 is available at www.fdsys.gov.
2011 14 CFRContinued 77 FR
Page
14 CFR 76 FR Chapter VContinued
Page
1212.400 (b) through (e) redesig-
Chapter V nated as (c) through (f); new (b)
1209.4001209.405 (Subpart 4) Au- added; (a) introductory text,
thority citation revised ............ 44462 new (c)(1) and new (3) amend-
1209.402 Revised ............................ 44462 ed ............................................. 60621
1209.403 Revised ............................ 44462 1212.500 (b) amended...................... 60621
1212.501 (a)(1)(i), (ii) and (2)(ii)(D)
2012 amended................................... 60621
1212.601 (b) amended...................... 60621
14 CFR 77 FR
1212.603 Amended.......................... 60621
Page
1212.605 (a) amended...................... 60621
Chapter V
1212.701 Heading revised; intro-
1204.5001204.509 (Subpart 5) Au- ductory text, (a) and (c) amend-
thority citation revised ............ 60620
ed ............................................. 60621
Authority citation correctly re-
1212.702 Redesignated as 1212.703;
vised .........................................65099
new 1212.702 added ..................... 60622
1204.506 Removed.......................... 60620
1212 Authority citation re-
new 1212.703 redesignated from
vised......................................... 60621
1212.702; heading revised; (a) in-
1212.100 Amended.......................... 60621
troductory text and (b) amend-
1212.101 (e) and (h) amended; (i) re-
ed ............................................. 60622
moved ...................................... 60621
1212.2001212.205 (Subpart 1212.2)
Heading revised ........................ 60621
1212.703; heading revised; (a) in-
1212.200 Heading and introduc-
troductory text, (3) and (4)
tory text revised; (b) and (c)
amended................................... 60621 amended; (a)(5) added; (b) re-
1212.201 Heading and (e) revised; moved ...................................... 60622
(c)(1) and (2)(iv) amended .......... 60621 1212.705 Redesignated as 1212.706;
1212.203 (a) and (b)(2) amended....... 60621

1212.300 Introductory text 1212.704; (a)(1) revised; (a)(3),
amended................................... 60621 (7), (12) and (c) amended............. 60622
415
14 CFR (1116 Edition)
14 CFRContinued 77 FR 14 CFRContinued 78 FR
Page Page
Chapter VContinued Chapter VContinued
1212.706 Redesignated as 1212.707; 1203.202 (a) introductory text, (4)
new 1212.706 redesignated from and (e)(4) revised; (a)(1), (3), (5)
1212.705 ..................................... 60622 through (8), (b), (c)(2), (3), (d)
1212.707 Redesignated from introductory text, (2), (e) in-
1212.706 ..................................... 60622 troductory text, (1), (2), (3), (f)
1215 Authority citation re- and (g) amended ......................... 5117
vised .......................................... 6952 1203.203 (b)(1) and (2) revised ........... 5117
1215.100 Revised ............................. 6952 1203.302 Revised ............................. 5118
1215.101 Revised ............................. 6952 1203.303 Revised ............................. 5118
1215.102 Revised ............................. 6952 1203.304 Amended ........................... 5118
1215.103 Revised ............................. 6952 1203.305 Amended ........................... 5118
1215.105 Revised ............................. 6952 1203.400 Revised ............................. 5118
1215.106 Revised ............................. 6952 1203.403 Removed ........................... 5118
1215.108 Revised ............................. 6953 1203.405 Amended ........................... 5118
1215.109 Revised ............................. 6953 1203.406 (b) amended ....................... 5118
1215.112 Revised ............................. 6953 1203.407 Revised ............................. 5118
1215.113 Revised ............................. 6953 1203.408 Heading revised; intro-
1215.114 Revised ............................. 6953 ductory text, (a) and (d)
1215.115 Revised ............................. 6954 amended; (e) added ..................... 5118
1215 Appendix A revised.................. 6954 1203.409 (a) revised; (c) amend-
1216.3001216.311 (Subpart 1216.3) ed............................................... 5118
Revised ...................................... 3103 1203.410 (a), (c), (d) and (e) revised;
1240 Authority citation re- (f) and (g) removed...................... 5119
vised......................................... 27366 1203.412 (a)(3) and (5) revised; (b)
1240.100 Revised ............................ 27366 amended .................................... 5119
1240.101 Revised ............................ 27366 1203.500 Revised ............................. 5119
1240.102 (g) revised ........................ 27366 1203.601 Amended ........................... 5120
1240.104 (a) revised ........................ 27366 1203.602 Revised ............................. 5120
1240.105 Revised ............................ 27366 1203.603 Revised ............................. 5120
1240.108 (a) revised ........................ 27367 1203.604 (a), (b), (c)(2), (d)(2), (3),
1240.110 Heading revised; existing (4), (e)(1), (3), (5) and (g)(2) re-
text designated as (a); (b) and vised; (c)(1), (d)(1) and (e)(2)
(c) added ................................... 27367 amended .................................... 5120
1240.111 Revised ............................ 27367 1203.7001203.703 (Subpart G) Re-
1240.112 Revised ............................ 27367 moved ........................................ 5121
1240.113 Revised ............................ 27367 1203.800 Revised ............................. 5121
1240.114 Revised ............................ 27367 1203.801 Revised ............................. 5121
1245.2001245.205 (Subpart 2) 1203.802 Revised ............................. 5121
Added ....................................... 14687 1203.803 Added ................................ 5121
1275.100 (d) and (e) revised ............. 44440 1203.804 Added ................................ 5121
1275.101 (a) and (m) revised ............ 44441 1203.900 Revised ............................. 5122
1275 Appendix revised ................... 44441 1203.901 (d) added ............................ 5122
1203.10001203.1003 (Subpart J)
Added ........................................ 5122
2013 1203a Authority citation re-
14 CFR 78 FR vised .......................................... 5123
Page 1203a.100 (a) and (b) amended .......... 5123
Chapter V 1203a.101 (a) and (b) amended;
1203 Revised ................................... 5117 (a)(1), (2) and (3) revised .............. 5123
1203.100 (a) and (c)(2) introduc- 1203a.102 (a)(1) introductory text
tory text amended; (c)(1) intro- revised; (a)(1)(iii), (2), (3)(i) in-
ductory text revised ................... 5117 troductory text, (a), (b), (c),
1203.101 (c) revised .......................... 5117 (ii), (b) introductory text, (1),
1203.200 (b) introductory text re- (4) and (c) amended ..................... 5124
vised; (c) amended ...................... 5117 1203a.103 (a)(1), (2), (3) and (b)
1203.201 (d) amended ....................... 5117 amended .................................... 5124
416
14 CFRContinued 78 FR 2014
Page
Chapter VContinued 14 CFR 79 FR
Page
1203a.104 (a) and (b) amended .......... 5124
Chapter V
1203a.105 Amended ......................... 5124
1203b Authority citation revised......................................... 18444
vised .......................................... 5124 1201.100 Amended.......................... 18444
1203b.100 Amended ......................... 5124 1201.200 Revised ............................ 18444
1203b.101 Amended ......................... 5124 1201.300 Revised ............................ 18444
1203b.102 Amended ......................... 5125 1201.4001201.402 (Subpart 4) Re-
1203b.103 (a)(1), (2), (b)(2) and (c) moved ...................................... 18444
amended .................................... 5125 1204.501 Amended.......................... 11319
1203b.104 (a) revised; (c) removed; 1204.503 (b), (e)(1), (2), (f)(1),
(d) redesignated as new (c); (b) (3)(i)(D), (ii), (g), (h) and (i)
and new (c) amended................... 5125 amended................................... 11319
1203b.105 Amended ......................... 5125 1204.504 (a), (d)(1), (2), (e)(1),
(3)(ii)(B), (iii), (f), (g) and (h)
1203b.106 Revised............................ 5125
amended................................... 11320
1203b.107 (a)(1), (c) introductory 1204.505 (b) amended ..................... 11320
text and (1) through (4) amend- 1204.509 (a) amended ..................... 11320
ed............................................... 5125 1204.11001204.1104 (Subpart 11)
1203b.108 (b), (c) introductory Added ....................................... 54903
text, (2), (d) introductory text, 1206 Revised ................................. 46678
(1), (2) and (e) amended................ 5125 1214 Authority citation re-
1203b.109 Amended ......................... 5125 vised .......................................... 7392
1204.401 (a) revised; (b) amended; 1214.5001214.505 (Subpart 1214.5)
eff. 2-21-14 ................................. 77353 Removed.................................... 7392
1204.402 Revised; eff. 2-21-14 ........... 77353 1260 Authority citation re-
1204.403 Revised; eff. 2-21-14 ........... 77353 vised......................................... 21125
Removed; interim ........................76076
1204.508 Revised; eff. 2-14-14 ........... 76058 1260.4 (b)(2) revised ....................... 67349
1204.10001204.1006 (Subpart 10) 1260.10 (b)(1)(iv) added................... 67349
Authority citation revised ......... 5125 1260.14 (e) added ............................ 67349
1204.1000 Amended.......................... 5125 1260.77 Removed ........................... 21125
1204.1001 (a) and (b) amended........... 5126 1267 Removed ............................... 56488
1204.1002 Amended.......................... 5126 1273 Authority citation re-
1204.1003 (a) introductory text, vised......................................... 21126
(1), (2), (b), (c), (d) and (e) Removed; interim ........................76076
amended .................................... 5126 1273.50 Removed ........................... 21126
1204.1004 Amended.......................... 5126 1273.51 Removed ........................... 21126
1204.1005 (a) revised; (b) and (2)
vised................................ 21126, 56488
amended .................................... 5126 1274.803 Removed.......................... 21126
1204.1006 Amended.......................... 5126 1274.804 Removed.......................... 21126
1209.302 Amended.......................... 20423 1274.927 Revised ............................ 56488
1209.3001209.305 (Subpart 3) Re-
vised......................................... 20423 2015
1212 Authority citation correctly
revised ....................................... 8963 14 CFR 80 FR
Page
1212.201 Heading and (c)(1) cor-
Chapter V
rectly revised; (f) correctly re-
1204.11001204.1104 (Subpart 11)
designated as (g); new (f) cor-
Authority citation revised; eff.
rectly added ............................... 8963
1-12-16 ....................................... 70152
1212.704 (a) correctly amended ........ 8964 1204.1100 Revised; eff. 1-12-16 ......... 70152
1230 Revised; eff. 2-14-14 ................ 76059 1204.1101 Revised; eff. 1-12-16 ......... 70152
1232 Revised; eff. 2-14-14 ................ 76059 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
417
14 CFR (1116 Edition)
14 CFRContinued 80 FR 14 CFRContinued 80 FR
Page Page
Chapter VContinued Chapter VContinued
1216.2001216.205 (Subpart 1216.2) 1245.110 (b) and (c) redesignated as
Removed .................................. 30353 (c) and (d); new (b) added............ 19199
1217 Authority citation re- 1245.112 (a) revised ........................ 19199
vised......................................... 45865 1245.116 (b) revised ........................ 19199
1217.103 (a)(1), (2) and (3) re- 1245.117 (a) revised ........................ 19199
vised......................................... 45865 1245.3001245.304 (Subpart 3) Au-
1245.1001245.118 (Subpart 1) Au- thority citation revised ............ 42029
thority citation revised ............ 19197 1245.301 (a) amended ..................... 42029
1245.100 Revised ............................ 19197 1262 Authority citation re-
1245.101 Revised ............................ 19197 vised......................................... 42029
1245.102 (c) revised; (d) through (j) 1262.201 (d) amended...................... 42029
redesignated as (e) through (k); 1262.202 (a) amended...................... 42029
new (d) added ............................ 19197 1263 Authority citation re-
1245.103 (a) and (b) revised ............. 19198 vised......................................... 42029
1245.104 (a), (b) introductory text, 1264 Authority citation re-
(2), (3) introductory text, (v), vised......................................... 42029
(c) and (d) revised; (e) removed; 1264.109 (c) amended...................... 42029
(f) redesignated as new (e) ......... 19198 1264.111 (b)(4) amended.................. 42029
1245.106 (c) and (d) revised ............. 19199 1264.116 (b) amended...................... 42029
1245.107 (b) introductory text re- 1264.124 Amended.......................... 42029
vised......................................... 19199 1266 Authority citation re-
1245.108 (b) and (c) amended........... 19199 vised......................................... 42030

418

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Title 14

Aeronautics and Space

Revised as of January 1, 2016

Containing a codification of documents

Published by the Office of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PUBLISHING OFFICE

U.S. Superintendent of Documents Washington, DC 204020001

Chapter VNational Aeronautics and Space Administration ........ 3

Chapter VIAir Transportation System Stabilization ................... 369

Table of CFR Titles and Chapters ....................................................... 385

Alphabetical List of Agencies Appearing in the CFR ......................... 405

List of CFR Sections Affected ............................................................. 415

To cite the regulations in

Title 14AERONAUTICS AND SPACE is composed of five volumes. The parts in

CHAPTER VNational Aeronautics and Space Administra-

of NASAeffectuation of Title VI of the Civil

planning, coordination, and control of 1203.203 Degree of protection.

1201.300 Boards and committees. Subpart DGuides for Original

1203.200 Background and discussion. 1203.901 Responsibilities.

mation or material which requires pro-

(1) Basic classification, downgrading 1203.202 Responsibilities.

lacking, and any other matters likely

guarding of classified information or

Subpart CClassification 1203.305 Restricted data.

systems, installations, infrastructures,

(h) The development, production, or 1203.403 [Reserved]

son or justification for its classifica-

Director, Information Security Over- declassification 10 years from the date

thority cannot determine an earlier

1203.409 Exceptional cases. proved in writing by the Adminis-

that reclassification is required to pre-

with a specific date or event deter- for declassification, information shall

will be provided to the Information Se- by the originating agency if:

determination is final. If the requester downgraded or declassified, NASA shall

units to which it applies. Items with- Services, is designated to act as the

be the Chairperson of the Committee.

1203.804 Meetings. tigative and support services for the

committees, and its ad hoc panels. Services, or designee, to ensure re-

1203.1001 Membership. appropriate and adequate protection

designated as NASA Critical Infra- lishment of each permanent security

information will be submitted to the

1203a.103 Access to security areas. ments or procedures for authorized

Whoever willfully violates, attempts to National and Commercial Space Pro-

owned or leased by, or under the con-

sible: NASA Headquarters and each Installa-

Subpart 11Enforcing Traffic Laws at NASA Subpart 4Small Business Policy

Subparts 1213 [Reserved] SOURCE: 58 FR 43554, Aug. 17, 1993, unless

1204.402 Responsibilities. CFR part 1852, Solicitation Provisions

NASAs general policy for small busi- tions in implementation thereof.

(wherever located) controlled by sions as the head of the agency deems

Engineers, U.S. Army. subject to the provisions of NASA Pol-

1204.5061204.507 [Reserved] 1204.509 Delegation of authority to

and property in their possession while

Headquarters, NASA Centers, or Com- YOUR CONSENT TO INSPECTION OF

YOUR ENTRY INTO, CONTINUED

1204.1005 Unauthorized introduction Subpart 11Enforcing Traffic Laws

such security requirements, restrictions, and

lege or license to drive suspended or re-

runway is grooved for improved brak- available as directed by the control

National Guard continuously in ac-

8, 1983, and titled Intergovernmental 1204.1507 Communicating with State