CFR 2021 Title14 Vol5

Title 14
Aeronautics and Space

Part 1200 to End
Revised as of January 1, 2021
Containing a codification of documents

of general applicability and future effect
As of January 1, 2021
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
VerDate Sep<11>2014 13:45 Jul 09, 2021 Jkt 253050 PO 00000 Frm 00001 Fmt 8091 Sfmt 8091 Y:\SGML\253050.XXX 253050
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Table of Contents
Page
Explanation ................................................................................................ v
Title 14:
Chapter V—National Aeronautics and Space Administration ........ 3
Chapter VI—Air Transportation System Stabilization ................... 371
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 387
Alphabetical List of Agencies Appearing in the CFR ......................... 407
List of CFR Sections Affected ............................................................. 417
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
The contents of the Federal Register are required to be judicially noticed (44
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The Code of Federal Regulations is kept up to date by the individual issues
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Each volume of the Code contains amendments published in the Federal Reg-
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Many agencies have begun publishing numerous OMB control numbers as amend-
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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,
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1963, 1964-1972, 1973-1985, and 1986-2000.
‘‘[RESERVED]’’ TERMINOLOGY
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will approve an incorporation by reference only when the requirements of 1 CFR
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(c) The incorporating document is drafted and submitted for publication in
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vi
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revision dates of the 50 CFR titles.
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OLIVER A. POTTS,
Director,
Office of the Federal Register
January 1, 2021
vii
THIS TITLE
Title 14—AERONAUTICS AND SPACE is composed of five volumes. The parts in

these volumes are arranged in the following order: Parts 1–59, 60–109, 110–199, 200–
1199, and part 1200–End. The first three volumes containing parts 1–199 are com-
prised of chapter I—Federal Aviation Administration, Department of Transpor-
tation (DOT). The fourth volume containing parts 200–1199 is comprised of chapter
II—Office of the Secretary, DOT (Aviation Proceedings) and chapter III—Com-
mercial Space Transportation, Federal Aviation Administration, DOT. The fifth
volume containing part 1200–End is comprised of chapter V—National Aero-
nautics and Space Administration and chapter VI—Air Transportation System
Stabilization. The contents of these volumes represent all current regulations
codified under this title of the CFR as of January 1, 2021.
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 14—Aeronautics
and Space
(This book contains part 1200 to end)
Part
CHAPTER V—National Aeronautics and Space Administra-

tion .................................................................................... 1201
CHAPTER VI—Air Transportation System Stabilization ........ 1300
CHAPTER V—NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
Part Page
1200 [Reserved]
1201 Statement of organization and general information 5
1203 Information Security Program ............................... 6
1203a NASA security areas ............................................... 21
1203b Security programs; arrest authority and use of
force by NASA security force personnel .............. 23
1204 Administrative authority and policy ...................... 26
1205 [Reserved]
1206 Procedures for disclosure of records under the
Freedom of Information Act (FOIA) .................... 48
1207 Standards of conduct .............................................. 71
1208 Uniform relocation assistance and real property
acquisition for Federal and federally assisted
programs .............................................................. 73
1209 Boards and committees ........................................... 74
1210–1211 [Reserved]
1212 Privacy Act—NASA regulations ............................. 76
1213 Release of information to news and information
media .................................................................... 89
1214 Space flight ............................................................. 93
1215 Tracking and Data Relay Satellite System
(TDRSS) ............................................................... 102
1216 Environmental quality ............................................ 108
1217 Duty-free entry of space articles ............................. 115
1221 The NASA Seal and other devices, and the Con-
gressional Space Medal of Honor ......................... 119
1230 Protection of human subjects ................................. 132
1232 Care and use of animals in the conduct of NASA
activities .............................................................. 150
1240 Inventions and contributions .................................. 151
1241 To Research, Evaluate, Assess, and Treat (TREAT)
Astronauts ........................................................... 156
1245 Patents and other intellectual property rights ....... 161
14 CFR Ch. V (1–1–21 Edition)
Part Page
1250 Nondiscrimination in federally-assisted programs
of NASA—effectuation of Title VI of the Civil
Rights Act of 1964 ................................................. 174
1251 Nondiscrimination on basis of disability ................ 185
1252 Nondiscrimination on the basis of age in programs
or activities receiving Federal financial assist-
ance ...................................................................... 203
1253 Nondiscrimination on the basis of sex in education
programs or activities receiving Federal finan-
cial assistance ...................................................... 210
1259 National Space Grant College and Fellowship Pro-
gram ..................................................................... 227
1260 [Reserved]
1261 Processing of monetary claims (general) ................ 233
1262 Equal Access to Justice Act in agency proceedings 265
1263 Demand for information or testimony served on
agency employees; procedures ............................. 272
1264 Implementation of the Program Fraud Civil Pen-
alties Act of 1986 ................................................... 275
1266 Cross-waiver of liability .......................................... 292
1271 New restrictions on lobbying .................................. 296
1273 [Reserved]
1274 Cooperative agreements with commercial firms ..... 307
1275 Research misconduct .............................................. 362
PART 1200 [RESERVED] § 1201.102 Functions.
In order to carry out the purpose of
PART 1201—STATEMENT 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
Earth’s atmosphere; to develop, con-
Subpart 1—Introduction 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 2—Organization space. The term aeronautical and space
vehicles means aircraft, missiles, sat-
1201.200 General.
ellites, and other space vehicles, to-
Subpart 3—Boards 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 1—Introduction 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 Administrator’s responsibilities.
It is the purpose of the National Aer- In the Administrator’s 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 2—Organization
and shall be directed by, the National
Aeronautics and Space Administration, § 1201.200 General.
except that activities peculiar to or NASA’s 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 (1–1–21 Edition)
planning, coordination, and control of 1203.203 Degree of protection.

NASA programs is vested in NASA
Headquarters located in Washington, Subpart C—Classification 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 3—Boards and 1203.304 Internal effect.
Committees 1203.305 Restricted data.
§ 1201.300 Boards and committees. Subpart D—Guides for Original

Classification
(a) NASA’s 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 E—Derivative 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 F—Declassification and
7101–7109), 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-
22041–3208, by phone at 703–681–8500, 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 H—Delegation of Authority To
Make Determinations in Original Clas-
PART 1203—INFORMATION sification Matters
SECURITY PROGRAM
1203.800 Establishment.
Subpart A—Scope 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 I—NASA Information Security
Subpart B—NASA 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 J—Special 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 A—Scope (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 B—NASA 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 (1–1–21 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 NASA’s 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 Center’s 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 (1–1–21 Edition)
Subpart C—Classification § 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 D—Guides 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
son or justification for its classifica- jurisdiction for classification purposes,
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 (1–1–21 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 Agency’s 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
thority cannot determine an earlier approval.
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
Center’s or installation’s 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 (1–1–21 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 E—Derivative
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 F—Declassification 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 originator’s 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 information’s 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 (1–1–21 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 NASA’s 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 President’s White House numbers, date and title of document, in
Staff, or the Vice President’s 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 Archivist’s 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 (1–1–21 Edition)
determination is final. If the requester downgraded or declassified, NASA shall

is dissatisfied with NASA’s 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 NASA’s 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 H—Delegation 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 Committee’s work.
The Information Security Program
Manager, NASA Office of Protective [78 FR 5121, Jan. 24, 2013]
19
§ 1203.804 14 CFR Ch. V (1–1–21 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 I—NASA 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 Committee’s 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 J—Special 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 Committee’s 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 1203a—NASA 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 (1–1–21 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
information will be submitted to the within 15 workdays.
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 1203b—SECURITY 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
individual’s 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 authority—gen-
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 (1–1–21 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 officer’s
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 Counsel’s 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- ity—general guidelines.
striction of a person’s movement, other
than a brief detention for purposes of (a) In making an arrest, the security
questioning concerning a person’s 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 (1–1–21 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 1204—ADMINISTRATIVE
arrest authority. AUTHORITY AND POLICY
(b) The Administrator shall establish
a reporting requirement for NASA Subparts 1–2 [Reserved]
Headquarters and NASA Centers.
(c) The Assistant Administrator for Subpart 3—NASA Guidance Documents
Protective Services, or designee, will
Sec.
ensure that all persons who are author-
1204.300 General.
ized to exercise arrest authority will, 1204.301 Review and clearance.
before performing these duties: 1204.302 Requirements for clearance.
(1) Receive instructions on regula- 1204.303 Public access to effective guidance
tions regarding the use of force, includ- documents.
ing deadly force; and 1204.304 Good faith cost estimates.
(2) Demonstrate requisite knowledge 1204.305 Approved procedures for guidance
and skill in the use of unarmed defense documents identified as ‘‘significant’’ or
‘‘otherwise of importance to the NASA’s
techniques and their assigned firearms. interests.’’
(d) The Associate Assistant Adminis- 1204.306 Definitions of ‘‘significant guidance
trator for Protective Services, or des- document’’ and guidance documents that
ignee, will also: are ‘‘otherwise of importance to NASA’s
(1) Ensure periodic refresher training interests.’’
to maintain continued proficiency and 1204.307 Designation procedures.
current knowledge of unarmed defense 1204.308 Notice-and-comment procedures.
techniques; 1204.309 Petitions for guidance.
1204.310 Rescinded guidance.
(2) Require security force personnel 1204.311 Exigent circumstances.
exercising arrest authority to requalify 1204.312 Reports to Congress and the Gov-
semiannually with their assigned fire- ernment Accountability Office (GAO).
arms; and 1204.313 No judicial review or enforceable
(3) Require periodic refresher train- rights.
ing to ensure continued familiarity
with regulations. Subpart 4—Small Business Policy
(e) The Executive Director for Head- 1204.400 Scope of subpart.
quarters Operations, and Center Direc- 1204.401 Policy.
tors shall issue local policies and pro- 1204.402 Responsibilities.
cedural requirements, subject to prior 1204.403 General policy.
NASA Headquarters approval, which
will supplement this regulation for Subpart 5—Delegations and Designations
NASA Headquarters or NASA Center- 1204.500 Scope of subpart.
specific concerns. 1204.501 Delegation of authority—to take
actions in real estate and related mat-
[57 FR 4926, Feb. 11, 1992, as amended at 58 ters.
FR 5263, Jan. 21, 1993; 78 FR 5125, Jan. 24, 1204.502 [Reserved]
2013] 1204.503 Delegation of authority to grant
easements.
§ 1203b.109 Disclaimer. 1204.504 Delegation of authority to grant
These regulations are set forth solely leaseholds, permits, and licenses in real
for the purpose of internal National property.
Aeronautics and Space Administration 1204.505 Delegation of authority to execute
certificates of full faith and credit.
guidance. They are not intended to, 1204.506–1204.507 [Reserved]
and may not be relied upon to create 1204.508 Delegation of authority of certain
any rights, substantive or procedural, civil rights functions to Department of
enforceable at law by any party in any Education.
26
1204.509 Delegation of authority to take ac- 1204.1508 Time limitations for receiving
tion regarding ‘‘liquidated damage’’ as- comments on proposed direct Federal de-
sessments under the Contract Work velopment.
Hours and Safety Standards Act, and as- 1204.1509 Receiving and responding to com-
sociated labor statutes. ments.
1204.1510 Efforts to accommodate intergov-
Subparts 6–9 [Reserved] ernmental concerns.
1204.1511 Coordination in interstate situa-
Subpart 10—Inspection of Persons and Per- tions.
sonal Effects at NASA Installations or 1204.1512 [Reserved]
on NASA Property; Trespass or Unau- 1204.1513 Waivers of provisions of these reg-
thorized Introduction of Weapons or ulations.
Dangerous Materials Subpart 16—Temporary Duty Travel—
1204.1000 Scope of subpart. Issuance of Motor Vehicle for Home-
1204.1001 Policy. to-Work Transportation
1204.1002 Responsibility.
1204.1003 Procedures. 1204.1600 Issuance of motor vehicle for
1204.1004 Trespass. home-to-work.
1204.1005 Unauthorized introduction of fire- APPENDIX A TO PART 1204—ITEMS TO COVER
arms or weapons, explosives, or other IN MEMORANDA OF AGREEMENT
dangerous materials.
1204.1006 Violations. Subparts 1–2[Reserved]
Subpart 11—Enforcing Traffic Laws at NASA
Centers and Component Facilities Subpart 3—NASA Guidance
Documents
1204.1100 Scope of subpart.
1204.1101 Policy.
1204.1102 Responsibilities. AUTHORITY: 51 U.S.C. 20113.
1204.1103 Procedures. SOURCE: 85 FR 16542, Mar. 24, 2020, unless
1204.1104 Violations. otherwise noted.
Subparts 12–13 [Reserved] § 1204.300 General.

Subpart 14—Use of NASA Airfield Facilities (a) This subpart governs all National
by Aircraft Not Operated for the Ben- Aeronautics and Space Administration
efit of the Federal Government (NASA or Agency) employees and con-
tractors involved with all phases of
1204.1400 Scope. issuing NASA guidance documents.
1204.1401 Definitions. (b) Subject to the qualifications and
1204.1402 Policy. exemptions contained in this subpart,
1204.1403 Available airport facilities.
the procedures in this subpart apply to
1204.1404 Requests for use of NASA airfield
facilities. all guidance documents issued by
1204.1405 Approving authority. NASA after April 23, 2020.
1204.1406 Procedures in the event of a de- (c) For purposes of this subpart, the
clared in-flight emergency. term guidance document includes any
1204.1407 Procedure in the event of an unau- statement of Agency policy or inter-
thorized use. pretation concerning a statute, regula-
tion, or technical matter within the ju-
Subpart 15—Intergovernmental Review of risdiction of the Agency that is in-
National Aeronautics and Space Ad- tended to have general applicability
ministration Programs and Activities and future effect, but which is not in-
1204.1501 Purpose. tended to have the force or effect of
1204.1502 Definitions. law in its own right and is not other-
1204.1503 Programs and activities subject to wise required by statute to satisfy the
these regulations. rulemaking procedures specified in 5
1204.1504 [Reserved] U.S.C. 553 or 5 U.S.C. 556. The term is
1204.1505 Federal interagency coordination.
not confined to formal written docu-
1204.1506 Procedures for selecting programs
and activities under these regulations. ments; guidance may come in a variety
1204.1507 Communicating with State and of forms, including (but not limited to)
local officials concerning the Agency’s letters, memoranda, circulars, bul-
programs and activities. letins, advisories, and may include
27
§ 1204.301 14 CFR Ch. V (1–1–21 Edition)
video, audio, and web-based formats. § 1204.301 Review and clearance.

See Office of Management and Budget All NASA guidance documents, as de-
(OMB) Bulletin 07–02, ‘‘Agency Good fined in § 1204.300(c), require review and
Guidance Practices,’’ (‘‘OMB Good clearance in accordance with this sub-
Guidance Bulletin’’). part.
(d) This subpart does not apply to: (a) Guidance proposed by a NASA re-
(1) Rules exempt from rulemaking responsible office must be reviewed by
quirements under 5 U.S.C. 553(a); the head of the relevant legal practice
(2) Rules of Agency organization, pro- group within NASA’s Office of General
cedure, or practice; Counsel (OGC) and cleared by the Gen-
(3) Decisions of Agency adjudications eral Counsel.
under 5 U.S.C. 554 or similar statutory (b) Additional reviews by other
provisions; NASA offices are also conducted and
are described in NPD 1400.2, Publishing
(4) Internal executive branch legal
NASA Documents in the FEDERAL REG-
advice or legal advisory opinions ad- ISTER and Responding to Regulatory
dressed to executive branch officials; Actions, https://nodis3.gsfc.nasa.gov/
(5) Agency statements of specific ap- displayDir.cfm?t=NPD&c=1400&s=2E.
plicability, including advisory or legal
opinions directed to particular parties § 1204.302 Requirements for clearance.
about circumstance-specific questions NASA’s review and clearance of guid-
(e.g., case or investigatory letters re- ance shall ensure that each guidance
sponding to complaints, warning let- document proposed by a NASA respon-
ters), notices regarding particular loca- sible office satisfies the following re-
tions or facilities (e.g., guidance per- quirements:
taining to the use, operation, or con- (a) The guidance document complies
trol of a government facility or prop- with all relevant statutes and regula-
erty), and correspondence with indi- tion (including any statutory deadlines
vidual persons or entities (e.g., congres- for Agency action);
sional correspondence), except docu- (b) The guidance document identifies
ments ostensibly directed to a par- or includes:
(1) The term ‘‘guidance’’ or its func-
ticular party but designed to guide the
tional equivalent;
conduct of the broader regulated pub-
(2) The issuing NASA responsible of-
lic;
fice name;
(6) Legal briefs, other court filings, (3) A unique identifier, including, at
or positions taken in litigation or en- a minimum, the date of issuance and
forcement actions; title of the document and its regu-
(7) Agency statements that do not set latory identification number (RIN), if
forth a policy on a statutory, regu- applicable;
latory, or technical issue or an inter- (4) The activity or entities to which
pretation of a statute or regulation, in- the guidance applies;
cluding speeches and individual presen- (5) Citations to applicable statutes
tations, editorials, media interviews, and regulations;
press materials, or congressional testi- (6) A statement noting whether the
mony that do not set forth for the first guidance is intended to revise or re-
time a new regulatory policy; place any previously issued guidance
(8) Guidance pertaining to military and, if so, sufficient information to
or foreign affairs functions; identify the previously issued guid-
ance; and
(9) Grant solicitations and awards;
(7) A short summary of the subject
(10) Contract solicitations and matter covered in the guidance docu-
awards; or ment at the top of the document;
(11) Purely internal Agency policies (c) The guidance document avoids
or guidance directed solely to NASA using mandatory language, such as
employees or contractors or to other ‘‘shall,’’ ‘‘must,’’ ‘‘required,’’ or ‘‘re-
Federal agencies that are not intended quirement,’’ unless the language is de-
to have substantial future effect on the scribing an established statutory or
behavior of regulated parties. regulatory requirement or is addressed
28
to NASA employees and will not fore- may induce private parties to alter
close NASA’s consideration of posi- their conduct to conform to rec-
tions advanced by affected private par- ommended standards or practices,
ties; thereby incurring costs beyond the
(d) The guidance document is written costs of complying with existing stat-
in plain and understandable English; utes and regulations. While it may be
and difficult to predict with precision the
(e) All guidance documents include a economic impact of voluntary guid-
clear and prominent statement declar- ance, the proposing NASA responsible
ing that the contents of the document office shall, to the extent practicable,
do not have the force and effect of law, make a good faith effort to estimate
are not meant to bind the public in any the likely economic cost impact of the
way, and the document is intended guidance document to determine
only to provide clarity to the public re- whether the document might be signifi-
garding existing requirements under cant. When a NASA responsible office
the law or NASA’s policies. is assessing or explaining whether it
believes a guidance document is sig-
§ 1204.303 Public access to effective nificant, it should, at a minimum, pro-
guidance documents. vide the same level of analysis that
The NASA responsible office issuing would be required for a major deter-
guidance documents shall: mination under the Congressional Re-
(a) Ensure all effective guidance doc- view Act. When NASA determines that
uments, identified by a unique identi- a guidance document will be economi-
fier which includes, at a minimum, the cally significant, the NASA responsible
document’s title and date of issuance office should conduct and publish a
or revision and its RIN, if applicable, Regulatory Impact Analysis of the sort
are on its website in a single, search- that would accompany an economically
able, indexed database, and available significant rulemaking, to the extent
to the public in accordance with reasonably possible.
§ 1204.309;
(b) Note on its website that guidance § 1204.305 Approved procedures for
documents lack the force and effect of guidance documents identified as
law, except as authorized by law or as ‘‘significant’’ or ‘‘otherwise of im-
incorporated into a contract; portance to the NASA’s interests.’’
(c) Advertise on its website where the (a) For guidance proposed by a NASA
public can comment electronically on responsible office, if there is a reason-
any guidance documents that are sub- able possibility the guidance may be
ject to the notice-and-comment proce- considered ‘‘significant’’ or ‘‘otherwise
dures described in § 1204.308 and to sub- of importance to NASA’s interests’’
mit requests electronically for within the meaning of § 1204.306 or if
issuance, reconsideration, modifica- the NASA responsible office is uncer-
tion, or rescission of guidance docu- tain whether the guidance may qualify
ments. Guidance documents subject to as such, the NASA responsible office
the notice-and-comment procedures, should email a copy of the proposed
but not published on the Agency’s guidance document (or a summary of
website, will be rescinded; and it) to OGC for review and further direc-
(d) Designate an office to receive and tion before issuance. Unless exempt,
address complaints from the public each proposed NASA guidance docu-
that NASA is not following the re- ment determined to be significant or
quirements of OMB’s Good Guidance otherwise of importance to NASA’s in-
Bulletin or is improperly treating a terests must be approved by the NASA
guidance document as a binding re- Administrator before issuance. In such
quirement. instances, the NASA Mission Support
Directorate (MSD) will:
§ 1204.304 Good faith cost estimates. (1) Request that the proposing NASA
Even though not legally binding, responsible office obtain a RIN to re-
some Agency guidance may result in a port what NASA is planning to issue;
substantial economic impact. For ex- (2) Coordinate the guidance docu-
ample, the issuance of Agency guidance ment with OMB’s Office of Information
29
§ 1204.306 14 CFR Ch. V (1–1–21 Edition)
and Regulatory Affairs (OIRA) for the (b) The term ‘‘significant guidance
interagency review, final significance document’’ does not include the cat-
determination, and clearance; and egories of documents excluded by
(3) Advise the NASA responsible of- § 1204.306 or any other category of guid-
fice on coordinating the guidance docu- ance documents exempted in writing
ment for an internal NASA review be- by NASA in consultation with OIRA.
fore submitting it to the NASA Admin- (c) Significant and economically sig-
istrator for approval. nificant guidance documents must be
(b) If the guidance document is deter- reviewed by OIRA under E.O. 12866 be-
mined not to be either significant or fore issuance and must demonstrate
otherwise of importance to NASA’s in- compliance with the applicable re-
terests within the meaning of § 1204.306, quirements for regulations or rules, in-
OGC will advise the NASA responsible cluding significant regulatory actions,
office to proceed with issuance of the set forth in E.O. 12866, E.O. 13563, E.O.
guidance through the NASA MSD for 13609, E.O. 13771, and E.O. 13777.
publication in the FEDERAL REGISTER. (d) Even if not ‘‘significant,’’ a guid-
For each guidance document coordi- ance document will be considered
nated through the NASA MSD, the ‘‘otherwise of importance to NASA’s
issuing NASA responsible office should interests’’ within the meaning of this
include a statement in the action paragraph (d) if it may reasonably be
memorandum indicating that the guid- anticipated:
ance document has been reviewed and (1) To relate to a major program, pol-
cleared in accordance with this proc- icy, or activity of NASA or a high-pro-
ess. file issue pending for decision before
NASA;
§ 1204.306 Definitions of ‘‘significant (2) To involve one of the NASA Ad-
guidance document’’ and guidance ministrator’s top policy priorities;
documents that are ‘‘otherwise of (3) To garner significant press or con-
importance to NASA’s interests.’’ gressional attention; or
(4) To raise significant questions or
(a) The term ‘‘significant guidance
concerns from constituencies of impor-
document’’ means a guidance docu-
tance to NASA, such as Committees of
ment that will be disseminated to regu-
Congress, states, Indian tribes, the
lated entities or the general public and
White House or other departments of
that may reasonably be anticipated:
the Executive Branch, courts, con-
(1) To lead to an annual effect on the sumer or public interest groups, or
economy of $100 million or more or ad- leading representatives of industry.
versely affect in a material way the
U.S. economy, a sector of the U.S. § 1204.307 Designation procedures.
economy, productivity, competition,
(a) OGC may request a NASA respon-
jobs, the environment, public health or sible office to prepare a designation re-
safety, or state, local, or tribal govern- quest for their respective guidance doc-
ments or communities. Historically, ument. Designation requests must in-
NASA has not issued any significant clude the following information:
guidance documents with these impli- (1) A summary of the guidance docu-
cations; ment; and
(2) To create serious inconsistency or (2) The NASA responsible office’s rec-
otherwise interfere with an action ommended designation of ‘‘not signifi-
taken or planned by another Federal cant,’’ ‘‘significant,’’ or ‘‘economically
agency; significant,’’ as well as a justification
(3) To alter materially the budgetary for that designation.
impact of entitlements, grants, user (b) Except as otherwise provided in
fees, or loan programs or the rights and paragraph (c) of this section, the NASA
obligations of recipients thereof; or MSD will seek significance determina-
(4) To raise novel legal or policy tions from OIRA. Prior to publishing
issues arising out of legal mandates, these guidance documents, and with
the President’s priorities, or the prin- sufficient time to allow OIRA to review
ciples set forth in E.O. 12866, as further the document in the event that a sig-
amended. nificance determination is made, the
30
NASA MSD should provide OIRA with comment procedures described in para-
an opportunity to review the designa- graph (a) of this section.
tion request or the guidance document,
if requested, to determine if it meets § 1204.309 Petitions for guidance.
the definition of ‘‘significant’’ or ‘‘eco- (a) Interested parties may submit pe-
nomically significant’’ under Executive titions to NASA requesting withdrawal
Order 13891. or modification of any effective guid-
(c) Unless they present novel issues, ance document by selecting the ‘‘peti-
significant risks, interagency consider- tion’’ link for the respective guidance
ations, unusual circumstances, or document located on the NASA Regu-
other unique issues, the categories of lations website at: https://
guidance documents exempted pursu- nodis3.gsfc.nasa.gov/CFRlrep/
ant to an agreement between NASA CFRllist.cfm.
and OIRA do not require designation (b) Interested parties should include
by OIRA. the guidance document’s title and a
summarized justification describing
§ 1204.308 Notice-and-comment proce- why the document should be with-
dures. drawn, how it should be modified, or
(a) Except as provided in paragraph the nature of the complaint in the peti-
(b) of this section, all proposed NASA tion in order to receive an expedited
guidance documents determined to be a response.
‘‘significant guidance document’’ with- (c) The responsible office, in con-
in the meaning of § 1204.306 are subject sultation with OGC, will review the pe-
to notice-and-comment procedures. tition, determine if withdrawal or
The issuing NASA responsible office modification is necessary or the best
shall publish an advance notice in the way to resolve the complaint, and re-
FEDERAL REGISTER of the proposed spond to the petitioner with a decision
guidance document and invite public no later than 90 days after receipt of
comments for a minimum of 30 days, the request.
then publish a response to major con-
cerns raised in the comments when the § 1204.310 Rescinded guidance.
final guidance document is published. No NASA office or NASA Center may
(b) The requirements of paragraph (a) cite, use, or rely on guidance docu-
of this section will not apply to any ments that are rescinded, except to es-
significant guidance document or cat- tablish historical facts.
egories of significant guidance docu-
ments for which OGC finds, in con- § 1204.311 Exigent circumstances.
sultation with OIRA, the proposing In emergency situations or when
NASA responsible office, and the NASA NASA is required by statutory deadline
Administrator, good cause that notice- or court order to act more quickly
and-comment procedure thereon are than normal review procedures allow,
impracticable, unnecessary, or con- the issuing NASA responsible office
trary to the public interest (and incor- shall coordinate with NASA’s MSD to
porates the finding of good cause and a notify OIRA as soon as possible and, to
brief statement of reasons in the guid- the extent practicable, comply with
ance issued). Unless the NASA respon- the requirements of this subpart at the
sible office, in consultation with OGC, earliest opportunity. Wherever prac-
advises otherwise in writing, the cat- ticable, the issuing NASA responsible
egories of guidance exempted pursuant office should schedule its proceedings
to an agreement between NASA and to permit sufficient time to comply
OIRA will be exempt from the require- with the procedures set forth in this
ments of paragraph (a) of this section. subpart.
(c) Where appropriate, the NASA re-
sponsible office, in consultation with § 1204.312 Reports to Congress and the
OGC, may recommend to the NASA Ad- Government Accountability Office
ministrator that a particular guidance (GAO).
document that is otherwise of impor- Unless otherwise determined in writ-
tance to NASA’s interests shall also be ing by NASA, it is the policy of the
subject to the informal notice-and- Agency that upon issuing a guidance
31
§ 1204.313 14 CFR Ch. V (1–1–21 Edition)
document determined to be ‘‘signifi- quality prescribed. In the area of re-

cant’’ within the meaning of § 1204.306, search and development (R&D) con-
the issuing NASA responsible office tracts, the general policy of NASA is to
will submit a report to Congress and award such contracts to those organi-
GAO in accordance with the procedures zations determined by responsible per-
described in 5 U.S.C. 801 (the ‘‘Congres- sonnel to have a high degree of com-
sional Review Act’’). petence in the specific branch of
science or technology required for the
§ 1204.313 No judicial review or en- successful conduct of the work. It is in
forceable rights. the interest of the civilian space pro-
This subpart is intended to improve gram that the number of firms engaged
the internal management of NASA. As inR&D, work for NASA be expanded
such, it is for the use of NASA per- and that there be an increase in the ex-
sonnel only and is not intended to, and tent of participation in such work by
does not create any right or benefit, competent small business firms.
substantive or procedural, enforceable [58 FR 43554, Aug. 17, 1993, as amended at 78
by law or in equity by any party FR 77353, Dec. 23, 2013]
against the United States, its agencies
or other entities, its officers or em- § 1204.402 Responsibilities.
ployees, or any other person. (a) Office of Small Business Programs
(OSBP). The Associate Administrator
Subpart 4—Small Business Policy for Small Business Programs, NASA
Headquarters, is responsible for the ac-
AUTHORITY: 42 U.S.C. 2473(c)(5); 42 U.S.C. tivities described in NASA Policy Di-
2473b; Public Law 101–507, the VA/HUD/Indep. rective 1000.3, The NASA Organization.
Agencies Appropriation Act for FY 1991, at The Associate Administrator is also re-
104 Stat. 1380 (Nov. 5, 1990); and 15 U.S.C. 631– sponsible for representing NASA before
650.
other Government agencies on matters
SOURCE: 58 FR 43554, Aug. 17, 1993, unless primarily affecting small businesses.
otherwise noted. (b) NASA Headquarters and NASA Cen-
ters. Center Directors (including the
§ 1204.400 Scope of subpart. Executive Director for the NASA
This subpart establishes NASA’s Shared Services Center and the Direc-
small business policy and outlines the tor for the NASA Management Office,
delegation of authority in imple- but excluding the Director for the Jet
menting this policy as required by Fed- Propulsion Laboratory) along with the
eral law. Associate Administrator for the Office
of Small Business Programs shall
§ 1204.401 Policy. nominate a qualified individual in
(a) It is NASA’s policy to enable their contracting office as a small busi-
small businesses (including small dis- ness specialist to provide a central
advantaged businesses, small women- point of contact to which small busi-
owned businesses, HUBZone small business concerns may direct inquiries con-
nesses, veteran-owned small businesses cerning small business matters and
and service disabled veteran-owned participation in NASA acquisitions.
small businesses), historically black When a Center Director determines
colleges and universities, and other mi- that the volume of acquisitions or the
nority educational institutions the op- functions relating to acquisitions at
portunity to participate equitably and the Center do not warrant a full-time
proportionately in its total purchases small business specialist, these duties
and contracts that are consistent with may be assigned to procurement per-
the Agency’s needs to execute its mis- sonnel on a part-time basis, with the
sion. concurrence of the Associate Adminis-
(b) In carrying out the NASA pro- trator for the Office of Small Business
curement program, the primary consid- Programs. NASA Centers shall estab-
eration shall be that of securing con- lish and maintain liaison with the
tract performance, including obtaining Small Business Administration (SBA)
deliveries of required items or services Procurement Center Representative
at the time, in the quantity and of the (PCR) or the appropriate SBA Regional
32
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
§ 1204.403 General policy. Acquisition Policies Act of 1970, as
amended (42 U.S.C. 4601), and regula-
NASA’s 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
CFR part 1852, Solicitation Provisions (wherever located) controlled by
and Contract; and NASA Policy Direc- NASA.
tive 5000.2C, Small Business Subcon- (v) Grant the use of NASA-controlled
tracting Goals (http:// real property and approve the acquisi-
nodis3.gsfc.nasa.gov/ tion and use of nongovernment owned
displayDir.cfm?t=NPD&c=5000&s=2). real property for any NASA-related,
[78 FR 77353, Dec. 23, 2013] nonappropriated fund activity purpose
with the concurrence of the NASA
Subpart 5—Delegations and Comptroller.
Designations (vi) Sell and otherwise dispose of real
property in accordance with the provi-
sions of the Federal Property and Ad-
AUTHORITY: 51 U.S.C. 20113.
ministrative Services Act of 1949, as
§ 1204.500 Scope of subpart. amended (40 U.S.C. 471, et seq).
(vii) Exercise control over the acqui-
This subpart establishes various dele- sition, utilization, and disposal of mov-
gations of authority to, and designa- able/relocatable structures including
tions of, National Aeronautics and prefabricated buildings, commercial
Space Administration officials and packaged accommodations, trailers,
other Government officials acting on and other like items used as facility
behalf of the agency to carry out pre- substitutes.
scribed functions of the National Aero- (viii) Request other government
nautics and Space Administration. agencies to act as real estate agent for
[30 FR 3378, Mar. 13, 1965] NASA.
(ix) Authorize other NASA officials
§ 1204.501 Delegation of authority—to to take specific implementing action
take actions in real estate and re- with regard to any real property trans-
lated matters. action included in the scope of author-
(a) Delegation of authority. The Assist- ity delegated in paragraph (a)(2) of this
ant Administrator for Strategic Infra- section.
structure and the Director, Integrated (b) Redelegation. (1) The authority
Asset Management Division, are dele- delegated in paragraph (a)(1) of this
gated authority, in accordance with ap- section may not be redelegated.
plicable laws and regulations, and sub- (2) The authority delegated in para-
ject to conditions imposed by imme- graph (a)(2) of this section may be re-
diate superiors, to: delegated with power of further redele-
(1) Prescribe agency real estate poli- gation.
cies, procedures, and regulations; (c) Reporting. The officials to whom
(2) Enter into and take other actions authority is delegated in this section
including, but not limited to, the fol- shall ensure that feedback is provided
lowing; to keep the Administrator fully and
33
§ 1204.502 14 CFR Ch. V (1–1–21 Edition)
currently informed of significant ac- (f) Restrictions. Except as otherwise

tions, problems, or other matters of specifically provided, no such easement
substance related to the exercise of the shall be authorized or granted under
authority delegated hereunder. the authority stated in paragraph (e) of
this section unless:
[51 FR 26862, July 28, 1986, as amended at 56
FR 57592, Nov. 13, 1991; 79 FR 11319, Feb. 28, (1) The appropriate Center Director
2014] determines:
(i) That the interest in real property
§ 1204.502 [Reserved] to be conveyed is not required for a
NASA program.
§ 1204.503 Delegation of authority to (ii) That the grantee’s exercise of
grant easements. rights under the easement will not
(a) Scope. 40 U.S.C. 319 to 319C author- interfere with NASA operations.
izes executive agencies to grant, under (2) Monetary or other benefit, includ-
certain conditions, the easements as ing any interest in real property, is re-
the head of the agency determines will ceived by the government as consider-
not be adverse to the interests of the ation for the granting of the easement.
United States and subject to the provi- (3) The instrument granting the ease-
sions as the head of the agency deems ment provides:
necessary to protect the interests of (i) For the termination of the ease-
the United States. ment, in whole or in part, and without
(b) Delegation of authority. The Assist- cost to the government, if there has
ant Administrator for Strategic Infra- been:
structure and the Director, Integrated (A) A failure to comply with any
Asset Management Division, are dele- term or condition of the grant;
gated authority to take actions in con- (B) A nonuse of the easement for a
nection with the granting of ease- consecutive 2-year period for the pur-
ments. pose for which granted; or
(c) Definitions. The following defini- (C) An abandonment of the easement;
tions will apply: or
(1) State means the States of the (D) A determination by the Assistant
Union, the District of Columbia, the Administrator for Strategic Infrastruc-
Commonwealth of Puerto Rico, and the ture, the Director, Integrated Asset
possessions of the United States. Management Division, or the appro-
(2) Person includes any corporation, priate Center Director that the inter-
partnership, firm, association, trust, ests of the national space program, the
estate, or other entity. national defense, or the public welfare
(d) Determination. It is hereby deter- require the termination of the ease-
mined that grants of easements made ment; and a 30-day notice, in writing,
in accordance with the provisions of to the grantee that the determination
this section will not be adverse to the has been made.
interests of the United States. (ii) That written notice of the termi-
(e) Redelegation. (1) NASA Center Di- nation shall be given to the grantee, or
rectors with respect to real property its successors or assigns, by the Assist-
under their supervision and manage- ant Administrator for Strategic Infra-
ment may, subject to the restrictions structure , the Director, Integrated
in paragraph (f) of this section, exer- Asset Management Division, or the ap-
cise the authority of the National Aer- propriate Center Director, and that
onautics and Space Act of 1958, as termination shall be effective as of the
amended, and 40 U.S.C. 319 to 319C to date of the notice.
authorize or grant easements in, over, (iii) For any other reservations, ex-
or upon real property of the United ceptions, limitations, benefits, bur-
States controlled by NASA as will not dens, terms, or conditions necessary to
be adverse to the interests of the protect the interests of the United
United States. States.
(2) NASA Center Directors may re- (g) Waivers. If, in connection with a
delegate this authority to only two proposed granting of an easement, the
senior management officials of the ap- Center Director determines that a
propriate Center. waiver from any of the restrictions in
34
paragraph (f) of this section is appro- (d) Redelegation. (1) Center Directors
priate, authority for the waiver may be with respect to real property under
requested from the Assistant Adminis- their supervision and management
trator for Strategic Infrastructure or may, subject to the restrictions in
the Director, Integrated Asset Manage- paragraph (e) of this section, grant a
ment Division. leasehold, permit, or license to any
(h) Services of the Corps of Engineers. person or organization, including other
In exercising the authority herein Government agencies, a State, or polit-
granted, the Center Directors, under ical subdivision or agency thereof. This
the applicable provisions of any coop- authority may not be exercised with
erative agreement between NASA and respect to real property which is pro-
the Corps of Engineers (in effect at posed for use by a NASA exchange and
that time), may: subject to the provisions of NASA Pol-
(1) Utilize the services of the Corps of icy Directive 9050.6, NASA Exchange
Engineers, U.S. Army. and Morale Support Activities.
(2) Delegate authority to the Corps of (2) Center Directors may redelegate
Engineers to execute, on behalf of this authority to only two senior man-
NASA, grants of easements in real agement officials of the NASA Center
property, as authorized in this section, concerned.
provided that the conditions set forth (e) Restrictions. Except as otherwise
in paragraphs (f) and (g) of this section specifically provided, no leasehold, per-
are complied with. mit, or license shall be granted under
(i) Distribution of documents. One copy the authority stated in paragraph (d) of
of each document granting an ease- this section unless:
ment interest under this authority, in- (1) The Director of the Center Direc-
cluding instruments executed by the tor concerned determines:
Corps of Engineers, will be forwarded (i) That the interest to be granted is
for filing in the Central Depository for not required for a NASA program.
Real Property Documents to: National (ii) That the grantee’s exercise of
Aeronautics and Space Administration, rights granted will not interfere with
Office of Strategic Infrastructure, Inte- NASA operations.
grated Asset Management Division, (2) Fair value in money is received by
Washington, DC 20546. NASA on behalf of the Government as
[51 FR 26860, July 28, 1986, as amended at 56 consideration.
FR 57592, Nov. 13, 1991; 79 FR 11319, Feb. 28, (3) The instrument provides:
2014] (i) For a term not to exceed 5 years.
(ii) For the termination thereof, in
§ 1204.504 Delegation of authority to whole or in part, and without cost to
grant leaseholds, permits, and li- the Government if there has been:
censes in real property. (A) A failure to comply with any
(a) Delegation of authority. The Na- term or condition of the grant; or
tional Aeronautics and Space Act of (B) A determination by the Assistant
1958, as amended, authorizes NASA to Administrator for Strategic Infrastruc-
grant leaseholds, permits, and licenses ture, the Director, Integrated Asset
in real property. This authority is dele- Management Division, or the Center
gated to the Assistant Administrator Director concerned that the interests
for Strategic Infrastructure and the Di- of the national space program, the na-
rector, Facilities Engineering and Real tional defense, or the public welfare re-
Property Division. quire the termination of the interest
(b) Definition. Real Property means granted; and a 30-day notice, in writ-
land, buildings, other structures and ing, to the grantee that such deter-
improvements, appurtenances, and fix- mination has been made.
tures located thereon. (iii) That written notice of termi-
(c) Determination. It is hereby deter- nation shall be given to the grantee, or
mined that grants of leaseholds, per- its successors or assigns, by the Assist-
mits, or licenses made in accordance ant Administrator for Strategic Infra-
with the provisions of this section will structure, the Director, Integrated
not be adverse to the interests of the Asset Management Division, or the
United States. Center Director concerned, and that
35
§ 1204.505 14 CFR Ch. V (1–1–21 Edition)
termination shall be effective as of the and Space Administration, whenever

date specified by such notice. such certification is required to au-
(iv) For any other reservations, ex- thenticate copies of official records for
ceptions, limitations, benefits, bur- possible admission in evidence in judi-
dens, terms, or conditions necessary to cial proceedings pursuant to 28 U.S.C.
protect the interests of the United 1733 or any other statute:
States. (1) General Counsel;
(f) Waivers. If, in connection with a (2) Deputy General Counsel;
proposed grant, the Center Director de- (3) [Reserved]
termines that a waiver from any of the (4) Assistant General Counsels.
restrictions set forth in paragraph (e)
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]
ture or the Director, Integrated Asset
Management Division. §§ 1204.506–1204.507 [Reserved]
(g) Services of the Corps of Engineers.
§ 1204.508 Delegation of authority of
In exercising the authority herein certain civil rights functions to De-
granted, NASA Center Directors, pur- partment of Education.
suant to the applicable provisions of
any cooperative agreement between It is the National Aeronautics and
NASA and the Corps of Engineers (in Space Administration’s (NASA) policy
effect at the time), may: to comply with the Civil Rights Act of
(1) Utilize the services of the Corps of 1964 (Pub. L. 88–352) that prohibits dis-
Engineers, U.S. Army. crimination in a host of areas, includ-
(2) Delegate authority to the Corps of ing employment and Federally-assisted
Engineers to execute, on behalf of programs and activities. To implement
NASA, any grants of interests in real the provisions of this Act, NASA pro-
property as authorized in this section mulgated the following internal poli-
provided that the conditions set forth cies and requirements, and entered into
in paragraphs (e) and (f) of this section a memorandum of understanding
are complied with. (MOU) with the Department of Edu-
(h) Distribution of Documents. One cation to ensure compliance:
copy of each document granting an in- (a) NASA Policy Directive (NPD)
terest in real property, including in- 2081.1, Nondiscrimination in Federally
struments executed by the Corps of En- Assisted and Conducted Programs of
gineers, will be forwarded for filing in NASA, describes the Agency’s policy to
the Central Depository for Real Prop- ensure nondiscrimination in Federally-
erty Documents to: National Aero- assisted and conducted programs of
nautics and Space Administration, Of- NASA, nondiscrimination in Federally-
fice of Strategic Infrastructure, Wash- conducted education and training pro-
ington, DC 20546. grams, and access for individuals with
disabilities to Federal electronic and
[51 FR 27528, Aug. 1, 1986, as amended at 56
FR 57592, Nov. 13, 1991; 79 FR 11319, Feb. 28,
information technology. NPD 2081.1 is
2014] accessible at http://nodis3.gsfc.nasa.gov/;
(b) NASA Procedural Requirements
§ 1204.505 Delegation of authority to (NPR) 2081.1, Nondiscrimination in
execute certificates of full faith and Federally Assisted and Conducted Pro-
credit. grams, describes the requirements for
(a) Scope. This section designates processing complaints of discrimina-
NASA officials authorized to certify tion, conducting civil rights compli-
NASA documents to be submitted in ance reviews, and internal functional
evidence in Federal Courts. equal opportunity reviews. NPR 2081.1
(b) Delegation of authority. The fol- is accessible at http://
lowing NASA Headquarters officials nodis3.gsfc.nasa.gov/; and
are delegated authority to execute cer- (c) Memorandum of Understanding
tificates of full faith and credit certi- between NASA and the Department of
fying the signatures and authority of Education delegates both the agencies
employees of the National Aeronautics as responsible for specific civil rights
36
compliance duties with respect to ele- § 1204.1000 Scope of subpart.

mentary and secondary schools, and in-
This subpart establishes NASA policy
stitutions of higher education. The
and prescribes baseline, procedures
MOU can be accessed at http://
concerning the inspection of persons
odeo.hq.nasa.gov/documents/DOEd-
and property in their possession while
NASAlMOU.pdf.
entering, or on, or exiting NASA real
[78 FR 76058, Dec. 16, 2013] property or facilities (including NASA
Headquarters, NASA Centers, or Com-
§ 1204.509 Delegation of authority to ponent Facilities). In addition, it pro-
take action regarding ‘‘liquidated scribes unauthorized entry or the un-
damage’’ assessments under the authorized introduction of weapons or
Contract Work Hours and Safety other dangerous instruments or mate-
Standards Act, and associated labor
statutes. rials at any NASA facility.
(a) Delegation of authority. The Assist- [65 FR 47663, Aug. 3, 2000, as amended at 78
FR 5125, Jan. 24, 2013]
ant Administrator, Office of Strategic
Infrastructure, is hereby delegated the
§ 1204.1001 Policy.
authority to act for the Administrator
in all matters where the ‘‘Agency (a) In the interest of national secu-
Head’’ is authorized to act under 29 rity, NASA will provide appropriate
CFR part 5, labor standards provisions and adequate protection or security for
applicable to contracts covering feder- personnel, property, facilities (includ-
ally financed and assisted construction ing NASA Headquarters, NASA Cen-
and labor standards provisions applica- ters, and Component Facilities), and
ble to nonconstruction contracts as information in its possession or cus-
they are subject to the Contract Work tody. In furtherance of this policy,
Hours and Safety Standards Act, in re- NASA reserves the right to conduct an
gards to the assessment of liquidated inspection of any person, including any
damages. property in the person’s possession or
(b) Redelegation. None authorized ex- control, as a condition of admission to,
cept by virtue of succession. continued presence on, or exiting any
(c) Reporting. The official to whom NASA facility.
authority is delegated in this regula- (b) This policy is intended to comply
tion will assure that feedback is pro- with the heightened security measures
vided to keep the Administrator infor facilities owned or occupied by Fed-
formed of significant actions, prob- eral agencies (in this case NASA), to
lems, or other matters of substance re- mitigate threats to such facilities and
lated to the exercise of the authority to better protect the persons and prop-
delegated hereunder. erty thereon.
[52 FR 35538, Sept. 22, 1987, as amended at 79 [65 FR 47663, Aug. 3, 2000, as amended at 78
FR 11320, Feb. 28, 2014] FR 5126, Jan. 24, 2013]
§ 1204.1002 Responsibility.
Subparts 6–9 [Reserved]
The NASA Center Directors and the
Executive Director for Headquarters
Subpart 10—Inspection of Persons Operations are responsible for imple-
and Personal Effects at NASA menting the provisions of this subpart.
Installations or on NASA Prop- In implementing this subpart, these of-
erty; Trespass or Unauthorized ficials will coordinate their action with
Introduction of Weapons or appropriate officials of other affected
Dangerous Materials agencies.
[65 FR 47663, Aug. 3, 2000, as amended at 78
AUTHORITY: The National and Commercial FR 5126, Jan. 24, 2013]
Space Program (51 U.S.C.). Sections 20132
and 20133 et seq. § 1204.1003 Procedures.
SOURCE: 65 FR 47663, Aug. 3, 2000, unless (a) All entrances to NASA real prop-
otherwise noted. erty or facilities (including NASA
37
§ 1204.1004 14 CFR Ch. V (1–1–21 Edition)
Headquarters, NASA Centers, or Com- will be provided with a receipt for the
ponent Facilities) will be conspicu- property.
ously posted with the following no- [65 FR 47663, Aug. 3, 2000, as amended at 78
tices: FR 5126, Jan. 24, 2013]
(1) CONSENT TO INSPECTION:
YOUR ENTRY INTO, CONTINUED § 1204.1004 Trespass.
PRESENCE ON, OR EXIT FROM THIS Unauthorized entry upon any NASA
FACILITY IS CONTINGENT UPON real property or facility is prohibited.
YOUR CONSENT TO INSPECTION OF
PERSON AND PROPERTY. [65 FR 47663, Aug. 3, 2000, as amended at 78
FR 5126, Jan. 24, 2013]
(2) UNAUTHORIZED INTRODUC-
TION OF WEAPONS OR DANGEROUS § 1204.1005 Unauthorized introduction
MATERIALS IS PROHIBITED UN- of firearms or weapons, explosives,
LESS SPECIFICALLY AUTHORIZED or other dangerous materials.
BY NASA. YOU MAY NOT CARRY, (a) Refer to the notice in § 1204.1003,
TRANSPORT, INTRODUCE, STORE, paragraph (a)(2), for a description of
OR USE FIREARMS OR OTHER DAN- the consequences for unauthorized in-
GEROUS WEAPONS, EXPLOSIVES OR troduction of firearms or weapons, ex-
OTHER INCENDIARY DEVICES, OR plosives, or other dangerous materials.
OTHER DANGEROUS INSTRUMENT (b)§ 1204.1003, paragraph (a)(2) shall
OR MATERIAL LIKELY TO PRODUCE not apply to:
SUBSTANTIAL INJURY OR DAMAGE (1) The lawful performance of official
TO PERSONS OR PROPERTY UN- duties by an officer, agent, or employee
LESS AUTHORIZED BY NASA. of the United States, a State, or a po-
(b) Only NASA security personnel or litical subdivision thereof, or NASA
members of the facility’s uniformed se- contractor, who is authorized to carry
curity force will conduct inspections firearms or other material covered by
pursuant to this subpart. Such inspec- paragraph (a) of this section.
tions will be conducted in accordance (2) The lawful carrying of firearms or
with guidelines established by the As- other dangerous weapons at or on a
sistant Administrator for Protective NASA facility after written prior ap-
Services , NASA Headquarters. proval has been obtained from the fa-
(c) If an individual does not consent cility Security Office in connection
to an inspection, it will not be con- with sanctioned hunting, range prac-
ducted, but the individual will be de- tice, or other lawful purpose.
nied entry to, or be escorted off the [65 FR 47663, Aug. 3, 2000, as amended at 78
facililty. FR 5126, Jan. 24, 2013]
(d) If, during an inspection, an indi-
vidual is found to be in unauthorized § 1204.1006 Violations.
possession of items believed to rep- Anyone violating these regulations
resent a threat to the safety or secu- may be cited for violating Title 18 of
rity of the facility, the individual will the United States Code (U.S.C.) Section
be denied entry to or be escorted off 799, which states that whoever willfully
the facility, and appropriate law en- shall violate, attempt to violate, or
forcement authorities will be notified conspire to violate any regulation or
immediately. order promulgated by the Adminis-
(e) If, during an inspection conducted trator of the National Aeronautics and
pursuant to this subpart, an individual Space Administration for the protec-
is in possession of U.S. Government tion or security of any laboratory, sta-
tion, base or other facility, or part
property without proper authorization,
thereof, or any aircraft, missile, space-
that person will be required to relin-
craft, or similar vehicle, or part there-
quish the property to the security rep-
of, or other property or equipment in
resentative pending proper authoriza- the custody of the Administration
tion for the possession of the property [NASA], or any real or personal prop-
or its removal from the facility. The erty or equipment in the custody of
individual relinquishing the property any contractor under any contract
38
with the Administration or any sub- Program Requirements. A traffic safe-

contractor of any such contractor, ty program is essential for the protec-
shall be fined under this title [Title 18], tion and security of NASA labora-
or imprisoned not more than one year, tories, stations, bases, or other facili-
or both. ties of NASA’s aircraft, missiles, space-
[65 FR 47663, Aug. 3, 2000, as amended at 78 craft, or similar vehicles or part there-
FR 5126, Jan. 24, 2013] of and of NASA’s real and personal
property, including property in the
custody of NASA contractors and sub-
Subpart 11—Enforcing Traffic Laws contractors.
at NASA Centers and Compo- (b) To ensure a safe and secure work-
nent Facilities place and to provide better for preser-
vation of life and property, all persons
AUTHORITY: The National and Commercial on or in a NASA installation or compo-
Space Program, 51 U.S.C. 20132 and 20133; 5 nent facility shall comply with the ve-
U.S.C. 301, and 18 U.S.C. 799.
hicular and pedestrian traffic require-
SOURCE: 79 FR 54903, Sept. 15, 2014, unless ments of the installation per this Sub-
otherwise noted. part.
§ 1204.1100 Scope of subpart. (c) Vehicular and pedestrian traffic.
The following requirements apply to
This subpart establishes policies pur- the drivers or all vehicles on or in
suant to the requirements of National NASA-owned, controlled, or leased
and Commercial Space Programs (51 property:
U.S.C.) authorizing the NASA Adminis- (1) A driver shall be in possession of
trator to establish such security re- a current and valid state- or territory-
quirements, restrictions, and safe- issued driver’s license and vehicle reg-
guards as he deems necessary in the in- istration, and the vehicle shall display
terest of national security, under 5 all current and valid tags and licenses
U.S.C. 301, and 18 U.S.C. 799, providing required by the jurisdiction in which it
for the imposition of fines and impris- is registered.
onment for violating NASA regulations
(2) A driver who has had his or her
for the protection and security of
privilege or license to drive suspended
NASA assets or assets that are in
or revoked by any state or territory
NASA’s custody. The provisions of this
shall not drive any vehicle in or on
subpart apply to all NASA installa-
tions, including NASA Headquarters, such property during such period of
NASA Centers, and component facili- suspension or revocation.
ties. NASA installations refers to all (3) Drivers shall drive in a careful
NASA-owned, controlled, or leased and safe manner at all times and shall
property, with exclusive or concurrent comply with the signals and directions
Federal jurisdiction, including non- of security personnel and other author-
contiguous or unfenced areas and in- ized individuals; all posted traffic
cluding areas otherwise open to the signs, including speed limits; and all
public at large. These provisions are rules implemented under section
also applicable to all persons who are 1204.1102.
in or on a NASA installation over (4) Drivers shall not block entrances,
which the United States exercises ex- driveways, walks, loading platforms, or
clusive or concurrent legislative juris- fire hydrants.
diction. (5) Drivers shall not park without au-
thority, park in unauthorized locations
[80 FR 70152, Nov .13, 2015]
or in locations reserved for other per-
§ 1204.1101 Policy. sons, park continuously in excess of 18
hours without permission, or park in
(a) It is NASA policy that an effec- any manner contrary to the direction
tive, standardized, and comprehensive of posted signs.
traffic safety program be established
(d) A copy of this subpart shall be
and maintained at all NASA Centers,
posted in an appropriate place at each
and component facilities, as prescribed
NASA Center or component facility.
in NASA Procedural Requirement
(NPR) 8715.C, NASA General Safety [80 FR 70152, Nov. 13, 2015]
39
§ 1204.1102 14 CFR Ch. V (1–1–21 Edition)
§ 1204.1102 Responsibilities. Subparts 12–13 [Reserved]

(a) Consistent with this subpart and
applicable statutes, Center Directors of Subpart 14—Use of NASA Airfield
NASA installations and the Executive Facilities by Aircraft Not Oper-
Director for Headquarters Operations, ated for the Benefit of the
over which the United States has ex- Federal Government
clusive or concurrent legislative juris-
diction, are delegated the authority to AUTHORITY: 42 U.S.C. 2473(c)(1).
establish specific vehicular and pedes-
SOURCE: 56 FR 35812, July 29, 1991, unless
trian traffic rules and regulations for
otherwise noted.
their installations; to specify max-
imum punishments for violating such § 1204.1400 Scope.
rules and regulations; and to issue cita-
This subpart establishes the responsi-
tions, including District Court Viola-
bility and sets forth the conditions and
tion Notices to persons who violate
procedures for the use of NASA airfield
such rules and regulations.
facilities by aircraft not operated for
(b) All persons on a NASA Center or the benefit of the Federal Government.
component facility are responsible for
compliance with locally established ve- § 1204.1401 Definitions.
hicular and pedestrian traffic rules and For the purpose of this subpart, the
regulations. following definitions apply:
[79 FR 54903, Sept. 15, 2014, as amended at 80 (a) NASA Airfield Facility. Those aero-
FR 70152, Nov. 13, 2015] nautical facilities owned and operated
by NASA that consist of the following:
§ 1204.1103 Procedures. (1) Shuttle Landing Facility. The aero-
The Center Directors and the Execu- nautical facility which is a part of the
John F. Kennedy Space Center (KSC),
tive Director for Headquarters Oper-
Kennedy Space Center, Florida, and is
ations shall issue local policies and
located at 80°41′ west longitude and
procedural requirements, which will
28°37′ north latitude.
implement this regulation for their re-
(2) Wallops Airport. The aeronautical
spective NASA Centers and component
facility which is part of the Wallops
facilities.
Flight Facility (WFF), Wallops Island,
[80 FR 70152, Nov. 13, 2015] VA, and is located at 75°28′ west lon-
gitude and 37°56′ north latitude in the
§ 1204.1104 Violations. general vicinity of Chincoteague, Vir-
As authorized by and consistent with ginia.
18 U.S.C. 799, local policies and proce- (3) Moffett Federal Airfield (MFA). The
dural requirements issued under sec- aeronautical facility which is part of
tion 1204.1103 may provide for punish- the Ames Research Center, Moffett
ments for offenses, which shall be clas- Field, California, and is located at
sified in accordance with 18 U.S.C. 122°03′ west longitude and 37°25′ north
3559(a)(6)–(9). A person found in viola- latitude.
tion, in or on a NASA installation, of (4) Crows Landing Airport. The aero-
any vehicular or pedestrian traffic law, nautical facility which is a part of the
or local installation vehicular or pedes- Crows Landing Flight Facility (CLEF)
trian traffic rule or regulation made and is located at 121°06′ west longitude
applicable to the installation under the and 37°25′ north latitude, 45 miles east
provisions of this subpart, is subject to of the Ames Research Center.
(b) Aircraft not Operated for the Benefit
punishment as provided for by the ap-
of the Federal Government. Aircraft
plicable local policies and procedural
which are not owned or leased by the
requirements that a Center Director or
United States Government or aircraft
the Executive Director for Head-
carrying crew members or passengers
quarters Operations has issued under
who do not have official business re-
section 1204.1102 and in accordance
quiring the use of a NASA airfield fa-
with section 1204.1103.
cility in the particular circumstance in
[80 FR 70152, Nov. 13, 2015] question.
40
(c) Official Business. Business, in the sole discretion of the approving au-
interest of the U.S. Government, which thorities.
personnel aboard an aircraft must (b) Except in the event of a declared
transact with U.S. Government per- in-flight emergency (see § 1204.1406) or
sonnel or organizations at or near a as otherwise determined by an approv-
NASA facility. The use of a NASA air- ing authority, aircraft not operated for
field facility by transient aircraft to the benefit of the Federal Government
petition for U.S. Government business are not permitted to land or otherwise
or to obtain clearance, servicing, or use NASA airfield facilities.
other items pertaining to itinerant op- (c) Any use of a NASA airfield facil-
erations is not considered official busi- ity by aircraft not operated for the
ness. benefit of the Federal Government
(d) User. An individual partnership or shall be free of charge and no consider-
corporation owning, operating, or ation (monetary or otherwise) shall be
using an aircraft not operated for the exacted or received by NASA for such
benefit of the Federal Government in use. However, each user, as a condition
whose name permission to use a NASA of receiving permission to use such air-
airfield facility is to be requested and field facility, shall agree to become fa-
granted. miliar with the physical condition of
(e) Hold Harmless Agreement. An the airfield; abide by the conditions
agreement executed by the user by placed upon such use; subject the air-
which the user acknowledges aware- craft, the user, and those accom-
ness of the conditions of the permission panying the user to any requirements
to use a NASA airfield facility, as- imposed by NASA in the interest of se-
sumes any risks connected therewith, curity and safety while the aircraft or
and releases the U.S. Government from persons are on a NASA facility; use the
all liability incurred by the use of such facilities entirely at the user’s own
facility. risk; hold the Federal Government
(f) Use Permit. The written permission harmless with respect to any and all li-
signed by the authorized approving of- abilities which may arise as a result of
ficial to land, take off, and otherwise the use of the facilities; and carry in-
use a NASA airfield facility. Such use surance covering liability to others in
permit may be issued for single or mul- amounts not less than those listed in
tiple occasions. The specific terms of the Hold Harmless Agreement.
the use permit and the provisions of (d) Permission to use a NASA airfield
this subpart govern the use which may facility will be granted only in accord-
be made of the airport by aircraft not ance with the limitations and proce-
operated for the benefit for the Federal dures established by an approving au-
Government. thority and then only when such use
(g) Certificate of Insurance. A certifi- will not compete with another airport
cate signed by an authorized insurance in the vicinity which imposes landing
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
[56 FR 35812, July 29, 1991, as amended at 60 by the authorized approving official.
FR 37567, July 21, 1995] (f) Permission to use NASA airfields
may be granted only to those users
§ 1204.1402 Policy. having the legal capacity to contract
(a) NASA airfields are not normally and whose aircraft are in full compli-
available to the general public; hence, ance with applicable Federal Aviation
any use of airfield facilities by aircraft Administration (FAA) or other cog-
not operated for the benefit of the Fed- nizant regulatory agency require-
eral Government shall be within the ments.
41
§ 1204.1403 14 CFR Ch. V (1–1–21 Edition)
(g) Permission to use NASA airfields, tion. All are marked with obstruction
except in connection with a declared lights.
in-flight emergency, will consist only (6) Emergency Equipment. Aircraft
of the right to land, park an aircraft, Rescue and Fire-fighting (ARFF)
and subsequently take off. NASA is not equipment will be provided in accord-
equipped to provide any other services ance with 14 CFR part 139.
such as maintenance or fuel and such (b) Wallops Airport—(1) Runways.
services will not be provided except fol- There are three hard surfaced runways
lowing an in-flight emergency. in satisfactory condition. The runways
and taxiways are concrete and/or as-
§ 1204.1403 Available airport facilities. phalt. Runway 10–28 is 8,000 feet long,
The facilities available vary at each 200 feet wide with maximum wheel load
NASA Installation having an airfield. of 57,500 pounds; runway 04–22 is 8,750
The airport facilities available are: feet long, 150 feet wide with maximum
(a) Shuttle Landing Facility—(1) Run- wheel load of 57,500 pounds; and runway
ways. Runway 15–33 is 15,000 feet long 17–35 is 4,820 feet long, 150 feet wide
and 300 feet wide with 1,000-foot over- with maximum wheel load of 14,700
runs. The first 3,500 feet at each end of pounds.
the runway have been modified for (2) Parking Areas and Hangar Space.
smoothness. The center 8,000 feet of the No hangar space is available. However,
runway is grooved for improved brak- limited concrete parking ramp space is
ing under wet conditions. available as directed by the control
(2) Parking Areas and Hangar Space. tower.
No hangar space is available. Limited (3) Control Tower. This control tower
available concrete parking ramp space is normally in operation from 0630 to
makes precoordination necessary. 1830 local time, Monday through Fri-
(3) Control Tower. The control tower day, excluding Federal holidays. The
is normally in operation from 0800 to tower may be contacted on 126.5 MHz
1600 local time, Monday through Fri- or 394.3 MHz. When the tower is in op-
day. Additional hours of operation are eration, FAA regulations pertaining to
filed with the St. Petersburg Flight the operation of aircraft at airports
Service Station (FSS). The tower may with an operating tower (§ 91.87 of this
be contacted on 128.55 MHz or 284.0 title) will apply. When the tower is not
MHz. FAA regulations pertaining to in operation, all aircraft operations
the operation of aircraft at airports will be handled by Wallops UNICOM on
with an operating control tower (§ 91.87 the tower frequency, and FAA regula-
of this title) will apply. When the tions pertaining to the operation of
tower is not in operation, the FAA reg- aircraft at airports without an oper-
ulations pertaining to the operation of ating control tower (§ 91.89 of this title)
aircraft at airports without an oper- will apply. In addition to Federal Avia-
ating control tower (§ 91.89 of this title) tion Regulations (FAR’s) (s 91 of this
will apply. title), Wallops requires that pilots ob-
(4) Navigation aids. A Microwave tain clearances from the Wallops
Scanning Beam Landing System UNICOM before landings, takeoffs, and
(MSBLS) and a Tactical Airborne Navi- taxiing. Civil aircraft operations are
gation System (TACAN) are installed normally confined to daylight hours.
at the Facility. There are two pub- (4) Navigation Aids. All runways, 04–
lished TACAN approaches and an ap- 22, 10–28, and 17–35 are lighted. Both ac-
proved and published nondirectional tive taxiways, parallels 04–22 and 10–28,
beacon (NDB) approach available from are lighted. Airfield lighting is avail-
Titusville. Runway approach lighting able upon request. All runway ap-
(similar to Category II ALSF–2) and proaches are equipped with operating
edge lights are available by prior ar- precision approach path indicator
rangement. (PAPI) systems and are available on re-
(5) Hazards. There are towers and quest. All airfield obstructions are
buildings south, southeast, and north- equipped with red obstruction lights.
east of the facility as high as 550 feet (5) Hazards. Numerous towers in air-
that could pose hazards to air naviga- port vicinity up to 241 feet above
42
ground level. Existing tree obstruc- operational at the facility (identifica-

tions are located 1500 feet west of run- tion is NUQ, Channel 123). A Radio Con-
way 10 threshold. High shore bird popu- trolled Lighting System (RCLS) is
lation exists in the Wallops area. Deer operational for the runway lights on
occasionally venture across runways. 32R–14L; 3 clicks within 5 seconds, low
Light-controlled traffic crossovers are intensity; 5 clicks, medium intensity; 7
in existence. Potential radio frequency clicks, high intensity (tower frequency,
(RF) hazards exist from tracking ra- 126.2 Mhz). Lights automatically extin-
dars. Hazards involving aircraft and guish after 15 minutes.
rocket launch operations exist when (5) Hazards. Large blimp hangars (ap-
Restricted Area R–6604 is active. proximately 200 feet high) bracket the
(6) Emergency Equipment. Aircraft res- parallel runways, one on the west side,
cue and fire-fighting equipment is nor- two on the east side. A freeway at the
mally available on a continuous basis. approach end of 32L displaces the
(c) Moffett Federal Airfield—(1) Run- threshold 600 feet.
ways. There are two parallel runways, (6) Emergency equipment. Aircraft Res-
32–14, both in satisfactory to good con- cue and Fire Fighting (ARFF) equip-
dition. The runways and taxiways are ment is provided by the California Air
concrete and/or asphalt. Runway 32R– National Guard continuously in ac-
14L is 9,200 feet long, 200 feet wide; 32L– cordance with U.S. Air Force Regula-
14R is 8,125 feet long, 200 feet wide with tions.
a 600 foot displaced threshold on 32L.
(d) Crows Landing Airport—(1) Run-
(2) Parking areas and hangar space.
ways. There are two concrete runways,
Hangar space is not available; concrete
35–17 and 30–12, both in satisfactory
parking ramp space is available as di-
condition. Parallel taxiways are as-
rected by the control tower.
phalt overlay or concrete. Runway 35–
(3) Control tower. The control tower
17 is 7,950 feet long, 200 feet wide; run-
normally operates from 0700 to 2300
way 30–12 is 6,975 feet long, 200 feet
local time, 7 days a week, excluding
wide.
Federal holidays. The tower fre-
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 the tower is operating, FAA regula-
ILS/DME approach to runway 32R and tions pertaining to the operation of
an LOC/DME approach to runway 14L aircraft at airports with an operating
are published in DOD Flight Informa- tower (§ 91.87 of this title) will apply.
tion Publication (Terminal), Low Alti- When the tower is not operating, all
tude United States, Volume 2. ILS fre- aircraft operations will be conducted
quency is 110.35 Mhz, identifiers are with Crows Landing UNICOM on the
Runway 32R, I-NUQ; Runway 14L, I- primary tower frequency. FAA regula-
MNQ; Tactical Airborne Navigation tions pertaining to the operation of
(TACAN) (DME) is Channel 123, identi- aircraft at airports without an oper-
fier is NUQ. Precision Approach Path ating control tower (§ 91.89 of this title)
Indicators (PAPI) are to be installed by will apply.
July 1, 1995, to provide visual reference (4) Navigation aids. Crows Landing
for the ILS and LOC approaches to run- Airport is a VFR facility. No certified
ways 32R and 14L. A TACAN with ap- NAVAIDS or published approach proce-
proved and published approaches is dures exist.
43
§ 1204.1404 14 CFR Ch. V (1–1–21 Edition)
(5) Hazards. Crows Landing Airport is terms of this subpart 14 and the use
located in an agricultural area. No ob- permit which may be issued.
structions exist within or immediately (c) Upon receipt of the written re-
adjacent to the airspace. The most per- quest for permission to use the airport,
sistent potential hazard is that of agri- the NASA official designated by each
cultural aircraft (crop dusters) without facility will request additional infor-
radios which transit the airspace. mation, if necessary, and forward both
(6) Emergency equipment. Aircraft Res- this regulation and the required Hold
cue and Fire Fighting (ARFF) equip- Harmless Agreement for execution by
ment and services are provided by the the requestor or forward, where appro-
California Air National Guard only priate, a denial of the request.
during published hours of operation. (d) The signed original of the Hold
(e) Other facilities. No facilities or Harmless Agreement shall be returned
services other than those described to the designated NASA official, and a
above are available except on an indi- copy retained in the aircraft at all
vidual emergency basis to any user. times. Such copy shall be exhibited
(f) Status of facilities. Changes to the upon proper demand by any designated
status of the KSC, WFF, MFA, and NASA official.
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:
(1) Shuttle Landing Facility. Director (f) When the documents (in form and
of Center Support Operations, John F. substance) required by paragraphs b
Kennedy Space Center, Kennedy Space through e of this section have been re-
Center, Florida 32899. ceived, they will be forwarded with a
proposed use permit to the approving
(2) Wallops Airport. Director of Sub-
authority for action.
orbital Projects and Operations, God-
dard Space Flight Center, Wallops (g) The designated NASA official will
Flight Facility, Wallops Island, Vir- forward the executed use permit or no-
ginia 23337. tification of denial thereof to the pro-
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 158–1, Moffett Field, FR 37568, July 21, 1995]
California 94035–1000.
(b) Such requests will: § 1204.1405 Approving authority.
(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.
44
(b) Wallops Airport. Director of Sub- § 1204.1407 Procedure in the event of

orbital Projects and Operations, God- an unauthorized use.
dard Space Flight Center, Wallops Any aircraft not operated for benefit
Flight Facility, NASA. of the Federal Government which lands
(c) Moffett Federal Airfield and Crows at a NASA airfield facility without ob-
Landing Flight Facility. Chief, Airfield taining prior permission from the ap-
Management Office, Ames Research proving authority, except in a bona
Center, NASA. fide emergency, is in violation of this
subpart. Such aircraft will experience
[56 FR 35812, July 29, 1991, as amended at 60 delays while authorization for depar-
FR 37568, July 21, 1995]
ture is obtained pursuant to this sub-
part and may, contrary to the other
§ 1204.1406 Procedures in the event of
a declared in-flight emergency. provisions of this subpart, be required,
at the discretion of the approving au-
(a) Any aircraft involved in a de- thority, to pay a user fee of not less
clared in-flight emergency that endan- than $100. Before the aircraft is per-
gers the safety of its passengers and mitted to depart, the approving au-
aircraft may land at a NASA airfield. thority will require full compliance
In such situations, the requirements with this subpart 1204.14, including the
for this subpart for advance authoriza- filing of a complete report explaining
tions, do not apply. the reasons for the unauthorized land-
(b) NASA personnel may use any ing. Violators could also be subject to
method or means to clear the aircraft legal liability for unauthorized use.
or wreckage from the runway after a When it appears that the violation of
landing following an in-flight emer- this subpart was deliberate or is a re-
gency. Care will be taken to preclude peated violation, the matter will be re-
unnecessary damage in so doing. How- ferred to the Aircraft Management Of-
ever, the runway will be cleared as fice, NASA Headquarters, which will
then grant any departure authoriza-
soon as possible for appropriate use.
tion.
(c) The emergency user will be billed
for all costs to the Government that
result from the emergency landing. No
Subpart 15—Intergovernmental
landing fee will be charged, but the Review of National Aero-
charges will include the labor, mate- nautics and Space Adminis-
rials, parts, use of equipment, and tools tration Programs and Activi-
required for any service rendered under ties
these circumstances.
(d) In addition to any report required AUTHORITY: E.O. 12372, July 14, 1982, 47 FR
by the Federal Aviation Administra- 30959, as amended April 8, 1983, 48 FR 15887;
sec. 401 of the Intergovernmental Coopera-
tion, a complete report covering the
tion Act of 1968, as amended (31 U.S.C. 6506).
landing and the emergency will be filed
with the airfield manager by the pilot SOURCE: 48 FR 29340, June 24, 1983, unless
otherwise noted.
or, if the pilot is not available, any
other crew member or passenger. § 1204.1501 Purpose.
(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,
45
§ 1204.1502 14 CFR Ch. V (1–1–21 Edition)
areawide, regional and local coordina- state, before selecting programs and
tion for review of proposed direct Fed- activities shall consult with local
eral development. elected officials.
(c) These regulations are intended to (b) Each state that adopts a process
aid the internal management of the shall notify the Administrator of the
Agency, and are not intended to create Agency’s programs and activities se-
any right or benefit enforceable at law lected for that process.
by a party against the agency or its of- (c) A state may notify the Adminis-
ficers. trator of changes in its selections at
§ 1204.1502 Definitions. any time. For each change, the state
shall submit to the Administrator an
Administrator means the Adminis- assurance that the state has consulted
trator of the U.S. National Aeronautics with local elected officials regarding
and Space Administration or an offi-
the change. The Agency may establish
cial or employee of the Agency acting
deadlines by which states are required
for the Administrator under a delega-
tion of authority. to inform the Administrator of changes
Agency means the U.S. National Aer- in their program selections.
onautics and Space Administration. (d) The Administrator uses a state’s
Order means Executive Order 12372, process as soon as feasible, depending
issued July 14, 1982, and amended April on individual programs and activities,
8, 1983, and titled ‘‘Intergovernmental after the Administrator is notified of
Review of Federal Programs.’’ its selections.
State means any of the 50 states, the
District of Columbia, the Common- § 1204.1507 Communicating with State
wealth of Puerto Rico, the Common- and local officials concerning the
Agency’s programs and activities.
wealth of the Northern Mariana Is-
lands, Guam, American Samoa, the (a) For those programs and activities
U.S. Virgin Islands, or the Trust Terri- covered by a state process under
tory of the Pacific Islands. § 1204.1506 the Administrator, to the ex-
tent permitted by law:
§ 1204.1503 Programs and activities (1) Uses the official state process to
subject to these regulations.
determine views of state and local
The Administrator publishes in the elected officials; and;
FEDERAL REGISTER a description of the (2) Communicates with state and
Agency’s programs and activities that local elected officials, through the offi-
are subject to these regulations. cial state process, as early in a pro-
§ 1204.1504 [Reserved] gram planning cycle as is reasonably
feasible to explain specific plans and
§ 1204.1505 Federal interagency co- actions.
ordination. (b) The Administrator provides no-
The Administrator to the extent tice to directly affected state,
practicable, consults with and seeks areawide, regional, and local entities
advice from all other substantially af- in a state of proposed direct Federal
fected federal departments and agen- development if:
cies in an effort to assure full coordina- (1) The state has not adopted a proc-
tion between such agencies and the ess under the Order; or
Agency regarding programs and activi- (2) The development involves a pro-
ties covered under these regulations. gram or activity not selected for the
state process.
§ 1204.1506 Procedures for selecting
programs and activities under these This notice may be made by publica-
regulations. tion in a periodical of general circula-
(a) A state may select any program tion in the area likely to be affected or
or activity published in the FEDERAL other appropriate means, which the
REGISTER in accordance with § 1204.1503 Agency in its discretion deems appro-
of this part for intergovernmental re- priate.
view under these regulations. Each
46
§ 1204.1508 Time limitations for receiv- this part, when such comments are pro-
ing comments on proposed direct vided by a single point of contact, or
Federal development. directly to the Agency by a com-
(a) Except in unusual circumstances, menting party.
the Administrator gives state processes
or state, areawide, regional and local § 1204.1510 Efforts to accommodate
intergovernmental concerns.
officials and entities at least 60 days
from the date established by the Ad- (a) If a state provides a state process
ministrator to comment on proposed recommendation to the Agency
direct Federal development. through its single point of contact, the
(b) This section also applies to com- Administrator either:
ments in cases in which the review, co- (1) Accepts the recommendation;
ordination, and communication with (2) Reaches a mutally agreeable solu-
the Agency has been delegated. tion with the state process; or
(3) Provides the single point of con-
§ 1204.1509 Receiving and responding tact with a written explanation of its
to comments. decision, in such form as the Adminis-
(a) The Administrator follows the trator in his or her discretion deems
procedures in § 1204.1510 if: appropriate. The Administrator may
(1) A state office or official is des- also supplement the written expla-
ignated to act as a single point of con- nation by providing the explanation to
tact between a state process and all the single point of contact by tele-
federal agencies; and phone, other telecommunication, or
(2) That office or official transmits a other means.
state process recommendation for a (b) In any explanation under para-
program selected under § 1204.1506. graph (a)(3) of this section, the Admin-
(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 (c) For purposes of computing the
process, or is unable to submit a state waiting period under paragraph (b)(1)
process recommendation, state, of this section, a single point of con-
areawide, regional and local officals tact is presumed to have received writ-
and entities may submit comments to ten notification five days after the date
the Agency. of mailing of such notification.
(d) If a program or activity is not se-
lected for a state process, state, § 1204.1511 Coordination in interstate
areawide, regional and local officials situations.
and entities may submit comments to (a) The Administrator is responsible
the Agency. In addition, if a state proc- for—
ess recommendation for a nonselected (1) Identifying proposed direct Fed-
program or activity is transmitted to eral development that has an impact
the Agency by the single point of con- on interstate areas;
tact, the Administrator follows the (2) Notifying appropriate officials
procedures of § 1204.1510 of this part. and entities in states which have
(e) The Administrator considers com- adopted a process and which select the
ments which do not constitute a state Agency’s program or activity.
process recommendation submitted (3) Making efforts to identify and no-
under these regulations and for which tify the affected state, areawide, re-
the Administrator is not required to gional, and local officials and entities
apply the procedures of § 1204.1510 of in those states that have not adopted a
47
§ 1204.1512 14 CFR Ch. V (1–1–21 Edition)
process under the Order or do not se- APPENDIX A TO PART 1204—ITEMS TO

lect the Agency’s program or activity; COVER IN MEMORANDA OF AGREEMENT
(4) Responding pursuant to § 1204.1510
The items to be covered in Memoranda of
of this part if the Administrator re- Agreement between NASA Installations and
ceives a recommendation from a des- state and areawide OMB Circular A–95 clear-
ignated areawide agency transmitted inghouses for coordinating NASA and civil-
by a single point of contact, in cases in ian planning:
which the review, coordination, and 1. Clearinghouses will be contacted at the
communication with the Agency have earliest practicable point in project plan-
been delegated. ning. Generally, this will be during the prep-
(b) The Administrator uses the proce- aration of Preliminary Engineering Reports,
or possibly earlier if meaningful information
dures in § 1204.1510 if a state process
is available that could practically serve as
provides a state process recommenda- an input in the decision-making process. It
tion to the Agency through a single should be noted that clearinghouses are gen-
point of contact. erally comprehensive planning agencies. As
such, they are often the best repositories of
§ 1204.1512 [Reserved] information required for development plan-
ning and constitute a resource that can often
§ 1204.1513 Waivers of provisions of save Federal planners substantial time and
these regulations. effort, if consulted early enough. In addition
In an emergency, the Administrator to providing information necessary for pre-
liminary engineering, clearinghouses can
may waive any provision of these regu-
make useful inputs to the development of en-
lations. vironmental impact statements, as well as in
reviewing draft statements. Thus, consulta-
Subpart 16—Temporary Duty Trav- tion at the earliest stage in planning can
el—Issuance of Motor Vehicle have substantial payoffs in installation de-
velopment.
for Home-to-Work Transpor- 2. Clearinghouses will be afforded a min-
tation imum time of 30 days in which to review and
comment on a proposed project and a max-
AUTHORITY: 31 U.S.C. 1344 note, 40 U.S.C. imum time of 45 days in which to complete
486(c). such review.
3. The minimum information to be pro-
§ 1204.1600 Issuance of motor vehicle vided to the clearinghouse will consist of
for home-to-work. project description, scope and purpose, sum-
mary technical data, maps and diagrams
When a NASA employee on tem- where relevant, and any data which would
porary duty travel is authorized to show the relationship of the proposed project
travel by Government motor vehicle or action to applicable land use plans, poli-
and the official authorizing the travel cies, and controls for the affected area.
determines that there will be a signifi- 4. Establish procedures for notifying clear-
cant savings in time, a Government inghouses of the actions taken on projects,
motor vehicle may be issued at the such as implementation, timing, postpone-
ment, abandonment, and explaining, where
close of the preceding working day and
appropriate, actions taken contrary to clear-
taken to the employee’s residence prior inghouse recommendations.
to the commencement of official trav-
el. Similarly, when a NASA employee
is scheduled to return from temporary PART 1205 [RESERVED]
duty travel after the close of working
hours and the official authorizing the PART 1206—PROCEDURES FOR DIS-
travel determines that there will be a CLOSURE OF RECORDS UNDER
significant savings in time, the motor THE FREEDOM OF INFORMATION
vehicle may be taken to the employee’s ACT (FOIA)
residence and returned the next regular
working day. Subpart A—Basic Policy
[68 FR 60847, Oct. 24, 2003] Sec.
1206.100 Scope.
1206.101 General policy.
48
Subpart B—Types of Records To Be Made 1206.802 General Counsel.

Available 1206.803 NASA Headquarters.
1206.804 NASA Centers and Components.
1206.200 Publishing of records. 1206.805 Inspector General.
1206.201 Proactive disclosure of Agency
records. Subpart I—Location for Inspection and
1206.202 Records that have been published.
1206.203 Incorporation by reference. Request of Agency Records
1206.900 FOIA offices and electronic librar-
Subpart C—Procedures ies.
1206.300 How to make a request for Agency AUTHORITY: 5 U.S.C. 552, 552a; 51 U.S.C.
records. 20113(a)
1206.301 Describing records sought.
1206.302 Fee agreements. SOURCE: 79 FR 46678, Aug. 11, 2014, unless
1206.303 Format of records disclosed. otherwise noted.
1206.304 Expedited processing.
1206.305 Responding to requests.
1206.306 Granting a request. Subpart A—Basic Policy
1206.307 Denying a request.
1206.308 Referrals and consultations within § 1206.100 Scope.
NASA or other Federal agencies. This part 1206 establishes the poli-
cies, responsibilities, and procedures
Subpart D—Procedures and Time Limits for
for the release of Agency records which
Responding to Requests
are under the jurisdiction of the Na-
1206.400 Procedures for processing queues tional Aeronautics and Space Adminis-
and expedited processing. tration, hereinafter NASA, to members
1206.401 Procedures and time limits for ac- of the public. This part applies to infor-
knowledgement letters and initial deter- mation and Agency records located at
minations.
1206.402 Suspending the basic time limit. NASA Headquarters, and NASA Cen-
1206.403 Time extensions. ters, including Component Facilities
and Technical and Service Support
Subpart E—Fees 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-
tion of fees.
Agency, to make available to the full-
1206.507 Categories of requesters. est extent practicable upon request by
1206.508 Aggregation of requests. members of the public, all Agency
1206.509 Form of payment. records under its jurisdiction, as de-
1206.510 Nonpayment of fees. scribed in this regulation.
1206.511 Other rights and services. (b) Part 1206 does not entitle any per-
son to any service or to the disclosure
Subpart F—Commercial Information
of any record that is not required
1206.600 General policy. under the FOIA.
1206.601 Notice to submitters. (c) The disclosure of exempt records,
1206.602 Opportunity to object to disclosure. without authorization by the appro-
1206.603 Notice of intent to disclose. priate NASA official, is not an official
release of information; accordingly, it
Subpart G—Appeals
is not a FOIA release. Such a release
1206.700 How to submit an appeal. does not waive the authority of NASA
1206.701 Actions on appeals. to assert FOIA exemptions to withhold
1206.702 Litigation. the same records in response to a FOIA
request. In addition, while the author-
Subpart H—Responsibilities ity may exist to disclose records to in-
1206.800 Delegation of authority. dividuals in their official capacity, the
1206.801 Chief FOIA Officer. provisions of this part apply if the
49
§ 1206.200 14 CFR Ch. V (1–1–21 Edition)
same individual seeks the records in a staff that affect a member of the pub-
private or personal capacity. lic;
(iv) Copies of all records, regardless
[79 FR 46678, Aug. 11, 2014, as amended at
NASA–2019–0005, 84 FR 54774, Oct. 11, 2019]
of form or format, that have been re-
leased to any person under Subpart C
of this part and that, because of the na-
Subpart B—Types of Records To ture of their subject matter, the Agen-
Be Made Available cy determines have become or are like-
ly to become the subject of subsequent
§ 1206.200 Publishing of records. requests for substantially the same
(a) Records required to be published in records (frequently requested docu-
the Federal Register. The following ments or documents that have been re-
records are required to be published in quested 3 or more times).
the FEDERAL REGISTER, for codification (2) A general index of records referred to
in Title 14, Chapter V, of the CFR. under paragraph (b)(1)(iv) of this section.
(1) Description of NASA Head- (i) For records created after Novem-
quarters and NASA Centers and the es- ber 1, 1996, which are covered by para-
tablished places at which, the employ- graphs (b)(1)(i) through (iv) of this sec-
ees from whom, and the methods tion, such records shall be available
whereby, the public may secure infor- electronically, through an electronic
mation, make submittals or requests, library and in electronic forms or for-
or obtain decisions; mats.
(2) Statements of the general course (ii) In connection with all records re-
and method by which NASA’s functions quired to be made available or pub-
are channeled and determined, includ- lished under this paragraph (b), identi-
ing the nature and requirements of all fying details shall be deleted to the ex-
formal and informal procedures avail- tent required to prevent a clearly un-
able; warranted invasion of personal privacy.
(3) Rules of procedure, descriptions of However, in each case, the justification
forms available or the places at which for the deletion shall be explained fully
forms may be obtained, and instruc- in writing. The extent of such deletion
tions regarding the scope and contents shall be indicated on the portion of the
of all papers, reports, or examinations; record which is made available or pub-
(4) Substantive rules of general appli- lished, unless including that indication
cability adopted as authorized by law, would harm an interest protected by an
and statements of general policy or in- exemption in the FOIA. If technically
terpretations of general applicability feasible, the extent of the deletion
formulated and adopted by NASA; shall be indicated at the place in the
(5) Each amendment, revision, or re- record where the deletion is made.
peal of the foregoing. (c) Other Agency records. (1) In addi-
(b) Agency opinions, orders, statements, tion to the records made available or
and manuals. (1) Unless they are ex- published under paragraphs (a) and (b)
empt from disclosure in accordance of this section, NASA shall, upon re-
with the FOIA, or unless they are quest for other records made in accord-
promptly published and copies offered ance with this part, make such records
for sale, NASA shall make available promptly available to any person, un-
the following records for public inspec- less they are exempt from disclosure,
tion in an electronic format or pur- or unless they may be purchased by the
chase: public from other readily available
(i) All final opinions (including con- sources, i.e., books.
curring and dissenting opinions) and (2) Furthermore, at a minimum,
all orders made in the adjudication of NASA will maintain records in its elec-
cases; tronic library that were created after
(ii) Those statements of NASA policy November 1, 1996, under paragraph
and interpretations which have been (b)(1)(iv) of this section and a guide for
adopted by NASA and are not pub- requesting records or information from
lished in the FEDERAL REGISTER; NASA.
(iii) Administrative staff manuals (or [79 FR 46678, Aug. 11, 2014, as amended at
similar issuances) and instructions to NASA–2019–0005, 84 FR 54774, Oct. 11, 2019]
50
§ 1206.201 Proactive disclosure of Subpart C—Procedures

Agency records.
Records that are required by the § 1206.300 How to make a request for
Agency records.
FOIA to be made available for public
inspection and copying in an electronic (a) A requester submitting a request
format are accessible on the Agency’s for records must include his/her name,
Web site, http://www.nasa.gov. Each and an email or mailing address in
Center is responsible for determining order for the Agency to be able to send
which of its records are required to be responsive records and/or to be able to
made publicly available, as well as contact the requester to obtain addi-
identifying additional records of inter- tional information or clarification of
est to the public that are appropriate the request sought (see § 1206.301). The
for public disclosure, and for posting request must also address fees or pro-
such records. Each Center has a FOIA vide justification for a fee waiver (see
Public Liaison who can assist individ- § 1206.302) as well as address the fee cat-
uals in locating records particular to a egory in accordance with § 1206.507. The
Center. A list of the Agency’s FOIA request should also include a telephone
Public Liaisons is available at http:// number in case the FOIA office needs
www.hq.nasa.gov/office/pao/FOIA/agency/ to contact the requester regarding the
. request; however, this information is
optional when submitting a request if
[79 FR 46678, Aug. 11, 2014, as amended at an email or mailing address is pro-
NASA–2019–0005, 84 FR 54775, Oct. 11, 2019] vided. A requester may also submit a
request online via the NASA FOIA
§ 1206.202 Records that have been pub-
lished. website, https://www.nasa.gov/FOIA/Con-
tacts.html. Do not include a social secu-
Publication in the FEDERAL REGISTER rity number on any correspondence
is a means of making certain Agency with the FOIA office. If the FOIA unit
records are available to the public in determines processing fees will exceed
accordance with 5 U.S.C.552(a)(2) with- the fee category entitlement, the unit
out requiring the filing of a FOIA re- will require a personal mailing address
quest. NASA has a FOIA Electronic Li- for billing purposes or for commercial
brary Web site at NASA Headquarters use requesters, a business mailing ad-
and each of its Centers. The dress.
FedBizOpps (FBO) (formerly Commerce (b) NASA does not have a central lo-
Business Daily), is also a source of in- cation for submitting FOIA requests
formation concerning Agency records and it does not maintain a central
or actions. Various other NASA publi- index or database of records in its pos-
cations and documents, and indexes session. Instead, Agency records are de-
thereto, are available from other centralized and maintained by various
sources, such as the U.S. Super- Centers and offices throughout the
intendent of Documents and the Earth country. All NASA Centers have the
Resources Observation and Science capability to receive requests elec-
Center (Department of the Interior). tronically, either through email or a
Such publications and documents are Web portal. To make a request for any
not required to be made available or re- of the NASA Center records, a re-
produced in response to a request un- quester should write directly to the
less they cannot be purchased readily FOIA office of the Center that main-
from available sources. tains the records being sought. A re-
quest will receive the quickest possible
§ 1206.203 Incorporation by reference. response if it is addressed to the FOIA
Records reasonably available to the office of the Center that maintains the
members of the public affected thereby records requested. If a requester does
shall be deemed published in the FED- not know which Center(s) may have
ERAL REGISTER when incorporated by the requested records, he/she may send
reference in material published in the his/her request(s) to the NASA’s Head-
FEDERAL REGISTER (pursuant to the quarters (HQ) FOIA Public Liaison, 300
FEDERAL REGISTER regulation on incor- E Street SW, Room 5L19, Washington,
poration by reference, 1 CFR Part 51). DC 20546, Fax number: (202) 358–4332,
51
§ 1206.301 14 CFR Ch. V (1–1–21 Edition)
email address: hq-foia@nasa.gov, and (h) As an exercise of its administra-

the HQ FOIA unit will forward the re- tive discretion, each Center FOIA of-
quest to the Center(s) that it deter- fice may require a requester to supply
mines to be most likely to maintain additional information if necessary,
the records that are sought. i.e., a notarized statement from the
(c) NASA has not yet implemented a subject of the file, in order to verify
records management application for that a particular individual has con-
automated capture and control of e- sented to a third party disclosure. In-
records; therefore, official files are pri- formation will only be released on a
marily paper files. case-by-case basis to third party re-
(d) A member of the public may sub- questers if they have independently
mit a FOIA request for an Agency provided authorization from the indi-
record by mail, facsimile (FAX), elec- vidual who is the subject of the re-
tronic mail (email), or by submitting a quest.
written request in person to the FOIA [79 FR 46678, Aug. 11, 2014, as amended at
office having responsibility over the NASA–2019–0005, 84 FR 54775, Oct. 11, 2019]
record requested or to the NASA Head-
quarters (HQ) FOIA Office. A requester § 1206.301 Describing records sought.
may also submit a request online via In view of the time limits under 5
the NASA FOIA website. U.S.C. 552(a)(6) for an initial deter-
(e) When a requester is unable to de- mination on a request for an Agency
termine the proper NASA FOIA Office record, a request must meet the fol-
to direct a request to, the requester lowing requirements:
may send the request to the NASA HQ (a) The request must be addressed to
FOIA Office, 300 E. Street SW., Wash- an appropriate FOIA office or other-
ington, DC 20546–0001. The HQ FOIA Of- wise be clearly identified in the letter
fice will forward the request to the as a request for an Agency record
Center(s) that it determines to be most under the ‘‘Freedom of Information
likely to maintain the records that are Act.’’
(b) Requesters must describe the
sought.
records sought in sufficient detail to
(1) For locations, mailing/email ad- enable Agency personnel who are fa-
dresses of NASA FOIA Centers, visit miliar with the subject area of the re-
our website at https://www.nasa.gov/ quest to identify and locate the record
FOIA/Contacts.html. with a reasonable amount of effort. To
(2) A misdirected request may take the extent possible, requesters should
up to ten (10) additional working include specific information that may
(meaning all days except Saturdays, assist a FOIA office in identifying the
Sundays and all Federal legal holidays) requested records, such as the date,
days to reroute to the proper FOIA of- title or name, author, recipient, sub-
fice. ject matter of the record, case number,
(f) A requester who is making a re- file designation, or reference number.
quest for records about himself or her- In general, requesters should include as
self (a Privacy Act request) must com- much detail as possible about the spe-
ply with the verification of identity cific records or the types of records
provisions set forth in 14 CFR 1212.202. sought.
(g) Where a request pertains to a (c) If NASA, after receiving a re-
third party, a requester may receive quest, determines that the request does
greater access by submitting either a not reasonably describe the records
notarized authorization signed by the sought, it shall inform the requester
individual who is the subject of the what additional information is needed
record requested, or a declaration by or why the request is otherwise insuffi-
that individual made in compliance cient. Requesters who are attempting
with the requirements set forth in 28 to reformulate or modify such a re-
U.S.C. 1746, authorizing disclosure of quest may discuss their request with
the records to the requester, or submit the NASA’s designated FOIA contact
proof that the individual is deceased or the Principal Agency FOIA Officer,
(e.g., a copy of a death certificate or a each of whom is available to assist the
verifiable obituary). requester in reasonably describing the
52
records sought. If a request does not statutory entitlements, the FOIA of-
reasonably describe the records sought, fice will notify the requester that:
the Agency’s response to the request (1) He/she must provide assurance of
may be delayed or NASA may at its payment for all anticipated fees or pro-
discretion close the request adminis- vide an advance payment if estimated
tratively. fees are expected to exceed $250.00, or
(d) Requests for clarification or more (2) The FOIA office will not be able to
information will be made in writing fully comply with the FOIA request un-
(either via U.S. mail or electronic mail less an assurance or advance payment
whenever possible). Requesters may reas requested has been provided.
spond by U.S. mail or by electronic (3) He/she may wish to limit the
mail regardless of the method used by scope of the request to reduce the proc-
NASA to transmit the request for addi- essing fees.
tional information. In order to be con-
(c) If the FOIA office does not receive
sidered timely, responses to requests
a written response within 20 working
for additional information must be
postmarked or received by electronic days after requesting the information,
mail within twenty (20) working days it will presume the requester is no
of the postmark date or date of the longer interested in the records re-
electronic mail request for additional quested and will administratively close
information or received by electronic the request without further notifica-
mail by 11:59:59 p.m. ET on the 20th tion.
working day. If the requester does not (d) A commercial-use requester (as
respond to a request for additional in- defined in§ 1206.507(c)(1)) must:
formation within the 20 working days, (1) State a willingness to pay all fess
the request may be administratively associated with processing a request;
closed at NASA’s discretion. This ad- or
ministrative closure does not prejudice (2) State a willingness to pay fees to
the requester’s ability to submit a new cover the costs of conducting an initial
request for further consideration with search for responsive records to deter-
additional information. mine a fee estimate.
(e) NASA need not comply with a (e) If a requester is only willing to
blanket or categorical request (such as pay a limited amount for processing a
‘‘all matters relating to’’ a general sub- request and it is for more than one doc-
ject) where it is not reasonably feasible ument, the requester must state the
to determine what record is sought. order in which he/she would like the re-
(f) NASA will in good faith attempt quest for records to be processed.
to identify and locate the record(s) (f) If a requester is seeking a fee
sought and will consult with the re- waiver, the request must include suffi-
quester when necessary and appro- cient justification to substantiate a
priate for that purpose in accordance waiver. (See subpart E of this part for
with these regulations. information on fee waivers.) Failure to
(g) NASA is not required to create or provide sufficient justification will re-
compile records in response to a FOIA sult in a denial of the fee waiver re-
request. quest.
[79 FR 46678, Aug. 11, 2014, as amended at (g) If a requester is seeking a fee
NASA–2019–0005, 84 FR 54775, Oct. 11, 2019] waiver, he/she may also choose to state
a willingness to pay fees in case the fee
§ 1206.302 Fee agreements. waiver request is denied in order to
(a) A request must explicitly state a allow the FOIA office to begin proc-
willingness to pay all fees associated essing the request while considering
with processing the request, fees up to the fee waiver.
a specified amount, or a request for a (h) If a fee is chargeable for search,
fee waiver, if processing fees will likely review, duplication, or other costs in-
exceed the statutory entitlements as curred in connection with a request for
defined in § 1206.507(b) and (c). an Agency record, the requester will be
(b) If the FOIA office determines that billed prior to releasing Agency docu-
fees for processing the request will ex- ments. If the total amount of proc-
ceed the agreed upon amount or the essing fees is under $50.00, the Agency
53
§ 1206.303 14 CFR Ch. V (1–1–21 Edition)
will release the records when final dited processing will be denied and
processing is complete. processed in the simple or complex
(1) If the exact amount of the fee queue.
chargeable is not known at the time of
the request, the requester will be noti- § 1206.305 Responding to requests.
fied in the initial determination (or in (a) Except in the instances described
a final determination in the case of an
in paragraphs (e) and (f) of this section,
appeal) of the amount of fees charge-
the FOIA office that first receives a re-
able.
(2) For circumstances in which ad- quest for a record and maintains that
vance payment of fees is required, the record is the FOIA office responsible
requester will be notified after the for responding to the request. The of-
FOIA office has obtained an estimate fice shall acknowledge the request and
of associated fees. assign it an individualized tracking
(i) The FOIA office will begin proc- number if it will take longer than ten
essing a request only after the request (10) working days to process. The
has been properly described in accord- NASA office responding to the request
ance with these regulations and fees shall include in the acknowledgment a
have been resolved. brief description of the records sought
(j) If the requester is required to pay to allow requesters to more easily keep
a fee and it is later determined on ap- track of their requests.
peal that he/she was entitled to a full (b) In determining what records are
or partial fee waiver, a refund will be responsive to a request, a FOIA office
sent as appropriate. ordinarily will include only records in
(k) NASA may refuse to consider a its possession as of the date that it be-
waiver or reduction of fees for request- gins its search. If any other date is
ers (persons or organizations) from used, the FOIA office shall inform the
whom unpaid fees remain owed to the requester of that date.
Agency for another information access
(c) A record that is excluded from the
request.
requirements of the FOIA pursuant to 5
[79 FR 46678, Aug. 11, 2014, as amended at U.S.C. 552(c)(1)–(3), shall not be consid-
NASA–2019–0005, 84 FR 54775, Oct. 11, 2019] ered responsive to a request.
§ 1206.303 Format of records disclosed. (d) The Head of a Center, or designee,
is authorized to grant or to deny any
(a) The FOIA office will provide the requests for records that are main-
records in the requested format if the tained by that Center.
records can readily be reproduced from
(e) The FOIA office may refer a re-
the original file to that specific for-
quest to or consult with another Cen-
mat.
(b) The FOIA office may charge di- ter FOIA office or Federal agency in
rect costs associated with converting accordance with § 1206.308, if the FOIA
the records or files into the requested office receives a request for records
format if they are not maintained in that are in its possession that were not
that format. If the costs to convert the created at that Center. If another Cen-
records exceed the amount the re- ter within NASA or another Federal
quester has agreed to pay, the FOIA of- agency has substantial interest in or
fice will notify the requester in writ- created the records, the request will ei-
ing. If the requester does not agree to ther be referred or they will consult
pay the additional fees for converting with that FOIA office/agency.
the records, the records may not be (f) If a request for an Agency record
provided in the requested format. is received by a FOIA office not having
responsibility of the record (for exam-
§ 1206.304 Expedited processing. ple, when a request is submitted to one
A requester may ask for expedited NASA Center or Headquarters and an-
processing of a request. However, infor- other NASA Center has responsibility
mation to substantiate the request of the record), the FOIA office receiv-
must be included in accordance with ing the request shall promptly forward
§ 1206.400, Criteria for Expedited Proc- it to that FOIA office within 10 work-
essing; otherwise, the request for expe- ing days from the date of receipt. The
54
receiving FOIA office shall acknowl- (ii) Expedited processing will not be
edge the request and provide the re- provided.
quester with a tracking number. (b) The denial notification must in-
[79 FR 46678, Aug. 11, 2014, as amended at clude:
NASA–2019–0005, 84 FR 54775, Oct. 11, 2019] (1) The name, title, or position of the
person(s) responsible for the denial;
§ 1206.306 Granting a request. (2) A brief statement of the reasons
(a) Ordinarily, NASA shall have for the denial, including a reference to
twenty (20) working days from when a any FOIA exemption(s) applied by the
request is received to determine wheth- FOIA office to withhold records in full
er to grant or deny the request unless or in part;
there are unusual or exceptional cir- (3) An estimate of the volume of any
cumstances. The FOIA office will not records or information withheld, i.e.,
begin processing a request until all the number of pages or a reasonable
issues regarding scope and fees have form of estimation, unless such an esti-
been resolved. NASA will notify the re- mate would harm an interest protected
quester of the availability of the FOIA by the exemption(s) used to withhold
Public Liaison to offer assistance in re-
the records or information; and
solving these issues.
(4) A statement that the denial may
(b) If fees are not expected to exceed
the minimum threshold of $50.00, and be appealed under subpart G of this
the scope of the request is in accord- part and a description of the require-
ance with § 1206.301, the FOIA office ments set forth therein. NASA shall
will begin processing the request. also inform the requester of the avail-
(c) If the FOIA office contacts the re- ability of its FOIA Public Liaison to
quester regarding fees or clarification offer assistance and include a state-
and the requester has provided a re- ment notifying the requester of the dis-
sponse, the FOIA office will notify the pute resolution services offered by the
requester in writing of the decision to Office of Government Information
either grant or deny the request. Services (OGIS). Should the requester
elect to mediate any dispute related to
NASA–2019–0005, 84 FR 54775, Oct. 11, 2019] the FOIA request with OGIS, NASA
will participate in the mediation proc-
§ 1206.307 Denying a request. ess in good faith.
NASA shall withhold records only (c) If the requested records contain
when it reasonably foresees that disclo- both exempt and non-exempt material,
sure would harm an interest protected the FOIA office will:
by an exemption or disclosure is pro- (1) Segregate and release the non-ex-
hibited by law. empt material unless the non-exempt
(a) If the FOIA office denies records material is so intertwined with the ex-
in response to a request either in full empt material that disclosure of it
or in part, it will advise the requester would leave only meaningless words
in writing that: and phrases;
(1) The requested record(s) is exempt (2) Indicate on the released portion(s)
in full or in part; or of the records the amount of informa-
(2) Records do not exist, cannot be lo- tion redacted and the FOIA exemp-
cated, are not in the Agency’s control, tion(s) under which the redaction was
or the request does not reasonably de- made, unless doing so would harm an
scribe the records sought; or
interest protected by the FOIA exemp-
(3) A record is not readily reproduc-
tion used to withhold the information;
ible in the form or format requested;
and
and or
(4) Denial is based on a procedural (3) If technically feasible, place the
issue only and not access to the under- exemption at the place of excision.
lying records when it makes a decision [79 FR 46678, Aug. 11, 2014, as amended at
that: NASA–2019–0005, 84 FR 54775, Oct. 11, 2019]
(i) A fee waiver or another fee-related
issue will not be granted; or
55
§ 1206.308 14 CFR Ch. V (1–1–21 Edition)
§ 1206.308 Referrals and consultations (3) The originating agency is not sub-
within NASA or other Federal ject to the FOIA; or
Agencies. (4) It is more efficient or practical
(a) Referrals and consultations can depending on the circumstances.
occur within the Agency or outside the (g) If the FOIA office receives a re-
Agency. quest for records that another Federal
agency has classified under any appli-
(b) If a FOIA office (other than the
cable executive order concerning
Office of Inspector General) receives a
record classification, it must refer the
request for records in its possession
request to that agency for response.
that another NASA FOIA office has re-
(h) If the FOIA office receives a re-
sponsibility over or is substantially
quest for records that are under the
concerned with, it will either:
purview of another Federal agency, the
(1) Consult with the other FOIA of- office will return the request to the re-
fice before deciding whether to release quester and may advise the requester
or withhold the records; or to submit it directly to another agen-
(2) Refer the request, along with the cy. The FOIA office will then close the
records, to that FOIA office for direct request.
response. (i) All consultations and referrals re-
(c) If the FOIA office that originally ceived by the Agency will be handled
received the request refers all or part according to the date that the FOIA re-
of the request to another FOIA office quest initially was received by the first
within the Agency for further proc- FOIA office.
essing, they will notify the requester of
the partial referral and provide that Subpart D—Procedures and Time
FOIA contact information.
Limits for Responding to Requests
(d) If while responding to a request,
the FOIA office locates records that § 1206.400 Procedures for processing
originated with another Federal agen- queues and expedited processing.
cy, it will generally refer the request (a) The FOIA office will normally
and any responsive records to that process requests in the order in which
other agency for a release determina- they are received in each of the proc-
tion and direct response. essing tracks.
(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) Simple—A request that can be
a contact at the other agency. processed within 20 working days.
(f) If the FOIA office locates records (2) Complex—A 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 processing—A 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.
56
(c) Requests and appeals will be proc- (h) If expedited processing is denied,
essed on an expedited basis whenever it the FOIA office will notify the re-
is determined that they involve one or quester and provide information on ap-
more of the following: pealing this decision in accordance
(1) Circumstances in which the lack with Subpart G of this part and place
of expedited treatment could reason- the request in the appropriate proc-
ably be expected to pose an imminent essing queue.
threat to the life or physical safety of (i) If the FOIA office processing the
an individual; request does not provide notification of
(2) Circumstances in which there is either granting or denying the request
an urgency to inform the public about for expedited processing within 10 cal-
an actual or alleged Federal Govern- endar days from the date of receipt, the
ment activity if the FOIA request is requester may file an appeal for non-re-
made by a person primarily engaged in sponse in accordance with subpart G of
disseminating information; this part.
(i) In most situations, a person pri-
marily engaged in disseminating infor- § 1206.401 Procedures and time limits
mation will be a representative of the for acknowledgement letters and
news media and therefore, will qualify initial determinations.
as a person primarily engaged in dis- (a) Following receipt of a request
seminating information. submitted under the FOIA, the FOIA
(ii) To substantiate paragraph (c)(2) staff will send an acknowledgement
of this section, the requested informa- letter providing the case tracking num-
tion must be the type of information ber and processing track within ten (10)
which has particular value that will be working days from date of receipt to
lost if not disseminated quickly; this the requester.
ordinarily refers to a breaking news (b) An initial determination is a deci-
story of general public interest. Infor- sion by a NASA official, in response to
mation of historical interest only or a request by a member of the public for
information sought for litigation or an Agency record, on whether the
commercial activities would not qual- record described in the request can be
ify, nor would a news media deadline identified and located after a reason-
unrelated to breaking news; or able search and, if so, whether the
(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-
quester’s 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.
57
§ 1206.402 14 CFR Ch. V (1–1–21 Edition)
(e) Any notification of an initial de- (1) The unusual circumstances sur-
termination that does not comply fully rounding the extension of the time
with the request for an Agency record, limit;
including those searches that produce (2) The date by which the FOIA office
no responsive documents, shall include expects to complete the processing of
a statement of the reasons for the ad- the request.
verse determination, include the name (b) Unusual circumstances are de-
and title of the person making the ini- fined as:
tial determination, and notify the re- (1) The need to search for and collect
quester of the right to appeal to the the requested records from offices
Administrator or the Inspector Gen- other than the office processing the re-
eral, as appropriate, pursuant to sub- quest;
part G of this part, and the right to (2) The need to search for, collect,
seek dispute resolution services from and appropriately examine a volumi-
the NASA FOIA Public Liaison or Of- nous number of documents;
fice of Government Information Serv- (3) The need to coordinate and/or con-
ices. sult with another NASA office or agen-
cy having a substantial subject-matter
[79 FR 46678, Aug. 11, 2014, as amended at interest in the determination of the re-
NASA–2019–0005, 84 FR 54776, Oct. 11, 2019]
quest.
§ 1206.402 Suspending the basic time (c) If initial processing time will ex-
limit. ceed or is expected to exceed 30 work-
ing days, the FOIA office will notify
(a) In accordance with 5 U.S.C. the requester of the delay in processing
552(a)(6)(A)(ii)(I), the FOIA office may and:
make one request to the requester for (1) Provide the opportunity to limit
information to clarify a request and the scope of the request so that it may
temporarily suspend (toll) the time be processed within that time limit or
(the 20-day period) while it is awaiting an opportunity to arrange with the
such information that it has reason- Agency an alternative time frame for
ably requested from the requester. Re- processing the request or a modified re-
ceipt of the requester’s response by the quest;
FOIA office to the Agency’s request for (2) Provide contact information for
additional information or clarification the NASA FOIA Public Liaison;
ends the temporary time suspension. (3) Offer the right of the requester to
(b) In accordance with 5 U.S.C. seek dispute resolution services from
552(a)(6)(A)(ii)(II), the FOIA office may the OGIS;
temporarily suspend (toll) the 20-day (4) Provide information regarding the
period as many times as is necessary to intended determination; and
clarify with the requester issues re- (5) Shall make available its des-
garding fees. Receipt of the requester’s ignated FOIA contact and its FOIA
response by the FOIA office to the Public Liaison for the purpose of this
Agency’s request for information re- paragraph (c).
garding fees ends the temporary time (d) The requester’s refusal to reason-
suspension. ably modify the scope of a request or
arrange an alternative timeframe for
§ 1206.403 Time extensions. processing a request after being given
(a) In ‘‘unusual circumstances’’ as de- the opportunity to do so may be con-
fined in this section, the time limits sidered a factor when determining
for an initial determination and for a whether exceptional circumstances
final determination may be extended, exist. A delay that results from a pre-
but not to exceed a total of 10 working dictable workload of requests does not
days in the aggregate in the processing constitute exceptional circumstances
of any specific request for an Agency unless the Agency demonstrates rea-
record. The extension must be taken sonable progress in reducing its back-
before the expiration of the 20 working log of pending requests.
day time limits. The requester will be [79 FR 46678, Aug. 11, 2014, as amended at
notified in writing of: NASA–2019–0005, 84 FR 54776, Oct. 11, 2019]
58
Subpart E—Fees Associated With (e) Requesters will be charged the di-
Processing Requests rect costs associated with conducting
any search that requires the creation
§ 1206.500 Search. of a new program to locate the re-
(a) Search includes all time spent quested records.
looking for material that is responsive (f) For requests that require the re-
to a request, including page-by-page or trieval of records stored by an agency
line-by-line identification of material at a Federal records center operated by
within documents. A search will deter- the NARA, additional costs shall be
mine what specific documents, if any, charged in accordance with the Trans-
are responsive to a request. A search actional Billing Rate Schedule estab-
for Agency records responsive to a re- lished by NARA.
quest may be accomplished by manual § 1206.501 Review.
or automated means.
(b) Search charges, as set forth in (a) Review means the process of ex-
this part, may be billed even when an amining a document(s) located in re-
Agency record, which has been response to a request to determine
quested, cannot be identified or located whether the document(s) or any por-
after a diligent search and consultation tion thereof is disclosable. Review does
with a professional NASA employee fa- not include time spent resolving gen-
miliar with the subject area of the re- eral legal or policy issues regarding the
quest has been conducted or if located, application of exemptions.
cannot be made available under (b) Review fees will be assessed in
§ 1206.308. connection with the initial review of
(c) In responding to FOIA requests, the record, i.e., the review conducted
FOIA offices shall charge the following by Agency staff to determine whether
fees based on the date the request is re- an exemption applies to a particular
ceived in the NASA FOIA Office unless record or portion of a record.
a waiver or reduction of fees has been (c) Review fees will be charged to
granted under § 1206.506. Fees will be commercial use requesters.
determined on October 1st of each year (d) No charge will be made for review
based on the appropriate General at the administrative appeal stage of
Schedule (GS) base salary, plus the exemptions applied at the initial re-
District of Columbia locality payment, view stage. However, when the appel-
plus 16 percent for benefits of employ- late authority determines that a par-
ees. Fees such as search, review, and ticular exemption no longer applies,
duplication will be charged in accord- any costs associated with an additional
ance with the requester’s fee category review of the records in order to con-
as defined in § 1206.507. sider the use of other exemptions may
(d) For each quarter hour spent by be assessed as review fees.
personnel searching for requested (e) Review fees will be charged at the
records, including electronic searches same rates as those charged for a
that do not require new programming, search under § 1206.500.
the fees will be the average hourly GS- (f) Review fees can be charged even if
base salary, plus the District of Colum- the record(s) reviewed ultimately is
bia locality payment, plus 16 percent not disclosed.
for benefits of employees in the fol- (g) Review fees will not include costs
lowing three categories, as applicable: incurred in resolving issues of law or
(1) Clerical—Based on a GS–6, Step 5 policy that may be raised in the course
(all employees at a GS–7 and below are of processing a request under this sec-
classified as clerical for this purpose). tion.
(2) Professional—Based on a GS–11,
Step 7 pay (all employees at a GS–8 § 1206.502 Duplication.
through GS–12 are classified as profes- (a) Duplication is reproducing a copy
sional for this purpose); of a record or of the information con-
(3) Managerial—Based on GS–14, Step tained in it, necessary to respond to a
2, pay (all employees at a GS–13 and FOIA request. Copies can take the form
above are classified as managerial for of paper, audiovisual materials, or
this purpose). electronic records, among others.
59
§ 1206.503 14 CFR Ch. V (1–1–21 Edition)
(b) FOIA offices shall honor a re- NASA of reproducing, copying, or scan-
quester’s preference for receiving a ning the record. In circumstances
record in a particular form or format where a request for a videotape or
where it is readily reproducible by the other outdated media is requested, and
FOIA office in the form or format re- NASA does not have the capability to
quested. If the records are not readily readily reproduce the record in the
reproducible in the requested form or form or format requested and which re-
format, the Agency will so inform the quires the Agency to enlist the services
requester. The requester may specify of a private contractor to fulfill the re-
an alternative form or format that is quest, the direct costs of any services
available. If in this situation the re- by the private contractor will be
quester refuses to specify an alter- charged to the requester. Specific
native form or format, the Agency will charges will be provided upon request.
not process the request any further. (g) If the request for an Agency
(c) Where standard-sized photocopies record required to be made available
or scans are supplied, the FOIA office under this part requires a computerized
will provide one copy per request at the search or printout, the charge for the
regular copy rate per page. time of personnel involved shall be at
(d) For copies of records produced on the rates specified in this part or the
tapes, disks, or other electronic media, direct costs assessed to the Agency.
FOIA offices will charge the direct The charge for computer time involved
costs of producing the copy in the form and for any special supplies or mate-
or format requested, including the time rials used shall not exceed the direct
spent by personnel duplicating the re- cost to NASA.
quested records. For each quarter hour (h) Reasonable standard fees may be
spent by personnel duplicating the re- charged for additional direct costs in-
quested records, the fees will be the curred in searching for or duplicating
same as those charged for a search an Agency record in response to a re-
under this subpart. quest under this part. Charges made
(e) If NASA staff must scan paper under this paragraph include, but are
documents in order to accommodate a not limited to, the transportation of
requester’s preference to receive the NASA personnel to places of record
records in an electronic format, the re- storage for search purposes or freight
quester shall pay the appropriate copy charges for transporting records to the
fee charge per page as well as each personnel searching for or duplicating
quarter hour spent by personnel scan- a requested record.
ning the requested records. Fees will be (i) Complying with requests for spe-
the same as those charged for search cial services such as those listed in this
under this subpart for each quarter section is entirely at the discretion of
hour spent by personnel scanning the NASA. To the extent that NASA elects
requested records. to provide the following services, it
(f) For other forms of duplication, will levy a charge equivalent to the
FOIA offices will charge the direct full cost of the service provided:
costs as well as any associated per- (1) Certifying that records are true
sonnel costs. For standard-sized copies copies.
of documents such as letters, memo- (2) Sending records by special meth-
randa, statements, reports, contracts, ods such as express mail.
etc., $0.15 per copy of each page; (3) Packaging and mailing bulky
charges for double-sided copies will be records that will not fit into the larg-
$0.30. For copies of oversized docu- est envelope carried in the supply in-
ments, such as maps, charts, etc., fees ventory.
will be assessed as direct costs. Charges [79 FR 46678, Aug. 11, 2014, as amended at
for copies (and scanning) include the NASA–2019–0005, 84 FR 54776, Oct. 11, 2019]
time spent in duplicating the docu-
ments. For copies of computer disks, § 1206.503 Restrictions on charging
still photographs, blueprints, video- fees.
tapes, engineering drawings, hard cop- (a) No search fees will be charged for
ies of aperture cards, etc., the fee requests by educational institutions,
charged will reflect the direct cost to noncommercial scientific institutions,
60
or representatives of the news media, (2) The first two hours of search.
unless the records are sought for a (e) When, after first deducting the 100
commercial use. free pages (or its cost equivalent) and
(b) If NASA fails to comply with the the first two hours of search, a total
FOIA’s time limits in which to respond fee calculated under § 1206.504 is less
to a request, it may not charge search than $50.00 for any request, no fee will
fees, or, in the instances of requests be charged.
from requesters described in paragraph [79 FR 46678, Aug. 11, 2014, as amended at
(a) of this section, may not charge du- NASA–2019–0005, 84 FR 54776, Oct. 11, 2019]
plication fees, except as described in
paragraphs (b)(1) through (3) of this § 1206.504 Charging fees.
section. (a) NASA shall charge for processing
(1) If a NASA component has deter- requests under the FOIA in accordance
mined that unusual circumstances as with the provisions of this section and
defined by the FOIA apply, and the the OMB Guidelines. NASA will ordi-
component provided timely written no- narily use the most efficient and least
tice to the requester in accordance expensive method for processing re-
with the FOIA, a failure to comply quested records. In order to resolve any
with the time limit shall be excused for fee issues that arise under this section,
an additional 10 days. NASA may contact a requester for ad-
(2) If NASA has determined that un- ditional information. A component or-
usual circumstances, as defined by the dinarily will collect all applicable fees
FOIA, apply and more than 5,000 pages before sending copies of records to a re-
are necessary to respond to the requester. The submission of a FOIA re-
quest, the Agency may charge search quest shall be considered a firm com-
fees, or, in the case of requesters de- mitment by the requester to pay all ap-
scribed in paragraph (a) of this section, plicable fees charged under this sec-
may charge duplication fees, if the fol- tion, up to $50.00, unless the requester
lowing steps are taken. The Agency seeks a waiver of fees. Requesters must
must have provided timely written no- pay fees by check or money order made
tice of unusual circumstances to the payable to the Treasury of the United
requester in accordance with the FOIA States. When a FOIA office determines
and the component must have dis- or estimates the fees to be assessed in
cussed with the requester via written accordance with this section will
mail, email, or telephone (or made not amount to or exceed $50.00, the FOIA
less than three good-faith attempts to office shall notify the requester unless
do so) how the requester could effec- the requester has indicated a willing-
tively limit the scope of the request in ness to pay fees as high as those antici-
accordance with 5 U.S.C. pated. If a portion of the fees can be
552(a)(6)(B)(ii). If the exception in this readily estimated, the FOIA office
paragraph (b)(2) is satisfied, the Agen- shall advise the requester accordingly.
cy may charge all applicable fees in- (b) In cases in which a requester has
curred in the processing of the request. been notified that actual or estimated
(3) If a court has determined that ex- fees are in excess of $50.00, the request
ceptional circumstances exist, as de- shall be placed on hold and further
fined by the FOIA, a failure to comply work will not be completed until the
with the time limits shall be excused requester commits in writing to pay
for the length of time provided by the the actual or estimated fees. Such a
court order. commitment must be made by the re-
(c) No search or review fees will be quester in writing, must indicate a
charged for a quarter-hour period un- given dollar amount or a willingness to
less more than half of that period is repay all processing fees, and must be re-
quired for search or review. ceived by the FOIA office within 20
(d) Except for requesters seeking working days from the date of the let-
records for a commercial use, NASA ter providing notification of the fee es-
will provide without charge: timate. If the requester is a non-
(1) The first 100 pages of duplication commercial use requester, the notice
(or the cost equivalent for other shall specify that the requester is enti-
media); and tled to the statutory entitlements of
61
§ 1206.505 14 CFR Ch. V (1–1–21 Edition)
100 pages of duplication at no charge lowing the completion of the initial de-
and, if the requester is charged search termination. If fees are greater than
fees, two hours of search time at no $50.00, the documents will not be re-
charge, and shall advise the requester leased until the invoice has been paid
whether those entitlements have been and verified by the FOIA office.
provided. (g) Final billing will be sent when the
(c) After the FOIA office begins proc- initial determination has been com-
essing a request, if it finds that the ac- pleted. At that time the case will be
tual cost will exceed the amount the closed.
requester previously agreed to pay, the [79 FR 46678, Aug. 11, 2014, as amended at
FOIA office will stop processing the re- NASA–2019–0005, 84 FR 54776, Oct. 11, 2019]
quest and promptly notify the re-
quester of the higher amount. The re- § 1206.505 Advance payments.
quest will be placed on hold until the (a) For requests other than those de-
fee issue has been resolved. If the issue scribed in paragraphs (b), (c), and (f) of
is not resolved within 20 working days this section, a FOIA office shall not re-
from the date of the notification letter, quire the requester to make an advance
NASA will provide the requester, if the payment before work is commenced or
requester is a non-commercial use re- continued on a request. Payment owed
quester, the statutory entitlements of for work already completed (i.e., pay-
100 pages of duplication at no charge ment for search, review and/or before
and shall advise the requester that his records are released to a requester) is
statutory entitlements have been pro- not an advance payment.
vided before closing the request. (b) When a FOIA office determines or
(d) Direct costs, meaning those ex- estimates that a total fee to be charged
penditures that NASA actually incurs under this section will exceed $250.00, it
in searching for, duplicating, and may require that the requester make
downloading computer files and docu- an advance payment up to the amount
ments in response to a FOIA request, of the entire anticipated fee before be-
will be included on the invoice as ap- ginning to process the request. A FOIA
propriate. Direct costs include, for ex- office may elect to process the request
ample, the salary of the employee who prior to collecting fees when it receives
would ordinarily perform the work (the a satisfactory assurance of full pay-
basic rate of pay for the employee plus ment from a requester.
16 percent of that rate to cover bene- (c) Where a requester has previously
fits), the cost of operating computers failed to pay a properly charged FOIA
and other electronic equipment, such fee assessed by any FOIA office in the
as photocopiers and scanners, the costs agency within 30 calendar days of the
associated with retrieving records billing date, a FOIA office may require
stored at a Federal records center oper- the requester to pay the full amount
ated by the NARA, as well as costs for due, plus any applicable interest due on
CDs and other media tools. the outstanding debt, before the FOIA
(e) NASA may charge interest on any office begins to process a new request
unpaid bill starting on the 31st day fol- or continues to process a pending re-
lowing the date of billing the request or any pending remand of an ap-
quester. Interest charges will be as- peal. Once the outstanding bill has
sessed at the rate provided in 31 U.S.C. been paid, the FOIA office may also re-
3717 and will accrue from the billing quire the requester to make an advance
date until payment is received by the payment of the full amount of any an-
FOIA office. NASA will follow the pro- ticipated fee before processing the new
visions of the Debt Collection Act of request.
1982 (Pub. L. 97–365, 96 Stat. 1749), as (d) Where a FOIA office has a reason-
amended, and its administrative proce- able basis to believe that a requester
dures, including the use of consumer has misrepresented his or her identity
reporting agencies, collection agencies, in order to avoid paying outstanding
and offset. fees, it may require that the requester
(f) If processing fees are less than provide further proof of identity.
$50.00, NASA will send all releaseable (e) In cases in which a FOIA office re-
documents (or portions thereof) fol- quires advance payment, the request
62
shall not be considered received, and ations or activities of the Government.

further work will not be completed The subject of the request must con-
until the required payment is received. cern identifiable operations or activi-
If the requester does not pay the ad- ties of the Federal Government with a
vance payment within 20 working days connection that is direct and clear, not
after the date of the FOIA office’s let- remote or attenuated.
ter, the request will be closed without (2) Disclosure of the requested infor-
further notification. mation would be likely to contribute
(f) When advance payment is required significantly to public understanding
in order to initiate processing, after a of those operations or activities. The
fee estimate has been determined, the factor in this paragraph (d)(2) is satis-
FOIA office will require payment be- fied when the following criteria are
fore continuing to process the request. met:
(g) The fee schedule of this section (i) Disclosure of the requested
does not apply to fees charged under records must be meaningfully inform-
any statute that specifically requires ative about Government operations or
an agency to set and collect fees for activities. The disclosure of informa-
particular types of records. In in- tion that already is in the public do-
stances where records responsive to a main, in either the same or a substan-
request are subject to a statutorily- tially identical form, would not be
based fee schedule program, the FOIA meaningfully informative if nothing
office will inform the requester of the new would be added to the public’s un-
contact information for that source. derstanding.
[79 FR 46678, Aug. 11, 2014, as amended at (ii) The disclosure must contribute to
NASA–2019–0005, 84 FR 54777, Oct. 11, 2019] the understanding of a reasonably
broad audience of persons interested in
§ 1206.506 Requirements for a waiver the subject, as opposed to the indi-
or reduction of fees. vidual understanding of the requester.
(a) The burden is on the requester to A requester’s expertise in the subject
justify an entitlement to a fee waiver. area as well as the requester’s ability
(See § 1206.507 for a discussion on fee and intention to effectively convey in-
categories.) formation to the public must be consid-
(b) Requests for a waiver or reduction ered. NASA will presume that a rep-
of fees shall be considered on a case-by- resentative of the news media will sat-
case basis using the criteria in this sec- isfy the consideration in this para-
tion. These statutory requirements graph (d)(2)(ii).
must be satisfied by the requester be- (3) The disclosure must not be pri-
fore properly assessable fees are waived marily in the commercial interest of
or reduced under the statutory stand- the requester. To determine whether
ard. disclosure of the requested information
(c) Records shall be furnished with- is primarily in the commercial interest
out charge or at a reduced rate if the of the requester, components will con-
requester has demonstrated, based on sider the following criteria:
all available information, that disclo- (i) NASA, and its Centers processing
sure of the information is in the public requests, must identify whether the re-
interest because it: quester has any commercial interest
(1) Is likely to contribute signifi- that would be furthered by the re-
cantly to public understanding of the quested disclosure. A commercial in-
operations or activities of the Govern- terest includes any commercial, trade,
ment; and or profit interest. Requesters must be
(2) Is not primarily in the commer- given an opportunity to provide ex-
cial interest of the requester. planatory information regarding the
(d) In deciding whether the standards consideration in this paragraph
of paragraph (c)(1) of this section are (d)(3)(i).
satisfied, the Agency must consider the (ii) If there is an identified commer-
factors described in paragraphs (d)(1) cial interest, NASA must determine
through (3) of this section: whether that is the primary interest
(1) Disclosure of the requested infor- furthered by the request. A waiver or
mation would shed light on the oper- reduction of fees is justified when the
63
§ 1206.507 14 CFR Ch. V (1–1–21 Edition)
requirements of paragraphs (d)(1) and a fee waiver request at a later time so

(2) of this section are satisfied and any long as the underlying record request
commercial interest is not the primary is pending or on administrative appeal.
interest furthered by the request. (h) When a requester who has com-
NASA ordinarily will presume that mitted to pay fees subsequently asks
when a news media requester has satis- for a waiver of those fees and that
fied the requirements of paragraphs waiver is denied, the requester will be
(d)(1) and (2) of this section, the re- required to pay any costs incurred up
quest is not primarily in the commer- to the date the fee waiver request was
cial interest of the requester. Disclo- received by the office processing the
sure to data brokers or others who original request.
merely compile and market govern- (i) When deciding whether to waive
ment information for direct economic or reduce fees, the FOIA office will rely
return will not be presumed to pri- on the fee waiver justification sub-
marily serve the public interest. mitted in the request letter. If the re-
(4) Where only some of the records to quest letter does not include sufficient
be released satisfy the requirements for justification, the FOIA office will ei-
a waiver of fees under this section, a ther deny the fee waiver request or at
waiver shall be granted for those its discretion, ask for additional jus-
records. tification from the requester.
(5) Requests for a waiver or reduction (j) FOIA offices may make available
of fees should be made when the re- their FOIA Public Liaison or other
quest is first submitted to NASA and FOIA professional to assist any re-
should address the criteria referenced quester in reformulating a request in
in paragraph (d) of this section. A re- an effort to reduce fees; however, the
quester may submit a fee waiver re- FOIA staff may not assist a requester
quest at a later time so long as the unin composing a request, advising what
derlying record request is pending or specific records to request, or how to
on administrative appeal. When a rewrite a request to qualify for a fee
quester who has committed to pay fees waiver.
subsequently asks for a waiver of those
fees and that waiver is denied, the re- [79 FR 46678, Aug. 11, 2014, as amended at
quester shall be required to pay any NASA–2019–0005, 84 FR 54777, Oct. 11, 2019]
costs incurred up to the date the fee
§ 1206.507 Categories of requesters.
waiver request was received.
(e) FOIA offices may make available (a) A request should indicate the fee
their FOIA Public Liaison or other category. If the requester does not in-
FOIA professional to assist any re- dicate a fee category, or it is unclear to
quester in reformulating a request in the FOIA office, the FOIA office will
an effort to reduce fees; however, the make a determination of the fee cat-
FOIA staff may not assist a requester egory based on the request. If the re-
in composing a request, advising what quester does not agree with their deter-
specific records to request, or how to mination, he/she will be afforded the
write a request to qualify for a fee opportunity to provide information to
waiver. support a different fee category.
(f) Where only some of the records to (b) If the request is submitted on be-
be released satisfy the requirements for half of another person or organization
a waiver of fees, a partial waiver shall (e.g., if an attorney is submitting a re-
be granted for those records. quest on behalf of a client), the fee cat-
(g) Requests for a waiver or reduction egory will be determined by consid-
of fees should be made when the re- ering the underlying requester’s iden-
quest is first submitted to the Agency tity and intended use of the informa-
and should address the criteria ref- tion. The following table outlines the
erenced above. A requester may submit basic fee categories and applicable fees:
Requester category Search fees Review fees Duplication fees
Commercial use requester .................. Yes ....................... Yes ............. Yes.

Educational and non-commercial sci- No ......................... No ............... Yes (first 100 pages, or equivalent volume, without
entific institutions. charge).
64
Requester category Search fees Review fees Duplication fees
Representative of news media re- No ......................... No ............... Yes (first 100 pages, or equivalent volume, without
quester. charge).
All other requesters ............................. Yes (first 2 hours No ............... Yes (first 100 pages, or equivalent volume, without
without charge). charge).
(c) The FOIA provides for three cat- stitution) or scientific (if the request is
egories of requesters. However, for from a non-commercial scientific insti-
clarity purposes, NASA has broken tution) research.
them down to four for the purposes of (i) Educational institution is any
determining fees. These four categories school that operates a program of
of FOIA requesters are: Commercial scholarly research. A requester in the
use requesters; educational and non- fee category in this paragraph (c)(2)
commercial scientific institutions; rep- must show that the request is made in
resentatives of the news media; and all connection with the requester’s role at
other requesters. The Act prescribes the educational institution. NASA may
specific levels of fees for each of these seek assurance from the requester that
categories, which is indicated in the the request is in furtherance of schol-
FOIA fee table above. arly research and will advise requesters
(1) Commercial use requesters. When of their placement in the category in
NASA receives a request for documents this paragraph (c)(2). A request for edu-
appearing to be for commercial use, cational purposes may be presumed if
meaning a request from or on behalf of submitted on the Institution’s letter-
one whom seeks information for a use head and signed by the Dean of the
or purpose that furthers the commer- School or Department.
cial, trade, or profit interests, which (A) Example 1. A request from a pro-
can include furthering those interests fessor of geology at a university for
through litigation, of either the re- records relating to soil erosion, written
quester or the person on whose behalf on letterhead of the Department of Ge-
the request is made, it will assess ology, would be presumed to be from an
charges to recover the full direct costs educational institution.
of searching for, reviewing for release, (B) Example 2. A request from the
and duplicating the records sought. same professor of geology seeking drug
NASA will not consider a commercial- information from the Food and Drug
use request for a waiver or reduction of Administration in furtherance of a
fees based upon an assertion that dis- murder mystery he is writing would
closure would be in the public interest. not be presumed to be an institutional
A request from a corporation (not a request, regardless of whether it was
news media corporation) may be pre- written on institutional stationery.
sumed to be for commercial use unless (C) Example 3. A student, who makes
the requester demonstrates that it a request in furtherance of the stu-
qualifies for a different fee category. dent’s coursework or other school-
Commercial use requesters are not en- sponsored activities and provides a
titled to two (2) hours of search time or copy of a course syllabus or other rea-
to 100 pages of duplication of docu- sonable documentation to indicate the
ments without charge. research purpose for the request, would
(2) Education and non-commercial sci- qualify as part of the fee category in
entific institution requesters. To be eligi- this paragraph (c)(2).
ble for inclusion in the category in this (ii) For the purposes of a non-com-
paragraph (c)(2), requesters must show mercial scientific institution, it must
that the request being made is author- be solely for the purpose of conducting
ized by and under the auspices of a scientific research, the results of which
qualifying institution and that the are not intended to promote any par-
records are not being sought for a com- ticular product or industry. Requests
mercial use (not operated for com- must be sent on the letterhead of the
merce, trade, or profit), but are being scientific institution and signed by the
sought in furtherance of scholarly (if responsible official-in-charge of the
the request is from an educational in- project/program associated with the
65
§ 1206.508 14 CFR Ch. V (1–1–21 Edition)
subject of the documents that are section fees in accordance with the fee
being requested. table in paragraph (b) of this section.
(3) Representative of the news media. (i) [79 FR 46678, Aug. 11, 2014, as amended at
NASA shall provide documents to re- NASA–2019–0005, 84 FR 54778, Oct. 11, 2019]
questers in the category in this para-
graph (c)(3) for the cost of duplication § 1206.508 Aggregation of requests.
alone, excluding charges for the first (a) A requester may not file multiple
100 pages. requests at the same time, each seek-
(ii) Representative of the news media ing portions of a document or docu-
is any person or entity that gathers in- ments, solely in order to avoid pay-
formation of potential interest to a ment of fees.
segment of the public, uses editorial (b) When NASA has reason to believe
skills to turn the raw materials into a that a requester or a group of request-
distinct work, and distributes that ers acting in concert is attempting to
work to an audience. The term ‘‘news’’ divide a request into a series of re-
means information that is about cur- quests on a single subject or related
rent events or that would be of current subjects for the purpose of avoiding the
interest to the public. Examples of new assessment of fees, NASA will aggre-
media entities include television or gate any such requests and charge ac-
radio stations that broadcast ‘‘news’’ cordingly.
to the public at large and publishers of (c) NASA will consider that multiple
periodicals that disseminate ‘‘news’’ requests made within a 30-day period
and make their products available were so intended submitted as such to
through a variety of means to the gen- avoid fees, unless there is evidence to
eral public, including news organiza- the contrary.
tions that disseminate solely on the (d) NASA will aggregate requests sep-
internet. These examples are not all in- arated by a longer period of time only
clusive. As methods of news delivery when there is a reasonable basis for de-
evolve, alternative news media entities termining that aggregation is war-
may come into existence. A request for ranted in view of all the circumstances
records supporting the news-dissemina- involved.
tion function of the requester will not (e) NASA will not aggregate multiple
be considered to be for a commercial requests on unrelated subjects from
use. ‘‘Freelance’’ journalists who dem- one requester or organization.
onstrate a solid basis for expecting
publication through a news media enti- § 1206.509 Form of payment.
ty will be considered as a representa- Payment shall be made by check or
tive of the news media. A publishing money order payable to the ‘‘Treasury
contract would provide the clearest of the United States,’’ or by credit card
evidence that publication is expected; per instructions in the initial deter-
however, agencies can also consider a mination or billing invoice and sent to
requester’s past publication record in NASA.
making this determination. Agencies
will advise requesters of their place- § 1206.510 Nonpayment of fees.
ment in the category in this paragraph (a) Requesters are advised that
(c)(3). should they fail to pay the fees as-
(iii) Requesters seeking the fee cat- sessed, they may be charged interest
egory in this paragraph (c)(3) who do on the amount billed starting on the
not articulate sufficient information to 31st day following the day on which the
support their request will not be in- billing was sent. Interest will be at the
cluded in the fee category in this para- rate prescribed in 31 U.S.C. 3717.
graph (c)(3). Additionally, FOIA staff (b) Applicability of Debt Collection Act
may grant a reduction of fees if the re- of 1982 (Pub. L. 97–365). Requesters are
quester can articulate the information advised that if full payment is not re-
of this section for some of the docu- ceived within 60 days after the billing
ments. was sent, the procedures of the Debt
(4) All other requesters. NASA shall Collection Act may be invoked (14 CFR
charge requesters who do not fit into 1261.407–1261.409). These procedures in-
any of the categories mentioned in this clude three written demand letters at
66
not more than 30-day intervals, disclo- tends to withhold and/or release infor-
sure to a consumer reporting agency, mation in the same manner as in the
and the use of a collection agency, previous FOIA request.
where appropriate. (d) An additional limited exception
to the notice requirements of § 1206.601,
§ 1206.511 Other rights and services. to be used only when all of the fol-
Nothing in this subpart shall be con- lowing exceptional circumstances are
strued to entitle any person to any found to be present, authorizes the
service or to the disclosure of any Agency to withhold information that is
record that is not required under the the subject of a FOIA request, based on
FOIA. Exemption 4 (5 U.S.C. 552(b)(4)), with-
out providing the submitter individual
Subpart F—Commercial notice when:
Information (1) The Agency would be required to
provide notice to over ten (10) submit-
§ 1206.600 General policy. ters, in which case, notification may be
(a) Notice shall be given to a sub- accomplished by posting or publishing
mitter whenever the information re- the notice in a place reasonably cal-
quested is commercial information and culated to accomplish notification.
has been designated by the submitter (2) Absent any response to the pub-
as information deemed protected from lished notice, the Agency determines
disclosure under Exemption 4 of the that if it provided notice as is other-
Act, or the Agency otherwise has rea- wise required by § 1206.601, it is reason-
son to believe that the information able to assume that the submitter
may be protected from disclosure under would object to disclosure of the infor-
Exemption 4. For the purpose of apply- mation based on Exemption 4; and,
ing the notice requirements, commer- (3) If the submitter expressed the an-
cial information is information pro- ticipated objections, the Agency would
vided by a submitter and in the posses- uphold those objections.
sion of NASA, that may arguably be (e) The exception shall be used only
exempt from disclosure under the pro- with the approval of the Chief Counsel
visions of Exemption 4 of the FOIA (5 of the Center, the Counsel to the In-
U.S.C. 552(b)(4)). The meaning ascribed spector General, or the Associate Gen-
to this term for the purpose of this no- eral Counsel responsible for providing
tice requirement is separate and should advice on the request. This exception
not be confused with use of this or shall not be used for a class of docu-
similar terms in determining whether ments or requests, but only as war-
information satisfies one of the ele- ranted by an individual FOIA request.
ments of Exemption 4.
(b) A submitter is a person or entity § 1206.601 Notice to submitters.
outside the Federal Government from (a) Except as provided in § 1206.603(b)
whom the Agency directly or indirectly and § 1206.603(c), the Agency shall pro-
obtains commercial or financial infor- vide a submitter with prompt written
mation. The term submitter includes, notice of a FOIA request that seeks its
but is not limited to corporations, commercial information whenever re-
state governments, individuals, and quired under § 1206.600(a).
foreign governments. (b) A notice to a submitter must in-
(c) The notice requirements of clude:
§ 1206.601 will not apply if: (1) The exact language of the request
(1) The information has been lawfully or an accurate description of the re-
published or officially made available quest;
to the public; or (2) Access to or a description of the
(2) Disclosure of the information is responsive records or portions thereof
required by a statute (other than this containing the commercial informa-
part); or tion to the submitter;
(3) The submitter has received notice (3) A description of the procedures for
of a previous FOIA request which en- objecting to the release of the possibly
compassed information requested in confidential information under
the later request, and the Agency in- § 1206.602;
67
§ 1206.602 14 CFR Ch. V (1–1–21 Edition)
(4) A time limit for responding to the § 1206.603 Notice of intent to disclose.
Agency that shall not exceed 10 work- (a) The Agency shall carefully con-
ing days from the date of the letter sider any objections of the submitter in
sent to the submitter by the FOIA Of- the course of determining whether to
fice or publication of the notice (as set disclose commercial information. The
forth in § 1206.603(b)) to object to the re- Agency, not the submitter, is respon-
lease and to explain the basis for the sible for deciding whether the informa-
objection; tion will be released or withheld.
(5) Notice that the information con- (b) Whenever the Agency decides to
tained in the submitter’s objections disclose commercial information over
may itself be subject to disclosure the objection of a submitter, the Agen-
under the FOIA; cy shall forward to the submitter a
(6) Notice that the Agency, not the written statement which shall include
submitter, is responsible for deciding the following:
(1) A brief explanation as to why the
whether the information shall be re-
Agency did not agree with any objec-
leased or withheld;
tions;
(7) Notice that failing to respond (2) A description of the commercial
within the timeframe specified under information to be disclosed, sufficient
§ 1206.601(b)(4) will create a presump- to identify information to the sub-
tion that the submitter has no objec- mitter; and
tion to the disclosure of the informa- (3) A date after which disclosure is
tion in question. expected, which shall be no less than 10
(c) Whenever the Agency provides no- working days from the date of the let-
tice pursuant to this section, the Agen- ter providing notification to the sub-
cy shall advise the requester that no- mitter by the FOIA Office (§ 1206.601).
tice and opportunity to comment are (c) The FOIA office will provide noti-
being provided to the submitter. fication regarding a FOIA lawsuit:
(1) To a submitter, when a requester
§ 1206.602 Opportunity to object to dis- brings suit seeking to compel disclo-
closure. sure of commercial information; or
(2) To a requester, when a submitter
(a) If a submitter has any objections brings suit against the Agency in order
to the disclosure of commercial infor- to prevent disclosure of commercial in-
mation, the submitter must provide a formation.
detailed written statement to the FOIA
office that specifies all factual and/or Subpart G—Appeals
legal grounds for withholding the par-
ticular information under any FOIA § 1206.700 How to submit an appeal.
exemptions. (a) A member of the public who has
(b) The submitter must include a requested an Agency record in accord-
daytime telephone number, an email ance with subpart C of this part, and
and mailing address, and a fax number who has received an initial determina-
if available on a response to the FOIA tion which does not comply fully with
office. the request, may appeal such an ad-
(c) A submitter who does not respond verse initial determination to the Ad-
within the time period specified under ministrator, or, for records as specified
this subpart will be considered to have in § 1206.805, to the Inspector General
no objection to disclosure of the infor- within 90 days from the date of the ini-
mation. tial determination letter.
(d) Responses received by the FOIA (b) The appeal must:
(1) Be in writing;
office after the time period specified in
(2) Be addressed to the Adminis-
§ 1206.601(b)(4) will not be considered by
trator, NASA Headquarters, Executive
the FOIA office. An extension of time Secretariat, Washington, DC 20546, or,
to respond may be granted provided the for records as specified in § 1206.805, to
submitter provides an explanation jus- the Inspector General, NASA Head-
tifying additional time within the time quarters, Room 8U71, 300 E Street, SW,
period specified in § 1206.601(b)(4). Washington, DC 20546;
68
(3) Be identified clearly on the enve- (e) If a reversal in whole or in part of

lope and in the letter as an ‘‘Appeal the initial determination requires addi-
under the Freedom of Information tional document search or production,
Act;’’ associated fees will be applicable in ac-
(4) Include a copy of the initial re- cordance with fee guidance in this reg-
quest for the Agency record and a copy ulation.
of the adverse initial determination (f) If the final determination sustains
along with any other correspondence in whole or in part an adverse initial
with the FOIA office; determination, the notification of the
(5) To the extent possible, state the final determination shall:
reasons the adverse initial determina- (1) Explain the basis on which the
tion should be reversed; and record (or portions thereof) will not be
(6) Be sent to the Administrator or made available;
the Inspector General, as appropriate, (2) Include the name and title of the
within 90 days of the date of the initial person making the final determination;
determination. (3) Include a statement that the final
(c) An official authorized to make a determination is subject to judicial re-
final determination may waive any of view under 5 U.S.C. 552(a)(4);
the requirements of paragraph (b) of (4) Provide a statement regarding the
this section, in which case the time mediation services of the Office of Gov-
limit for the final determination (see ernment Information Services (OGIS)
§ 1206.701(a)) shall run from the date of as a non-exclusive alternative to litiga-
such waiver. tion; and
[79 FR 46678, Aug. 11, 2014, as amended at (5) Enclose a copy of 5 U.S.C.
NASA–2019–0005, 84 FR 54778, Oct. 11, 2019] 552(a)(4).
(g) Before seeking a review by a court
§ 1206.701 Actions on appeals. of a FOIA office’s adverse initial deter-
(a) Except as provided in § 1206.403, mination, a requester must generally
the Administrator or designee, or in submit a timely administrative appeal
the case of records as specified in in accordance with this part.
§ 1206.805, the Inspector General or des-
ignee, shall make a final determination § 1206.702 Litigation.
on an appeal and notify the appellant In any instance in which a requester
thereof, within 20 working days after brings suit concerning a request for an
the receipt of the appeal by the Admin- Agency record under this part, the
istrator’s Office. matter shall promptly be referred to
(b) In ‘‘unusual circumstances’’ as de- the General Counsel with a report on
fined in § 1206.403, the time limit for a the details and status of the request.
final determination may be extended,
but not to exceed a total of 10 working
days in the aggregate in the processing
Subpart H—Responsibilities
of any specific appeal for an Agency § 1206.800 Delegation of authority.
record. The extension must be taken
before the expiration of the 20 working Authority necessary to carry out the
day time limit. The appellant will be responsibilities specified in this sub-
notified in writing in accordance with part is delegated from the Adminis-
§ 1206.403. trator to the officials named in this
(c) If processing time will exceed or subpart.
is expected to exceed 30 working days,
the appellant will be notified of the § 1206.801 Chief FOIA Officer.
delay in processing and the reason for (a) The Associate Administrator, Of-
the delay. fice of Communications, is designated
(d) If the final determination reas the Chief FOIA Officer for the Agen-
verses in whole or in part the initial cy. The Chief FOIA Officer is delegated
determination, the record requested (or authority for administering the FOIA
portions thereof) shall be made avail- and all related laws and regulations
able promptly to the requester, as pro- within the Agency. The Associate Ad-
vided in the final determination. ministrator has delegated the day-to-
69
§ 1206.802 14 CFR Ch. V (1–1–21 Edition)
day oversight of the Agency FOIA Pro- Counsel is also responsible for the han-
gram to the Deputy Associate Adminis- dling of appeals and litigation in con-
trator for Communications. nection with a request for an Agency
(b) The Deputy Associate Adminis- record under this part.
trator for Communications has dele-
gated the overall responsibility for de- § 1206.803 NASA Headquarters.
veloping and administering the FOIA
Except as otherwise provided under
program within NASA to the Principal
Agency FOIA Officer, located in the Of- this subpart, the Deputy Associate Ad-
fice of Communications. This includes: ministrator for Communications is re-
(1) Developing regulations in con- sponsible for the following:
sultation with the Office of General (a) Delegating the authority for di-
Counsel, providing guidelines, proce- rect oversight of the Headquarters
dures, and standards for the Agency’s FOIA Office to the Principal Agency
FOIA program; FOIA Officer.
(2) Overseeing all FOIA offices and (b) When denying records in whole or
programs and ensuring they are in in part, ensuring the Headquarters
compliance with FOIA laws and regula- FOIA Office consults with the General
tions; Counsel charged with providing legal
(3) Ensuring implementation of the advice to Headquarters before releasing
FOIA Programs throughout the Agency an initial determination under
and keeping the Chief FOIA Officer and § 1206.307.
the Deputy Associate Administrator
for Communications informed of the § 1206.804 NASA Centers and Compo-
Agency’s FOIA performance; nents.
(4) Providing program oversight,
technical assistance, and training to Except as otherwise provided in this
employees to ensure compliance with subpart, in coordination with the Dep-
the Act; uty Associate Administrator for Com-
(5) Preparing the Agency’s FOIA An- munications, the Director of each
nual Report to the Department of Jus- NASA Center or the Official-in-Charge
tice (DOJ) and Congress, as well as the of each Center, is responsible for ensur-
Chief FOIA Officer’s Report; ing the following:
(6) Preparing all other reports as re- (a) The Director of Public Affairs or
quired to DOJ, OGIS, and Congress or the Head of the Public Affairs Office at
within the Agency; the Center has delegated authority to
(7) Developing, conducting, and re- process all FOIA requests at their re-
viewing all internal Agency FOIA spective Center.
training for NASA FOIA staff; (b) This delegated authority has fur-
(8) Directly supervising the Head- ther been delegated to the FOIA Offi-
quarters FOIA Office. cers who are designated to work at
(c) The Chief FOIA Officer is respon-
NASA Centers and supervised by the
sible for ensuring NASA has appointed
Director of Public Affairs or Head of
FOIA Public Liaisons, who are respon-
sible for and able to assist in reducing the Public Affairs Office for that Cen-
delays, increasing transparency and ter. If a FOIA Officer working at a par-
understanding of the status of re- ticular NASA Center vacates the posi-
quests, and assisting in the resolution tion, the Deputy Associate Adminis-
of disputes at each Center or Compo- trator for Communications will des-
nent. ignate a new FOIA Officer, supervised
by the Principal Chief FOIA Officer, to
NASA–2019–0005, 84 FR 54778, Oct. 11, 2019]
process FOIA requests for that par-
ticular Center.
§ 1206.802 General Counsel. (c) When denying records in whole or
The General Counsel is responsible in part, the FOIA Officer designated to
for the interpretation of 5 U.S.C. 552 process records for the Center will con-
and of this part, as well as providing sult with the Chief Counsel or the
legal guidance with regard to disclo- Counsel charged with providing legal
sure of Agency records. The General
70
advice to that FOIA office before re- records located at the Headquarters Of-
leasing an initial determination under fice of the Inspector General.
§ 1206.307. [79 FR 46678, Aug. 11, 2014, as amended at
[79 FR 46678, Aug. 11, 2014, as amended at NASA–2019–0005, 84 FR 54779, Oct. 11, 2019]
NASA–2019–0005, 84 FR 54779, Oct. 11, 2019]
Subpart I—Location for Inspection
§ 1206.805 Inspector General. and Request of Agency Records
(a) The Inspector General or designee
is responsible for making final deter- § 1206.900 FOIA offices and electronic
minations under § 1206.701, within the libraries.
time limits specified in subpart G of (a) NASA Headquarters and each
this part, concerning audit, inspection NASA Center have a FOIA Electronic
and investigative records originating Library on the Internet. The Elec-
in the Office of the Inspector General, tronic library addresses are located on
records from outside the Government the NASA FOIA homepage http://
related to an audit, inspection or inves- www.hq.nasa.gov/office/pao/FOIA/agency/
tigation, records prepared in response (b) In addition, a requester may sub-
to a request from or addressed to the mit a FOIA request electronically. The
Office of the Inspector General, or addresses are located on the NASA
other records originating within the FOIA homepage under each Center
Office of the Inspector General, after link.
consultation with the General Counsel
or designee on an appeal of an initial PART 1207—STANDARDS OF
determination to the Inspector Gen- CONDUCT
eral.
(b) The Assistant Inspectors General Subpart A—General Provisions
or their designees are responsible for
Sec.
making initial determinations under
1207.101 Cross-references to ethical conduct,
subpart C concerning Office of Inspec- financial disclosure, and other applicable
tor General records originating in the regulations.
Office of the Inspector General, records 1207.102 Waiver of prohibition in 18 U.S.C.
from outside the Government related 208.
to Office of Inspector General records 1207.103 Designations of responsible offi-
prepared in response to a request from cials.
or addressed to the Office of the Inspec-
Subpart B—Post-Employment Regulations
tor General, or other records origi-
nating with the Office of the Inspector 1207.201 Scope of subpart.
General, after consultation with the 1207.202 Exemption for scientific and tech-
Counsel to the Inspector General or nological communications.
designee. AUTHORITY: 5 U.S.C. 7301; 18 U.S.C. 207–208;
(c) The Inspector General or designee 42 U.S.C. 2473(c)(1); 5 CFR 2635.102(b); 5 CFR
is responsible for ensuring that re- part 2637; 5 CFR part 2640.
quests for Agency records as specified SOURCE: 52 FR 22755, June 16, 1987, unless
in paragraphs (a) and (b) of this section otherwise noted.
are processed and initial determina-
tions are made within the time limits Subpart A—General Provisions
specified in subpart D of this part.
(d) The Inspector General or designee § 1207.101 Cross-references to ethical
is responsible for determining whether conduct, financial disclosure, and
unusual circumstances exist under other applicable regulations.
§ 1206.403 that would justify extending Employees of the National Aero-
the time limit for an initial or final de- nautics and Space Administration
termination, for records as specified in (NASA) should refer to the executive
paragraphs (a) and (b) of this section. branch-wide Standards of Ethnical
(e) Records as specified in paragraphs Conduct at 5 CFR part 2635, the NASA
(a) and (b) of this section include any regulation at 5 CFR part 6901 which
records located at Regional and field supplements the executive branch-wide
Inspector General Offices, as well as standards with respect to prohibitions
71
§ 1207.102 14 CFR Ch. V (1–1–21 Edition)
and prior approval requirements appli- (3) For all other Center employees,
cable to certain outside employment the Center Director or Deputy Center
activities, the Office of Personnel Man- Director may approve waivers of 18
agement provisions on employee re- U.S.C. 208. This authority may not be
sponsibilities and conduct at 5 CFR redelegated.
part 735, and the executive branch-wide (d) Procedures for specific waiver. The
financial disclosure regulation at 5 employee’s request for a waiver must
CFR part 2634. be in writing. The request must de-
[59 FR 49338, Sept. 28, 1994] scribe the particular matter involved,
the relevant duties of the employee,
§ 1207.102 Waiver of prohibition in 18 and the exact nature and amount of
U.S.C. 208. the disqualifying financial interest.
(a) Prohibition. Employees are prohib- (1) Headquarters employees. (i) Those
ited by criminal statute, 18 U.S.C. Headquarters employees described in
208(a), from participating personally paragraph (c)(1) of this section must
and substantially in an official capac- submit their requests to the Official-
ity in any particular matter in which, in-Charge of the Headquarters office in
to their knowledge, they, or any person which they are employed and to the
whose interests are imputed to them General Counsel for concurrence. The
under the statute, have a financial in- Official-in-Charge will then submit the
terest, if the particular matter will request to the Administrator with rec-
have a direct and predictable effect on ommendations on the proposed waiver.
that interest.
(ii) Other Headquarters employees
(b) Specific waiver available. A NASA
must submit their requests to the As-
employee may request a waiver of this
sociate General Counsel (General) for
prohibition. NASA may grant a specific
waiver of the prohibition only if the concurrence, and to the Associate Ad-
Agency determines that the employee’s ministrator for Headquarters Oper-
financial interest is not so substantial ations for approval.
as to be deemed likely to affect the in- (2) Center employees. (i) Those Center
tegrity of the employee’s services. The employees described in paragraph (c)(1)
waiver must be obtained before the em- of this section must submit their re-
ployee participates in the matter. quests to the Center Chief Counsel for
(c) Officials authorized to make waiver concurrence and then to the Director
determinations. (1) For the employees of the Center where they are employed.
listed below, waivers must be approved The Center Director will provide the
by the Administrator or Deputy Ad- request, with recommendations, to the
ministrator. No further delegation is appropriate Enterprise Associate Ad-
authorized. ministrator and to the General Counsel
(i) Employees who are required by 5 for review and submission to the Ad-
CFR 2634.202 to file Public Financial ministrator.
Disclosure Reports; (ii) Other Center employees must
(ii) Employees who are appointed submit their requests to the Center
under authority of section 203(c)(2) Chief Counsel for concurrence, and
(‘‘NASA Excepted Positions’’) or sec- then to their Center Director or Dep-
tion 203(c)(10) (‘‘Alien Scientists’’) of uty Center Director for approval.
the National Aeronautics and Space (3) Copies of approved waivers must
Act of 1958, as amended (42 U.S.C.
be forwarded to the Associate Adminis-
2473(c)(2) and 2473(c)(10));
trator for Human Resources and Edu-
(iii) Astronauts and astronaut can-
cation, the General Counsel, and the
didates;
Office of Government Ethics.
(iv) Chief Counsel; and
(v) Procurement Officers. (e) Cross-references. For regulations
(2) For all other Headquarters em- concerning general waiver guidance
ployees, the Associate Administrator and exemptions under 18 U.S.C. 208, see
for Headquarters Operations may ap- 5 CFR part 2640.
prove waivers of 18 U.S.C. 208. This au- [66 FR 59137, Nov. 27, 2001]
thority may not be redelegated.
72
National Aeronautics and Space Admin. Pt. 1208
§ 1207.103 Designations of responsible § 1207.201 Scope of subpart.

officials.
This subpart provides guidance to
(a) Designated Agency Ethics Official. former NASA government employees
The General Counsel of NASA is the who are subject to the restrictions of
Designated Agency Ethics Official and Title V of the Ethics of Government
is delegated the authority to coordi- Act of 1978, as amended, and who want
nate and manage NASA’s ethics pro- to communicate scientific or technical
gram as set forth in 5 CFR 2638.203. information to NASA.
(b) Alternate Designated Agency Ethics
Official. The Associate General Counsel § 1207.202 Exemption for scientific and
(General) is the Alternate Designated technological communications.
Agency Ethics Official. (a) Whenever a former government
(c) Deputy Ethics Officials. The fol- employee who is subject to the con-
lowing officials are designated as Dep- straints of post-employment conflict of
uty Ethics Officials: interest, 18 U.S.C. 207, wishes to com-
(1) The Deputy General Counsel; municate with NASA under the exemp-
(2) The Associate General Counsel tion in section 207(j)(5) for the making
(General); of a communication solely for the pur-
(3) The Senior Ethics Attorney as- pose of furnishing scientific or techno-
signed to the Associate General Coun- logical information, he or she shall
sel (General); and state to the NASA employee con-
(4) The Chief Counsel at each NASA tracted, the following information:
Center and Component Facility. (1) That he or she is a former govern-
ment employee subject to the post em-
(d) Agency Designee. As used in 5 CFR
ployment restrictions of 18 U.S.C. 207
part 2635, the term ‘‘Agency Designee’’
(a), (c), or (d)—specify which;
refers to the following:
(2) That he or she worked on certain
(1) For employees at NASA Head-
NASA programs—enumerate which;
quarters, or for matters affecting em-
and
ployees Agencywide, the Associate
(3) That the communication is solely
Deputy Administrator, the Designated
for the purpose of furnishing scientific
Agency Ethics Official, the Alternate
or technological information.
Designated Agency Ethics Official, or
(b) If the former government em-
the Chief of Staff; and
ployee has questions as to whether the
(2) For Center employees, the Center
communication comes within the sci-
Director, who may delegate specific re- entific and technological exemption, he
sponsibilities of the Agency Designee or she should contact the General
to the Center Chief Counsel or to an- Counsel, the designated agency ethics
other official who reports directly to official.
the Center Director.
(e) Cross-references. For regulations [54 FR 4003, Jan. 27, 1989; 55 FR 9250, Mar. 12,
on the appointment, responsibilities, 1990. Redesignated and amended at 59 FR
49338, Sept. 28, 1994]
and authority of the Designated Agen-
cy Ethics Official, Alternate Des-
ignated Agency Ethics Official, and PART 1208—UNIFORM RELOCA-
Deputy Ethics Officials, see 5 CFR part TION ASSISTANCE AND REAL
2638. For the responsibilities of the PROPERTY ACQUISITION FOR
Agency Designee, see 5 CFR part 2635. FEDERAL AND FEDERALLY AS-
[66 FR 59138, Nov. 27, 2001]
SISTED PROGRAMS
Subpart B—Post-Employment AUTHORITY: Sec. 213, Uniform Relocation

Assistance and Real Property Acquisition
Regulations Policies Act of 1970, Pub. L. 91–646, 84 Stat.
1894 (42 U.S.C. 4601) as amended by the Sur-
SOURCE: 54 FR 4003, Jan. 27, 1989; 55 FR face Transportation and Uniform Relocation
9250, Mar. 12, 1990, unless otherwise noted. Assistance Act of 1987, Title IV of Pub. L.
Redesignated at 59 FR 49338, Sept. 28, 1994. 100–17, 101 Stat. 246–256 (42 U.S.C. 4601 note).
73
§ 1208.1 14 CFR Ch. V (1–1–21 Edition)
§ 1208.1 Uniform Relocation Assistance § 1209.301 Authority.

and Real Property Acquisition.
(a) The Act of August 28, 1958 (50
Regulations and procedures for com- U.S.C. 1431–35) (hereinafter referred to
plying with the Uniform Relocation as ‘‘the Act’’), empowers the President
Assistance and Real Property Acquisi- to authorize departments and agencies
tion Policies Act of 1970 (Pub. L. 91–646, exercising functions in connection with
84 Stat. 1894, 42 U.S.C. 4601), as amend- the national defense to enter into con-
ed by the Surface Transportation and tracts or into amendments or modifica-
Uniform Relocation Assistance Act of tions of contracts and to make advance
1987 (Title IV of Pub. L. 100–17, 101 Stat. payments, without regard to other pro-
246–255, 42 U.S.C. 4601 note) are set visions of law relating to the making,
forth in 24 CFR part 24. performance, amendment, or modifica-
[52 FR 48017, Dec. 17, 1987; 54 FR 8912, Mar. 2, tion of contracts, whenever the Presi-
1989] dent deems that such action would fa-
cilitate the national defense.
(b) Executive Order No. 10789, dated
PART 1209—BOARDS AND November 14, 1958 (23 FR 8897), author-
COMMITTEES izes the Administrator, NASA, to exer-
cise the authority conferred by the Act
Subparts 1–2 [Reserved] and to prescribe regulations for the
Subpart 3—Contract Adjustment Board carrying out of such authority.
(c) Federal Acquisition Regulation
Sec. (FAR), part 50, April 1, 1985, and NASA/
1209.300 Scope. FAR Supplement 84–2, part 18–50, Octo-
1209.301 Authority. ber 19, 1984, establishes standards and
1209.302 Establishment of Board. procedures for the disposition of re-
1209.303 Functions of Board. quests for extraordinary contractual
adjustments by NASA contractors.
1209.305 Legal advice and assistance.
§ 1209.302 Establishment of Board.
Subpart 4—Inventions and Contributions
Board The Board was established on May 15,
1961, and is continued in effect by this
1209.400 Scope. regulation.
1209.402 Responsibilities. [51 FR 28924, Aug. 13, 1986, as amended at 78
1209.403 Organizational location. FR 20423, Apr. 5, 2013]
1209.405 Supporting services. § 1209.303 Functions of Board.
(a) The Board is authorized to act for
Subparts 1–2 [Reserved] and exercise the authority of the Ad-
ministrator in cases involving request
Subpart 3—Contract Adjustment by NASA contractors for extraordinary
contractual adjustments under the
Board Act. Such authority will be exercised
in accordance with the standards and
AUTHORITY: Pub. L. 85–804 and 51 U.S.C. procedures established by the Adminis-
20113.
trator, subject to such limitations as
SOURCE: 51 FR 28924, Aug. 13, 1986, unless the Administrator may prescribe.
otherwise noted. (b) The Board shall have the power to
approve, authorize or direct any ac-
§ 1209.300 Scope. tion, including the modification or re-
This subpart continues in effect the lease of any obligations, and to make
Contract Adjustment Board (herein- determinations and findings which are
after referred to as ‘‘the Board’’) to necessary or appropriate for the con-
consider and dispose of requests for ex- duct of its functions, and may adopt
traordinary contractual adjustments such rules of procedure as it considers
by contractors of the National Aero- desirable.
nautics and Space Administration (c) The concurring vote of a majority
(hereinafter referred to as NASA). of the total Board membership shall
74
constitute an action of the Board. De- ceive and evaluate each application for
cisions of the Board shall be final but award for any scientific or technical
the Board may reconsider and modify, contribution to the Administration
correct or reverse any Board decision which is determined to have significant
previously made. value in the conduct of aeronautical
and space activities, will accord each
§ 1209.304 Membership. applicant an opportunity for a hearing
The Board will consist of a chair- upon such application, and will then
person and four other members, all of transmit to the Administrator its rec-
whom shall be appointed by the Admin- ommendation as to the amount of the
istrator. monetary award and the terms of the
award, if any, to be made for such con-
§ 1209.305 Legal advice and assistance. tribution.
The General Counsel of NASA shall (2) If the contribution is made by a
provide the Board with all necessary Government employee, the Board is
advice and assistance. also authorized to consider such con-
tribution for award under the Incentive
Subpart 4—Inventions and Awards Program and to make an
Contributions Board award, if any, on its own cognizance,
up to the amount of $10,000, in accord-
AUTHORITY: 51 U.S.C. 20135(g) and 20136. ance with NASA supplements to Chap-
ter 451 of the Federal Personnel Man-
SOURCE: 51 FR 3945, Jan. 31, 1986, unless ual covering this subject.
otherwise noted.
[76 FR 44462, July 26, 2011]
§ 1209.400 Scope.
This subpart describes the functions, § 1209.403 Organizational location.
authority, and membership of the The Board shall be established within
NASA Inventions and Contributions an office or department of NASA as
Board (hereafter referred to as ‘‘the designated by the Administrator.
Board’’).
[76 FR 44462, July 26, 2011]
§ 1209.401 Establishment.
§ 1209.404 Membership.
Pursuant to the authority of the Na-
tional Aeronautics and Space Act of (a) The Board will consist of a full-
1958 as amended (42 U.S.C. 2457(f) and time Chairperson and at least six mem-
2458) and the Government Employees bers appointed by the Administrator
Incentive Awards Act of 1954 (5 U.S.C. from within NASA. One of the mem-
4501–6), the Board was established on bers will be designated by the Chair-
December 4, 1958, and is further contin- person as Vice-Chairperson. The Chair-
ued in effect by this subpart 4. person is responsible directly to the
Administrator.
§ 1209.402 Responsibilities. (b) The Chairperson of the Board is
(a) Waiver of rights in inventions. appointed for an unlimited period. All
Under the authority of 51 U.S.C. other Board members normally will be
20135(g) and pursuant to 14 CFR part appointed initially for a period of 3
1245 subpart 1, the Board will receive years. The Chairperson is authorized to
and evaluate petitions for waiver of extend the initial appointment of any
rights of the United States to inven- Board member for an additional period
tions, accord each interested party an of service. If a member resigns or is
opportunity for a hearing, and trans- otherwise unable to participate in the
mit to the Administrator its findings Board’s activities, a replacement may
of fact as to such petitions and its rec- be appointed for the remainder of the
ommendations for action to be taken uncompleted term and, with the ap-
with respect thereto. proval of the Chairperson, may be ap-
(b) Monetary awards for scientific and pointed for a full 3-year term upon the
technical contributions. (1) Under the au- expiration of the original term. This
thority of 51 U.S.C. 20136 and pursuant procedure will provide the Board with a
to 14 CFR part 1240, the Board will re- continual infusion of new members
75
§ 1209.405 14 CFR Ch. V (1–1–21 Edition)
with a variety of professional back- Subpart 1212.3—Amendments to Privacy

grounds and interests. Duties per- Act Records
formed by the members of the Board
will be in addition to their regular du- 1212.300 Requesting amendment.
ties. 1212.301 Processing the request to amend.
(c) The Chairperson is authorized to: 1212.302 Granting the request to amend.
(1) Assemble the Board as required to
Subpart 1212.4—Appeals and Related
discharge the duties and responsibil-
Matters
ities of the Board;
(2) Establish such panels as may be 1212.400 Appeals.
considered necessary to discharge the 1212.401 Filing statements of dispute.
responsibilities and perform the func- 1212.402 Disclosure to third parties of dis-
tions of the Board; and puted records.
(3) Issue implementing rules and pro-
cedures, and take such other actions as Subpart 1212.5—Exemptions to Individuals’
are necessary to perform the Board’s Rights of Access
functions.
1212.500 Exemptions under 5 U.S.C. 552a (j)
§ 1209.405 Supporting services. and (k).
1212.501 Record systems determined to be
(a) The staff of the Board is estab- exempt.
lished to assist the Board in dis-
charging its functions and responsibil- Subpart 1212.6—Instructions for NASA
ities. The staff will: Employees
(1) Prepare analyses of petitions for
waiver of rights to inventions for the 1212.600 General policy.
consideration of the Board; 1212.601 Maintenance and publication re-
(2) Prepare evaluation of proposed quirements for systems of records.
awards; 1212.602 Requirements for collecting infor-
mation.
(3) Document Board actions; and
1212.603 Mailing lists.
(4) Perform such other functions as
1212.604 Social security numbers.
may be required.
1212.605 Safeguarding information in sys-
(b) A full-time director of the staff tems of records.
will serve as a nonvoting member of 1212.606 Duplicate copies of records or por-
the Board, and will direct the activities tions of records.
of the staff of the Board.
(c) The director of the staff of the Subpart 1212.7—NASA Authority and
Board will report to the Chairperson of Responsibilities
the Board.
1212.700 NASA employees.
1212.701 Associate Deputy Administrator.
PARTS 1210–1211 [RESERVED] 1212.702 The Inspector General.
1212.703 NASA Chief Information Officer.
PART 1212—PRIVACY ACT—NASA 1212.704 Headquarters and Field Centers or
REGULATIONS Component Facilities.
1212.705 System manager.
Subpart 1212.1—Basic Policy 1212.706 Assistant Administrator for Pro-
curement.
Sec. 1212.707 Delegation of authority.
1212.100 Scope and purpose.
1212.101 Definitions.
Subpart 1212.8—Failure To Comply With
Subpart 1212.2—Requests for Access to Requirements of This Part
Records 1212.800 Civil remedies.
1212.200 Procedures for requesting records 1212.801 Criminal penalties.
subject to the Privacy Act. AUTHORITY: The National Aeronautics and
1212.201 Requesting a record. Space Act, as amended, 51 U.S.C. 20101 et seq.;
1212.202 Identification procedures. the Privacy Act of 1974, as amended, 88 Stat.
1212.203 Disclosures. 1896, 5 U.S.C. 552a.
1212.204 Fees.
1212.205 Exceptions to individuals’ rights of SOURCE: 57 FR 4928, Feb. 11, 1992, unless
access. otherwise noted.
76
Subpart 1212.1—Basic 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
Installations, as defined in part 1201 of which is compatible with the purpose
this chapter. for which it was collected.
(h) The term NASA employee or NASA
[57 FR 4928, Feb. 11, 1992, as amended at 77 official, particularly for the purpose of
FR 60621, Oct. 4, 2012]
§ 1212.203(g) relates to the disclosure of
§ 1212.101 Definitions. a record to those who have a need for
the record in the performance of their
For the purposes of this part, the fol- official duties, includes employees of a
lowing definitions shall apply in addi- NASA contractor which operates or
tion to definitions contained in the maintains a NASA system of records
Privacy Act of 1974, as amended (5 for or on behalf of NASA.
U.S.C. 552a):
(a) The term individual means a liv- [57 FR 4928, Feb. 11, 1992, as amended at 77
ing person who is either a citizen of the FR 60621, Oct. 4, 2012]
United States or an alien lawfully ad-
mitted for permanent residence. Subpart 1212.2—Requests for
(b) The term maintain includes main- Access to Records
tain, collect, use or disseminate.
(c) The term record means any item, § 1212.200 Procedures for requesting
collection, or grouping of information records subject to the Privacy Act.
about an individual including, but not The procedures outlined in this sub-
limited to, education, financial trans- part 1212.2 apply to the following types
actions, medical history, and criminal of requests made by individuals under
or employment history, and that con- the Privacy Act concerning records
tains a name, or the identifying num- about themselves:
ber, symbol, or other identifying par- (a) To determine if information on
ticular assigned to the individual, such the requester is included in a system of
as a finger or voice print or a photo- records;
graph. (b) For access to a record under 5
(d) The term system of records means U.S.C. 552a(d)(1); and
a group of any records from which in- (c) For an accounting of disclosures
formation is retrieved by the name of of the individual’s Privacy Act records
the individual or by some identifying under 5 U.S.C. 552a(c)(3).
number, symbol or other identifying
particular assigned to the individual. [57 FR 4928, Feb. 11, 1992, as amended at 77
(e) The term system manager means FR 60621, Oct. 4, 2012]
the NASA official who is responsible
§ 1212.201 Requesting a record.
for a system of records as designated in
the system notice of that system of (a) Individuals may request access to
records published in the FEDERAL REG- their Privacy Act records, either in
ISTER. When a system of records in- person or in writing.
cludes portions located at more than (b) Individuals may also authorize a
one NASA Center, the term system man- third party to have access to their Pri-
ager includes any subsystem manager vacy Act records. This authorization
77
§ 1212.202 14 CFR Ch. V (1–1–21 Edition)
shall be in writing, signed by the indi- (g) Normally, the system manager
vidual and contain the individual’s ad- shall respond to a request for access
dress as well as the name and address within 10 work days of receipt of the
of the representative being authorized request and the access shall be pro-
access. The identities of both the sub- vided within 30 work days of receipt.
ject individual and the representative (1) In response to a request for ac-
must be verified in accordance with the cess, the system manager shall:
procedures set forth in § 1212.202 of this (i) Notify the requester that there is
part. no record on the individual in the sys-
(c)(1) Requests must be directed to tem of records and inform the re-
the appropriate system manager, or, if quester of the procedures to follow for
unknown, to the Center Privacy Man- appeal (See § 1212.4);
ager or Freedom of Information Act (ii) Notify the requester that the
(FOIA) Office at NASA Headquarters or record is exempt from disclosure, cite
Field Center. The request should be the appropriate exemption, and inform
identified clearly on the envelope and the requester of the procedures to fol-
low for appeal (See § 1212.4);
on the letter as a ‘‘Request Under the
(iii) Upon request, promptly provide
Privacy Act.’’
copies of the record, subject to the fee
(2) Where possible, requests should requirements (§ 1212.204); or
contain the following information to (iv) Make the individual’s record
ensure timely processing: available for personal inspection in the
(i) Name and address of subject. presence of a NASA representative.
(ii) Identity of the system of records. (2) Unless the system manager agrees
(iii) Nature of the request. to another location, personal inspec-
(iv) Identifying information specified tion of the record shall be at the loca-
in the applicable system notice to as- tion of the record as identified in the
sist in identifying the request, such as system notice.
location of the record, if known, full (3) When an individual requests
name, birth date, time periods in which records in a system of records main-
the records are believed to have been tained on a third party, the request
compiled, etc. shall be processed as a Freedom of In-
(d) NASA has no obligation to com- formation Act (FOIA) request under 14
ply with a nonspecific request for ac- CFR part 1206. If the records requested
cess to information concerning an indi- are subject to release under FOIA (5
vidual, e.g., a request to provide copies U.S.C. 552(b)), then a Privacy Act ex-
of ‘‘all information contained in your emption may not be invoked to deny
files concerning me,’’ although a good access.
faith effort will be made to locate (4) When an individual requests
records if there is reason to believe records in a system of records main-
NASA has records on the individual. If tained on the individual, the request
the request is so incomplete or incom- shall be processed under this part.
prehensible that the requested record NASA will not rely on exemptions con-
cannot be identified, additional infor- tained in FOIA to withhold any record
mation or clarification will be re- which is otherwise accessible to the in-
quested in the acknowledgement, and dividual under this part.
assistance to the individual will be of- [57 FR 4928, Feb. 11, 1992, as amended at 77
fered as appropriate. FR 60621, Oct. 4, 2012; 78 FR 8963, Feb. 7, 2013]
(e) If the Center Privacy Manager re-
ceives a request for access, the Privacy § 1212.202 Identification procedures.
Manager will record the date of receipt (a) The system manager will release
and immediately forward the request records to the requester or representa-
to the responsible system manager for tive in person only upon production of
handling. satisfactory identification which in-
(f) If the Center FOIA Office receives cludes the individual’s name, signa-
a first party request for records or ac- ture, and photograph or physical de-
cess, the FOIA Office will process the scription.
request under the Privacy Act pursu- (b) The system manager will release
ant to this part. copies of records by mail only when the
78
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 requester’s 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 Archivist’s
records disclosed pursuant to computer designee to determine whether the
matching programs. record has such value;
(b) Disclosure accountings are not re- (7) To another agency or to an instru-
quired but are recommended for disclo- mentality of any governmental juris-
sures made: diction within or under the control of
(1) With the subject individual’s con- the United States for a civil or crimi-
sent; or nal law enforcement activity, if the ac-
(2) In accordance with § 1212.203(f) (1) tivity is authorized by law and if the
and (2), below. head of the agency or instrumentality
(c) The disclosure accounting re- has made a written request to NASA
quired by paragraph (a) of this section specifying the particular portion de-
shall include: sired and the law enforcement activity
(1) The date, nature, and purpose of for which the record is sought;
the disclosure; and (8) To a person pursuant to a showing
(2) The name and address of the re- of compelling circumstances affecting
cipient person or Agency. the health or safety of an individual if
(d) The disclosure accounting shall be upon such disclosure notification is
retained for at least 5 years after the transmitted to the last known address
disclosure or for the life of the record, of such individual;
whichever is longer. (9) To either House of Congress or, to
(e) The disclosure accounting main- the extent the matter is within its ju-
tained under the requirements of this risdiction, any committee or sub-
section is not itself a system of committee, or any joint committee of
records. Congress or subcommittee of any such
(f) Records in a NASA system of joint committee;
records may not be disclosed to third (10) To the Comptroller General, or
parties without the consent of the sub- any of the Comptroller’s authorized
ject individual. However, in con- representative(s), in the course of the
sonance with 5 U.S.C. 552a(b), disclo- performance of the duties of the Gen-
sure may be authorized without con- eral Accounting Office;
sent, if disclosure would be: (11) Pursuant to the order of a court
(1) To an officer or employee of of competent jurisdiction; or
NASA who has a need for the record in (12) To a consumer reporting agency
the performance of official duties; in accordance with section 3711(f) of
(2) Required under the Freedom of In- Title 31.
formation Act (5 U.S.C. 552) and part [57 FR 4928, Feb. 11, 1992, as amended at 77
1206 of this chapter; FR 60621, Oct. 4, 2012]
(3) For a routine use described in the
system notice for the system of § 1212.204 Fees.
records; (a) Fees will not be charged for:
(4) To the Bureau of the Census for (1) Search for a retrieval of the re-
purposes of planning or carrying out a questing individual’s records;
79
§ 1212.205 14 CFR Ch. V (1–1–21 Edition)
(2) Review of the records; taining such information before grant-

(3) Making a copy of a record when it ing access.
is a necessary part of the process of (d) Information compiled for civil ac-
making the record available for review; tions or proceedings. Nothing in this
(4) Transportation of the record(s); part shall allow an individual access to
(5) Making a copy of an amended any information compiled in reason-
record to provide evidence of the able anticipation of a civil action or
amendment; or proceeding.
(6) Copies of records if this is deter-
mined to be in the best interest of the Subpart 1212.3—Amendments to
Government. Privacy Act Records
(b) Fees for the duplication of records
will be assessed in accordance with § 1212.300 Requesting amendment.
§ 1206.700(a) of this chapter.
Individuals may request that NASA
(c) Where it appears that duplication
amend their records maintained in a
fees chargeable under this section will
NASA system of records under the pro-
exceed $25, the requester shall be pro-
vided an estimate of the fees before visions of 5 U.S.C. 552a(d)(2). This re-
copies are made. Where possible, the quest shall be in writing, addressed to
requester will be afforded the oppor- the appropriate system manager, and
tunity to confer with Agency personnel shall contain the following:
in a manner which will reduce the fees, (a) A notation on the envelope and on
yet still meet the needs of the re- the letter that it is a ‘‘Request for
quester. Amendment of Individual Record under
(d) Where the anticipated fee charge- the Privacy Act;’’
able under this section exceeds $25, an (b) The name of the system of
advance deposit of part or all of the an- records;
ticipated fee may be required. (c) Any information necessary to re-
trieve the record, as specified in the
§ 1212.205 Exceptions to individual’s system notice for the system of records
rights of access. (See § 1212.201(c)(2));
(a) The NASA Administrator has de- (d) A description of that information
termined that the systems of records in the record which is alleged to be in-
set forth in § 1212.501 are exempt from accurate, irrelevant, untimely, or in-
disclosure to the extent provided there- complete; and,
in. (e) Any documentary evidence or ma-
(b) Medical records. Normally, an indi- terial available to support the request.
vidual’s medical record shall be dis-
closed to the individual, unless the sys- FR 60621, Oct. 4, 2012]
tem manages, in consultation with a
medical doctor, determines that access § 1212.301 Processing the request to
to the record could have an adverse ef- amend.
fect upon the individual. In this case,
NASA shall allow access to the record (a) Within 10 work days of receipt by
by a medical doctor designated in writ- NASA of a request to amend a record,
ing by the requesting individual. the system manager shall provide the
(c) Test and qualification materials. requester with a written determination
Testing or examination material used or acknowledgement advising when ac-
solely to determine individual quali- tion may be taken.
fications for appointment or promotion (b) When necessary, NASA may uti-
in the Federal service the disclosure of lize up to 30 work days after receipt to
which would compromise the objec- provide the determination on a request
tivity or fairness of the testing or ex- to amend a record.
amination process and copies of certifi- (c) If the request for amendment is
cates of eligibles and other lists of eli- denied, the determination shall explain
gibles, the disclosure of which is pro- the reasons for the denial and inform
scribed by 5 CFR 300.201, shall be re- the requester of the procedures to fol-
moved from an individual’s record con- low for appeal (See § 1212.4)).
80
§ 1212.302 Granting the request to the date of the requester’s receipt of

amend. the initial determination. Appeals in-
NASA shall make the requested volving failure to grant access may be
amendment clearly on the record itself submitted any time after the 30 work
and all information deemed to be inac- day period has expired (See
curate, irrelevant, or untimely shall be § 1212.201(f)).
deleted and destroyed. Incomplete in- (e) A final determination on an ap-
formation shall either be amended or peal shall be made within 30 work days
deleted and destroyed. The individual after its receipt by the Associate Dep-
shall then be informed in writing that uty Administrator or Inspector Gen-
the amendment has been made. If the eral for appeals concerning records
inaccurate, irrelevant, untimely, or in- originating in the Office of the Inspec-
complete portion of the record has pre- tor General, unless, for good cause
viously been disclosed, then the system shown, the Associate Deputy Adminis-
manager shall notify those persons or trator or Inspector General extends
agencies of the amended information, such 30 work day period. Prior to the
referencing the prior disclosures (See expiration of the 30 work day period,
§ 1212.402). the requester shall be notified of any
such extension.
Subpart 1212.4—Appeals and (f) If a denial of a request to amend a
Related Matters record is upheld, the final determina-
tion shall:
§ 1212.400 Appeals. (1) Explain the basis for the detail;
(a) Individuals may appeal when (2) Include information as to how the
they: requester goes about filing a statement
(1) Have requested amendment of a of dispute under the procedures of
record and have received an adverse § 1212.401; and,
initial determination; (3) Include a statement that the final
(2) Have been denied access to a determination is subject to judicial re-
record; or, view under 5 U.S.C. 552a(g).
(3) Have not been granted access [57 FR 4928, Feb. 11, 1992, as amended at 77
within 30 work days of their request. FR 60621, Oct. 4, 2012]
(b) The Associate Deputy Adminis-
trator or designee is responsible for § 1212.401 Filing statements of dispute.
making final determinations of appeals (a) A statement of dispute shall:
as specified in paragraphs (a)(1)
(1) Be in writing;
through (3) of this section for all Agen-
(2) Set forth reasons for the individ-
cy records, with the exception of those
ual’s disagreement with NASA’s re-
records originating in the Office of the
fusal to amend the record;
Inspector General for which the Inspec-
tor General is responsible for making (3) Be concise;
final determinations of appeals. (4) Be addressed to the system man-
(c) An appeal shall: ager; and,
(1) Be in writing and addressed to the (5) Be identified on the envelope and
Associate Deputy Administrator, in the letter as a ‘‘Statement of Dis-
NASA, Washington, DC 20546 or to the pute under the Privacy Act.’’
Inspector General, NASA Head- (b) The system manager shall prepare
quarters, Washington, DC 20546, for an addendum to the statement explain-
records as specified in paragraph (b) of ing the basis for NASA’s refusal to
this section; amend the disputed record. A copy of
(2) Be identified clearly on the enve- the addendum shall be provided to the
lope and in the letter as an ‘‘Appeal individual.
under the Privacy Act;’’ (c) The system manager shall ensure
(3) Include a copy of any pertinent that the statement of dispute and ad-
documents; and dendum are either filed with the dis-
(4) State the reasons for the appeal. puted record or that a notation appears
(d) Appeals from adverse initial de- in the record clearly referencing the
terminations or denials of access must statement of dispute and addendum so
be submitted within 30 work days of that they may be readily retrieved.
81
§ 1212.402 14 CFR Ch. V (1–1–21 Edition)
§ 1212.402 Disclosure to third parties a disclosure accounting; (e)(4) (A)

of disputed records. through (F) relating to publishing a
(a) The system manager shall system notice setting forth name, loca-
promptly provide persons or agencies tion, categories of individuals and
to whom the disputed portion of a records, routine uses, and policies re-
record was previously disclosed and for garding storage, retrievability, access
which an accounting of the disclosure controls, retention and disposal of the
exists under the requirements of records; (e) (6), (7), (9), (10), and (11) re-
§ 1212.203 of this part, with a copy of the lating to dissemination and mainte-
statement of dispute and addendum, nance of records, and (i) relating to
along with a statement referencing the criminal penalties. This exemption ap-
prior disclosure. The subject individual plies to those records and information
shall be notified as to those individuals contained in the system of records per-
or agencies which are provided with taining to the enforcement of criminal
the statement of dispute and adden- laws.
dum. (ii) To the extent that noncriminal
(b) Any subsequent disclosure of a investigative files may exist within
disputed record shall clearly note the this system of records, the Inspector
portion of the record which is disputed General Investigations Case Files sys-
and shall be accompanied by a copy of tem of records is exempt from the fol-
the statement of dispute and adden- lowing sections of the Privacy Act (5
dum. U.S.C. 552a): (c)(3) relating to access to
the disclosure accounting, (d) relating
Subpart 1212.5—Exemptions to to access to records, (e)(1) relating to
Individuals’ Rights of Access the type of information maintained in
the records; (e)(4) (G), (H), and (I) relat-
§ 1212.500 Exemptions under 5 U.S.C. ing to publishing the system notice in-
552a (j) and (k). formation as to agency procedures for
(a) These provisions authorize the access and amendment and information
Administrator of NASA to exempt cer- as to the categories of sources or
tain NASA Privacy Act systems of records, and (f) relating to developing
records from portions of the require- agency rules for gaining access and
ments of this regulation. making corrections.
(b) The Administrator has delegated (2) Reason for exemptions. (i) The Of-
this authority to the Associate Deputy fice of Inspector General is an office of
Administrator (See § 1212.701). NASA, a component of which performs
(c) For those NASA systems of as its principal function activity per-
records that are determined to be ex- taining to the enforcement of criminal
empt, the system notice shall describe laws, within the meaning of 5 U.S.C.
the exemption and the reasons. 552a(j)(2). This exemption applies only
to those records and information con-
FR 60621, Oct. 4, 2012]
tained in the system of records per-
taining to criminal investigations.
§ 1212.501 Record systems determined This system of records is exempt for
to be exempt. one or more of the following reasons:
The Administrator has determined (A) To prevent interference with law
that the following systems of records enforcement proceedings.
are exempt to the extent provided here- (B) To avoid unwarranted invasion of
inafter. personal privacy, by disclosure of infor-
(a) Inspector General Investigations mation about third parties, including
Case Files—(1) Sections of the Act from other subjects of investigation, inves-
which exempted. (i) The Inspector Gen- tigators, and witnesses.
eral Investigations Case Files system (C) To protect the identity of Federal
of records is exempt from all sections employees who furnish a complaint or
of the Privacy Act (5 U.S.C. 552a) ex- information to the OIG, consistent
cept the following sections: (b) relating with section 7(b) of the Inspector Gen-
to conditions of disclosure; (c) (1) and eral Act of 1978, as amended, 5 U.S.C.
(2) relating to keeping and maintaining App.
82
(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
vided, however, That if any individual is would be held in confidence, or prior to
denied any right, privilege, or benefit January 1, 1975, under an implied prom-
that they would otherwise be entitled ise that the identity of the source
by Federal law, or for which they would be held in confidence. This sys-
would otherwise be eligible, as a result tem of records is exempt for one or
of the maintenance of such material, more of the following reasons:
such material shall be provided to such (A) To fulfill commitments made to
individual, except to the extent that protect the confidentiality of sources.
the disclosure of such material would (B) To assure access to sources of
reveal the identity of a source who fur- confidential information, including
nished information to the Government that contained in Federal, State, and
under an express promise that the iden- local criminal law enforcement infor-
tity of the source would be held in con- mation systems.
fidence, or, prior to January 1, 1975, (b) Security Records System—(1) Sec-
under an implied promise that the tions of the Act from which exempted.
identity of the sources would be held in The Security Records System is ex-
confidence. This system of records is empted from the following sections of
exempt for one or more of the following the Privacy Act (5 U.S.C. 552a): (c)(3)
reasons: relating to access to the disclosure ac-
(A) To prevent interference with law counting; (d) relating to access to the
enforcement proceedings. records; (e)(1) relating to the type of
(B) To protect investigatory material information maintained in the records;
compiled for law enforcement purposes. (e)(4) (G), (H), and (I) relating to pub-
(C) To avoid unwarranted invasion of lishing the system notice information
personal privacy, by disclosure of infor- as to agency procedures for access and
mation about third parties, including amendment, and information as to the
other subjects of investigation, law en- categories of sources of records; and (f)
forcement personnel, and sources of in- relating to developing Agency rules for
formation. gaining access and making corrections.
(D) To fulfill commitments made to (2) Reason for exemption. (i) Personnel
protect the confidentiality of sources. Security Records contained in the sys-
(E) To protect the identity of Federal tem of records which are compiled sole-
employees who furnish a complaint or ly for the purpose of determining suit-
information to the OIG, consistent ability, eligibility, or qualifications for
with section 7(b) of the Inspector Gen- Federal civilian employment, Federal
eral Act of 1978, as amended, 5 U.S.C. contracts, or access to classified infor-
App. mation are exempt under the provi-
(F) To assure access to sources of sions of 5 U.S.C. 552a(k)(5), but only to
confidential information, including the extent that the disclosure of such
that contained in Federal, State, and material would reveal the identity of
83
§ 1212.600 14 CFR Ch. V (1–1–21 Edition)
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 FR 60621, Oct. 4, 2012]
confidential information, including
that contained in Federal, State, and
local criminal law enforcement infor- Subpart 1212.6—Instructions for
mation systems. NASA Employees
(ii) Criminal Matter Records are con-
§ 1212.600 General policy.
tained in the system of records and are
exempt under the provisions of 5 U.S.C. In compliance with the Privacy Act
552a(k)(2): Provided, however, That if and in accordance with the require-
any individual is denied any right, ments and procedures of this regula-
privilege, or benefit that they would tion, NASA has an obligation to:
otherwise be entitled by Federal law, (a) Advise individuals, when re-
or for which they would otherwise be quested, as to whether any specific sys-
eligible, as a result of the maintenance tem of records maintained by NASA
of such material, such material shall contains records pertaining to them;
be provided to such individual, except (b) Prevent records being maintained
to the extent that the disclosure of by NASA in a system of records for a
such material would reveal the iden- specific purpose from being used or
tity of a source who furnished informa- made available for another purpose
tion to the Government under an ex- without the individual’s consent; and,
press promise that the identity of the (c) Permit individuals to have access
source would be held in confidence, or, to information about themselves in a
prior to January 1, 1975, under an im- NASA system of records, to have a
plied promise that the identity of the copy made, and, if appropriate under
sources would be held in confidence. subpart 1212.3 of this part, to amend
This system of records is exempt for
the records.
one or more of the following reasons:
(A) To prevent interference with law § 1212.601 Maintenance and publica-
enforcement proceedings. tion requirements for systems of
(B) To protect investigatory material records.
compiled for law enforcement purposes. (a) In maintaining systems of
(C) To avoid unwarranted invasion of records, NASA shall:
personal privacy, by disclosure of infor- (1) Maintain any record in a system
mation about third parties, including of records for necessary and lawful pur-
other subjects of investigation, law en- poses only, assure that the information
forcement personnel, and sources of in-
is current and accurate for its intended
formation.
use, and provide adequate safeguards to
(D) To fulfill commitments made to prevent misuse of the information.
protect the confidentiality of sources.
(2) Maintain only information about
(E) To assure access to sources of
an individual relevant and necessary to
confidential information, including
accomplish a purpose or to carry out a
that contained in Federal, State, and
function of NASA authorized by law or
local criminal law enforcement infor-
by Executive order of the President.
mation systems.
(3) Maintain records used by NASA
(F) To prevent disclosure of law en-
officials in making any determination
forcement techniques and procedures.
84
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
maintained or unless pertinent to and tion;
within the scope of an authorized law (2) Whether disclosure is mandatory
enforcement activity. or voluntary;
(5) Maintain and provide access to (3) The intended official use of the in-
records of other agencies under NASA’s formation;
control consistent with the regulations (4) The routine uses which may be
of this part. made of the information, as published
(b) Any system of records maintained in the system notices;
by NASA which is in addition to or (5) The effects, if any, on the indi-
substantially different from a Govern- vidual of not providing all or any part
mentwide systems of records described of the requested information.
in a systems notice published by an-
other agency shall be regarded as a § 1212.603 Mailing lists.
NASA system of records subject to the
NASA will not sell, rent, or other-
requirements of this part.
(c) NASA shall provide adequate ad- wise disclose an individual’s name and
vance notice to Congress and OMB of address to anyone, unless otherwise
any proposal to establish a new system specifically authorized by law. This is
of records or alter any existing system not to be construed to require the
of records as prescribed by OMB Cir- withholding of names and addresses
cular No. A–130, appendix I. otherwise permitted to be made public.
[57 FR 4928, Feb. 11, 1992, as amended at 77 [57 FR 4928, Feb. 11, 1992, as amended at 77
FR 60621, Oct. 4, 2012] FR 60621, Oct. 4, 2012]
§ 1212.602 Requirements for collecting § 1212.604 Social security numbers.

information.
(a) It is unlawful for NASA to deny to
In collecting information for systems individuals any rights, benefits, or
of records, the following requirements privileges provided by law because of
shall be met:
the individuals’ refusal to disclose
(a) Information shall be collected to
their social security numbers, except
the greatest extent practicable directly
from the subject individual when the where:
information may result in adverse de- (1) The disclosure is required by law;
terminations about an individual’s or
rights, benefits, and privileges under (2) The disclosure is from a system of
Federal programs. Exceptions to this records in existence and operating be-
policy may be made under certain cir- fore January 1, 1975, and was required
cumstances, such as one of the fol- under statute or regulation adopted be-
lowing: fore that date to verify the identity of
(1) There is a need to verify the accu- the individual(s).
racy of the information supplied by an (b) Any time individuals are re-
individual. quested to disclose their social security
(2) The information can only be ob- numbers, NASA shall indicate whether
tained from a third party. that disclosure is mandatory or vol-
(3) There is no risk that information untary, by what authority the numbers
collected from third parties, if inac- are requested, and what uses will be
curate, could result in an adverse de-
made of them.
termination to the individual con-
cerned.
85
§ 1212.605 14 CFR Ch. V (1–1–21 Edition)
§ 1212.605 Safeguarding information in (b) No disclosure shall be made from

systems of records. duplicate copies outside of the organi-
(a) Safeguards appropriate for a zational unit. Any outside request for
NASA system of records shall be devel- disclosure shall be referred to the ap-
oped by the system manager in a writ- propriate system manager for response.
ten plan approved by the Center Secu- (c) Duplicate copies are subject to
rity Officer or Center Information the same safeguard requirements appli-
Technology Security Officer for elec- cable to the system of records.
tronic records maintained in auto-
mated systems. Safeguards must insure Subpart 1212.7—NASA 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-
tained. (b) An employee shall not seek or ob-
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
protected under the Privacy Act and
official ‘‘need to know’’ may seek and
shall be subject to the same safeguard,
obtain access to records pertaining to
retention, and disposition require-
others.
ments applicable to the system of
records. (c) Employees shall refrain from dis-
cussing or disclosing personal informa-
(c) When records or copies of records
tion about others which they have ob-
are distributed to other Federal agen-
tained because of their official need to
cies, other than those having custody
know such information in the perform-
of the systems of records, they shall be
ance of official duties.
prominently identified as records pro-
tected under the Privacy Act. (d) To the extent included in a con-
(d) Records that are otherwise re- tract which provides for the mainte-
quired by law to be released to the pub- nance by or on behalf of NASA of a sys-
lic need not be safeguarded or identi- tem of records to accomplish a func-
fied as Privacy Act records. tion of NASA, the requirements of this
section shall apply to contractor em-
[57 FR 4928, Feb. 11, 1992, as amended at 77 ployees who work under the contract.
FR 60621, Oct. 4, 2012]
§ 1212.701 Associate Deputy Adminis-
§ 1212.606 Duplicate copies of records trator.
or portions of records.
The Associate Deputy Administrator
(a) NASA officials may maintain and is responsible for:
use, for official purposes, duplicate (a) Making final Agency determina-
copies of records or portions of records tions on appeals (§ 1212.400), except on
from a system of records maintained those related to records originating in
by their own organizational unit. This the Office of the Inspector General;
practice should occur only where there
(b) Authorizing exemptions from one
are justifiable organizational needs for
or more provisions of the Privacy Act
it, e.g., where geographic distances
for NASA systems of records (See
make use of the system of records time
§ 1212.500); and,
consuming or inconvenient. These du-
plicate copies shall not be considered a (c) Authorizing an extension for mak-
separate NASA system of records. For ing a final determination on an appeal
example, an office head or designee (§ 1212.400(d)), except for an appeal re-
may keep duplicate copies of per- lated to records originating in the Of-
sonnel, training, or similar records on fice of the Inspector General.
employees within the organization for [57 FR 4928, Feb. 11, 1992, as amended at 77
administrative convenience purposes. FR 60621, Oct. 4, 2012]
86
§ 1212.702 The Inspector General. complying with the requirements of

this regulation;
The Inspector General is responsible
(2) Ensuring that the requirements of
for:
this regulation and the Privacy Act are
(a) Making final Agency determina-
followed by employees;
tions on appeals related to records
(3) Ensuring that there is appropriate
originating with the Office of the In-
coordination within NASA before a de-
spector General (§ 1212.400), and
termination is made to disclose infor-
(b) Authorizing an extension for
mation without the individual’s con-
making a final determination on an ap-
sent under authority of 5 U.S.C. 552a(b)
peal related to records originating with
(See § 1212.203(f)); and
the Office of the Inspector General
(4) Providing appropriate oversight
(§ 1212.400(e)).
for responsibilities and authorities ex-
[77 FR 60622, Oct. 4, 2012] ercised by system managers under
their jurisdiction (§ 1212.705).
§ 1212.703 NASA Chief Information Of- (5) Establish a position of Center Pri-
ficer. vacy Manager to assist in carrying out
(a) The NASA Chief Information Offi- the responsibilities listed in this sec-
cer is responsible for the following: tion.
(1) Providing overall supervision and (b) [Reserved]
coordination of NASA’s policies and
[57 FR 4928, Feb. 11, 1992. Redesignated and
procedures under this regulation; amended at 77 FR 60622, Oct. 4, 2012; 78 FR
(2) Approving system notices for pub- 8964, Feb. 7, 2013]
lication in the FEDERAL REGISTER;
(3) Assuring that NASA employees § 1212.705 System manager.
and officials are informed of their re- (a) Each system manager is respon-
sponsibilities and that they receive ap- sible for the following with regard to
propriate training for the implementa- the system of records over which the
tion of these requirments; and, system manager has cognizance:
(4) Preparing and submitting the bi- (1) Overall compliance with this part,
ennial report on implementation of the NASA Policy Directive (NPD) 1382.17
Privacy Act to OMB and special re- and NASA Procedural Requirements
ports required under this regulation, (NPR) 1382.1.
including establishing appropriate re- (2) Ensuring that each person in-
porting procedures in accordance with volved in the design, development, op-
OMB Circular No. A–130. eration, or maintenance of the system
(b) The Chief Information Officer of records is instructed with respect to
may establish a position of ‘NASA Pri- the requirements of this regulation and
vacy Act Officer,’designate someone to the possible penalties for noncompli-
function as such an officer, and dele- ance;
gate to that officer any of the func- (3) Submitting a request to the Asso-
tions described in paragraph (a) of this ciate Deputy Administrator for an ex-
section. emption of the system under subpart
[57 FR 4928, Feb. 11, 1992. Redesignated and 1212.5 of this part, setting forth in pro-
amended at 77 FR 60622, Oct. 4, 2012] posed rulemaking form the reasons for
the exemption and citing the specific
§ 1212.704 Headquarters and Field provision of the Privacy Act which is
Centers or Component Facilities. believed to authorize the exemption;
(a) Officials-in-Charge of Head- (4) After consultation with the Office
quarters Offices, Directors of NASA of the General Counsel or the Chief
Field Centers and Officials-in-Charge of Counsel, making reasonable efforts to
Component Facilities are responsible serve notice on an individual when any
for the following with respect to those record on such individual is made
systems of records maintained in their available to any person under compul-
organization: sory legal process when such process
(1) Avoiding the establishment of new becomes a matter of public record;
systems of records or new routine uses (5) Making an initial determination
of a system of records without first on an individual’s request to correct or
87
§ 1212.706 14 CFR Ch. V (1–1–21 Edition)
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
[57 FR 4928, Feb. 11, 1992. Redesignated and
record is first reviewed for accuracy, amended at 77 FR 60622, Oct. 4, 2012]
completeness, timeliness, and rel-
evance; § 1212.706 Assistant Administrator for
(7) Authorizing disclosures of a Procurement.
record without the individual’s consent The Assistant Administrator for Pro-
under § 1212.203(f)(1) through (12); curement is responsible for developing
(8) Responding within the require- appropriate procurement regulations
ments of § 1212.200 to an individual’s re- and procedures under which NASA con-
quest for information as to whether the tracts requiring the maintenance of a
system contains a record pertaining to system of records in order to accom-
the individual; plish a NASA function are made sub-
(9) Responding to an individual’s reject to the requirements of this part.
quest for access and copying of a
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
§ 1212.707 Delegation of authority.
1212.3 of this part, or filing in an indi-
vidual’s record a statement of dispute; Authority necessary to carry out the
(11) Preparing an addendum to an in- responsibilities specified in this regula-
dividual’s statement of dispute to be tion is delegated to the officials
filed in the individual’s records, in ac- named, subject to any conditions or
cordance with § 1212.401; limitations imposed in accordance with
(12) Maintaining disclosure account- this subpart 1212.7.
ings in accordance with 5 U.S.C. 552a(c) [57 FR 4928, Feb. 11, 1992. Redesignated at 77
and § 1212.203 of this part. This includes FR 60622, Oct. 4, 2012]
records disclosed pursuant to any com-
puter matching programs;
(13) Notifying persons to whom a
Subpart 1212.8—Failure To Com-
record has been disclosed and for which ply With Requirements of This
an accounting was made as to disputes Part
and corrections involving the record;
§ 1212.800 Civil remedies.
and
(14) Developing appropriate safe- Failure to comply with the require-
guards for the system of records in ac- ments of the Privacy Act and this part
cordance with § 1212.605(a). could subject NASA to civil suit under
(b) Where a system of records has the provisions of 5 U.S.C. 552a(g).
subsystems described in the system no-
tice, the subsystem manager will have § 1212.801 Criminal penalties.
the responsibilities outlined in para- (a) A NASA officer or employee may
graph (a) of this section. Although the be subject to criminal penalties under
system manager has no line authority the provisions of 5 U.S.C. 552a(i) (1) and
over subsystem managers, the system (2).
manager does have overall functional (1) Section 552a(i)(1). Any officer or
responsibility for the total system, and employee of an agency, who by virtue
may issue guidance to subsystem man- of employment or official position, has
agers on implementation of this part. possession of, or access to, agency
When furnishing information for re- records which contain individually
quired reports, the system manager identifiable information the disclosure
will be responsible for reporting the en- of which is prohibited by this section
tire system of records, including any or by rules or regulations established
subsystems. thereunder, and who knowing that dis-
(c) Exercise of the responsibilities closure of the specific material is so
and authorities in paragraph (a) of this prohibited, willfully discloses the ma-
section by any system or subsystem terial in any manner to any person or
managers at a NASA Center shall be agency not entitled to receive it, shall
88
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
records.
not apply to the Office of Inspector
(b) Section 552a(i)(3). Any person who
General regarding its activities.
knowingly and willfully requests or ob-
tains any record concerning an indi- § 1213.102 Policy.
vidual from an agency under false pre-
tenses shall be guilty of a misdemeanor (a) NASA, a scientific and technical
and fined not more than $5,000. Agency, is committed to a culture of
openness with the media and public
PART 1213—RELEASE OF INFORMA- that values the free exchange of ideas,
data, and information as part of sci-
TION TO NEWS AND INFORMA- entific and technical inquiry. Sci-
TION MEDIA entific and technical information from
or about Agency programs and projects
Sec. will be accurate and unfiltered.
1213.100 Scope.
1213.101 Applicability. (b) Consistent with NASA statutory
1213.102 Policy. responsibility, NASA will ‘‘provide for
1213.103 Responsibilities. the widest practicable and appropriate
1213.104 Public information coordination dissemination of information con-
and concurrence. cerning its activities and the results
1213.105 Interviews. thereof.’’ Release of public information
1213.106 Preventing release of classified in-
formation to the media.
concerning NASA activities and the re-
1213.107 Preventing unauthorized release of sults of NASA activities will be made
sensitive but unclassified (SBU) informa- in a timely, equitable, accurate, and
tion/material to the news media. complete manner.
1213.108 Multimedia materials. (c) To ensure timely release of infor-
1213.109 News releases concerning inter- mation, NASA will endeavor to ensure
national activities.
cooperation and coordination among
AUTHORITY: 42 U.S.C. 2473(a)(3). the Agency’s scientific, engineering,
SOURCE: 71 FR 49989, Aug. 24, 2006, unless and public affairs communities.
otherwise noted. (d) In keeping with the desire for a
culture of openness, NASA employees
§ 1213.100 Scope. may, consistent with this policy, speak
This part sets forth policy governing to the press and the public about their
the release of public information, work.
which is defined as information in any (e) This policy does not authorize or
form provided to news and information require disclosure of information that
media, especially information that has is exempt from disclosure under the
the potential to generate significant Freedom of Information Act (5 U.S.C.
media or public interest or inquiry. Ex- 552) or otherwise restricted by statute,
amples include, but are not limited to, regulation, Executive Order, or other
press releases, media advisories, news Executive Branch policy or NASA pol-
features, and Web postings. Not in- icy (e.g., OMB Circulars, NASA Policy
cluded under this definition are sci- Directives). Examples of information
entific and technical reports, Web post- not releasable under this policy in-
ings designed for technical or scientific clude, without limitation, information
89
§ 1213.103 14 CFR Ch. V (1–1–21 Edition)
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
lic information nationwide by NASA Headquarters Public Affairs Officers, in
Headquarters will be made by the As- a timely manner, about activities or
sistant Administrator for Public Af- events that have the potential to gen-
fairs or his/her designee. erate significant media or public inter-
(b) NASA’s Mission Directorate Asso- est or inquiry.
ciate Administrators and Mission Sup- (h) All NASA public affairs employ-
port Office heads have ultimate respon- ees are expected to adhere to the fol-
sibility for the technical, scientific, lowing code of conduct:
and programmatic accuracy of all in- (1) Be honest and accurate in all com-
formation that is related to their re- munications.
spective programs and released by (2) Honor publication embargoes.
NASA. (3) Respond promptly to media re-
(c) Under the direction of the Assist- quests, and respect media deadlines.
ant Administrator for Public Affairs, (4) Act promptly to notify the public
Public Affairs Officers assigned to Mis- of, and correct, erroneous information,
sion Directorates are responsible for either internally or externally.
the timely and efficient coordination (5) Promote the free flow of scientific
of public information covering their re- and technical information.
spective programs. This coordination (6) Protect non-public information.
includes review by appropriate Mission (i) All NASA employees are respon-
Directorate officials. It also includes sible for adhering to plans (including
editing by public affairs staff to ensure schedules) for activities established by
that public information products are public affairs offices and senior man-
well written and appropriate for the in- agement for the coordinated release of
tended audience. However, such editing public information.
shall not change scientific or technical (j) All NASA-funded missions will
data or the meaning of programmatic have a public affairs plan, approved by
content. the Assistant Administrator for Public
(d) Center Public Affairs Directors Affairs, which will be managed by
are responsible for implementing their Headquarters and/or a designated
portion of the Agency’s communica- NASA Center.
tions program, adhering to Agency (k) Public affairs activities for
policies, procedures, and priorities, and NASA-funded missions will not be
coordinating their activities with managed by non-NASA institutions,
Headquarters (and others where appro- unless authorized by the Assistant Ad-
priate). They are responsible for the ministrator for Public Affairs.
90
§ 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.
(c) All public information shall be co-
ordinated through the appropriate § 1213.105 Interviews.
Headquarters offices, including review (a) Only spokespersons designated by
by the appropriate Mission Directorate the Assistant Administrator for Public
Associate Administrator and Mission Affairs, or his/her designee, are author-
Support Office head, or their designees, ized to speak for the Agency in an offi-
to ensure scientific, technical, and pro- cial capacity regarding NASA policy,
grammatic accuracy, and review by the programmatic, and budget issues.
Assistant Administrator for Public Af- (b) In response to media interview re-
fairs or his/her designee to ensure that quests, NASA will offer articulate and
public information products are well knowledgeable spokespersons who can
written and appropriate for the in- best serve the needs of the media and
tended audience. the American public. However, journal-
(d) Centers may, however, without ists may have access to the NASA offi-
the full coordination of Headquarters, cials they seek to interview, provided
issue public information that is insti- those NASA officials agree to be inter-
tutional in nature, of local interest, or viewed.
has been deemed not to be a Head- (c) NASA employees may speak to
quarters release. These releases must the media and the public about their
be coordinated through the appropriate work. When doing so, employees shall
Center offices and approved by the Cen- notify their immediate supervisor and
ter Director and Center Public Affairs coordinate with their public affairs of-
Director. The Center Public Affairs Di- fice in advance of interviews whenever
rector is required to provide proper no- possible, or immediately thereafter,
tification to the Office of Public Af- and are encouraged, to the maximum
fairs, NASA Headquarters, prior to re- extent practicable, to have a Public Af-
lease. The Assistant Administrator for fairs Officer present during interviews.
Public Affairs or his/her designee will If Public Affairs Officers are present,
determine which public information their role will be to attest to the con-
will be issued nationwide by NASA tent of the interview, support the
Headquarters and shall publish guide- interviewee, and provide post-interview
lines for the release of public informa- follow up with the media, as necessary.
tion that may be issued by Centers (d) NASA, as an Agency, does not
without clearance from Headquarters take a position on any scientific con-
offices. clusions. That is the role of the broad
(e) Dispute Resolution. Any dispute scientific community and the nature of
arising from a decision to proceed or the scientific process. NASA scientists
91
§ 1213.106 14 CFR Ch. V (1–1–21 Edition)
may draw conclusions and may, con- Order 12958, as amended, ‘‘Classified
sistent with this policy, communicate National Security Information,’’ and
those conclusions to the media. How- its implementing directive at 32 CFR
ever, NASA employees who present parts 2001 and 2004.
personal views outside their official (b) Any attempt by news media rep-
area of expertise or responsibility must resentatives to obtain classified infor-
make clear that they are presenting mation will be reported through the
their individual views—not the views of Headquarters Office of Public Affairs
the Agency—and ask that they be or Installation Public Affairs Office to
sourced as such. the Installation Security Office and Of-
(e) Appropriated funds may only be fice of Security and Program Protec-
used to support Agency missions and tion.
objectives consistent with legislative (c) For classified operations and/or
or presidential direction. Government programs managed under the auspices
funds shall not be used for media inter- of a DD Form 254, ‘‘Contract Security
views or other communication activi- Classification Specification,’’ all inquir-
ties that go beyond the scope of Agen- ies concerning this activity will be re-
cy responsibilities and/or an employ- sponded to by the appropriate PAO of-
ee’s official area of expertise or respon- ficial designated in Item 12 on the DD
sibility. Form 254.
(f) Media interviews will be ‘‘on-the- (d) For classified operations and/or
record’’ and attributable to the person information owned by other Govern-
making the remarks, unless the ment agencies (e.g., DOD, DOE), all in-
interviewee is authorized to do other- quiries will be referred to the appro-
wise by the Assistant Administrator priate Agency Public Affairs Officer as
for Public Affairs or Center Public Af- established in written agreements.
fairs Director, or their designees. Any
NASA employee providing material to § 1213.107 Preventing unauthorized re-
the press will identify himself/herself lease of sensitive but unclassified
as the source. (SBU) information/material to the
(g) Audio recordings may be made by news media.
NASA with consent of the interviewee. (a) All NASA SBU information re-
(h) NASA employees are not required quires accountability and approval for
to speak to the media. release. Release of SBU information to
(i) Public information volunteered by unauthorized personnel is prohibited.
a NASA official will not be considered Unauthorized release of SBU informa-
exclusive to any one media source and tion may result in prosecution and/or
will be made available to other disciplinary action. Ignorance of NASA
sources, if requested. policy and procedures regarding SBU
information does not release a NASA
§ 1213.106 Preventing release of classi- employee from responsibility for unau-
fied information to the media. thorized release. See NPR 1600.1, Chap-
(a) Release of classified information ter 5, Section 5.24 for guidance on iden-
in any form (e.g., documents, through tification, marking, accountability and
interviews, audio/visual) to the news release of NASA SBU information.
media is prohibited. The disclosure of (b) Examples of SBU information in-
classified information to unauthorized clude: proprietary information of oth-
individuals may be cause for prosecu- ers provided to NASA under nondisclo-
tion and/or disciplinary action against sure or confidentiality agreement;
the NASA employee involved. Igno- source selection and bid and proposal
rance of NASA policy and procedures information; information subject to ex-
regarding classified information does port control under the International
not release a NASA employee from re- Traffic in Arms Regulations (ITAR) or
sponsibility for preventing any unau- the Export Administration Regulations
thorized release. See NPR 1600.1, Chap- (EAR); information subject to the Pri-
ter 5, Section 5.23 for internal NASA vacy Act of 1974; predecisional mate-
guidance on management of classified rials such as national space policy not
information. For further guidance that yet publicly released; pending reorga-
applies to all agencies, see Executive nization plans or sensitive travel
92
itineraries; and information that could § 1213.109 News releases concerning

constitute an indicator of U.S. Govern- international activities.
ment intentions, capabilities, oper-
(a) Releases of information involving
ations, or activities or otherwise
NASA activities, views, programs, or
threaten operations security.
projects involving another country or
(c) Upon request for access to infor-
an international organization require
mation/material deemed SBU, coordi-
nation must be made with the informa- prior coordination and approval by the
tion/material owner to determine if the Headquarters offices of External Rela-
information/material may be released. tions and Public Affairs.
Other organizations that play a part in (b) NASA Centers and Headquarters
SBU information identification, ac- offices will report all visits proposed by
countability, and release (e.g., General representatives of foreign news media
Counsel, External Relations, Procure- to the Public Affairs Officer of the Of-
ment) must be consulted for assistance fice of External Relations for appro-
and/or concurrence prior to release. priate handling consistent with all
(d) Requests for SBU information NASA policies and procedures.
from other Government agencies must
be referred to the NASA program or PART 1214—SPACE FLIGHT
other office responsible for handling
the information as SBU. Subparts 1214.1–1214.3 [Reserved]
§ 1213.108 Multimedia materials. Subpart 1214.4—International Space
(a) NASA’s multimedia material, Station Crew
from all sources, will be made available
1214.400 Scope.
to the information media, the public,
1214.401 Applicability.
and to all Agency Centers and con-
1214.402 International Space Station crew-
tractor installations utilizing contem- member responsibilities.
porary delivery methods and emerging 1214.403 Code of Conduct for the Inter-
digital technology. national Space Station Crew.
(b) Centers will provide the media, 1214.404 Violations.
the public, and as necessary, NASA
Headquarters with: Subpart 1214.5 [Reserved]
(1) Selected prints and original or du-
plicate files of news-oriented imagery Subpart 1214.6—Mementos Aboard NASA
and other digital multimedia material Missions
generated within their respective
1214.600 Scope.
areas.
(2) Selected video material in the 1214.602 Policy.
highest quality format practical, 1214.603 Official Flight Kit.
which, in the opinion of the installa- 1214.604 Personal Preference Kit.
tions, would be appropriate for use as 1214.605–1214.606 [Reserved]
news feed material or features in pre- 1214.607 Media and public inquiries.
produced programs and other presen- 1214.608 [Reserved]
tations. 1214.609 Loss or theft.
(3) Audio and/or video files of signifi- 1214.610 Violations.
cant news developments and other
events of historic or public interest. Subpart 1214.7—The Authority of the NASA
(4) Interactive multimedia features Commander
that can be incorporated into the
1214.700 Scope.
Agency’s Internet portal for use by in-
ternal and external audiences, includ-
1214.702 Authority and responsibility of the
ing the media and the general public. NASA Commander.
(5) To the extent practicable, these 1214.703 Chain of command.
products will be in forms and media ac- 1214.704 Violations.
cessible to the public at large, as well
as to specific user groups requesting
them, if any.
93
§ 1214.400 14 CFR Ch. V (1–1–21 Edition)
Subparts 1214.8–1214.10 [Reserved] which it provides observe the Code of

Conduct.
Subpart 1214.11—NASA Astronaut Can-
didate Recruitment and Selection Pro- § 1214.401 Applicability.
gram This subpart applies to all persons
1214.1100 Scope. provided by NASA for flight to the
1214.1101 Announcement. International Space Station, including
1214.1102 Evaluation of applications. U.S. Government employees, uni-
1214.1103 Application cutoff date. formed members of the Armed Serv-
1214.1104 Evaluation and ranking of highly ices, U.S. citizens who are not employ-
qualified candidates.
ees of the U.S. Government, and for-
1214.1105 Final ranking.
1214.1106 Selection of astronaut candidates. eign nationals.
1214.1107 Notification.
§ 1214.402 International Space Station
Subparts 1214.12–1214.17 [Reserved] crewmember responsibilities.
(a) All NASA-provided International
AUTHORITY: Pub. L. 111–314, sec. 3, 124 Stat. Space Station crewmembers are sub-
3328 (51 U.S.C. 20101, et seq.). ject to specified standards of conduct,
SOURCE: 57 FR 4545, Feb. 6, 1992, unless oth- including those prescribed in the Code
erwise noted. of Conduct for the International Space
Station Crew, set forth as § 1214.403.
Subparts 1214.1–1214.3 [Reserved] NASA-provided International Space
Station crew members may be subject
to additional standards and require-
Subpart 1214.4—International ments, as determined by NASA, which
Space Station Crew will be made available to those NASA-
provided crewmembers, as appropriate.
AUTHORITY: Pub. L. 111–314, sec. 3, 124 Stat. (1) NASA-provided International
3328 (51 U.S.C. 20101, et seq.). 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
Space Station (hereinafter Agreement), signed on behalf of NASA by the NASA
which establishes and governs the General Counsel or designee.
International Space Station, requires (3) NASA-provided International
the development and approval of a Space Station crewmembers who are
Code of Conduct for International employed by a branch, department, or
Space Station crew. Pursuant to Arti- agency of the U.S. Government may, as
cle 11 of the Agreement, each Inter- determined by the NASA General
national Space Station partner is Counsel, be required to enter into an
obliged to ensure that crewmembers agreement with NASA to comply with
94
specified standards of conduct, includ- tablish responsibilities with respect to ele-

ing those prescribed in the Code of Con- ments and equipment; set forth disciplinary
duct for the International Space Sta- regulations; establish physical and informa-
tion security guidelines; and define the ISS
tion Crew (§ 1214.403). Any such agree- Commander’s authority and responsibility,
ment will be signed on behalf of NASA on behalf of all the partners, to enforce safe-
by the NASA General Counsel or des- ty procedures, physical and information se-
ignee. curity procedures and crew rescue proce-
(b) All NASA-provided personnel on dures for the ISS. This CCOC and the dis-
board the International Space Station ciplinary policy referred to in Section IV
are additionally subject to the author- shall not limit the application of Article 22
of the IGA. This CCOC succeeds the NASA-
ity of the International Space Station
RSA Interim Code of Conduct, which was de-
Commander and shall comply with veloped pursuant to Article 11.2 of the MOU
Commander’s orders and directions. between NASA and RSA to cover early as-
sembly prior to other partners’ flight oppor-
§ 1214.403 Code of Conduct for the tunities.
International Space Station Crew. This CCOC sets forth the standards of con-
The Code of Conduct for the Inter- duct applicable to all ISS crewmembers dur-
national Space Station Crew, which ing preflight, on-orbit, and post-flight activi-
ties, (including launch and return phases).
sets forth minimum standards for ISS crewmembers are subject to additional
NASA-provided International Space requirements, such as the ISS Flight Rules,
Station crewmembers, is as follows: the disciplinary policy, and requirements
imposed by their Cooperating Agency or
CODE OF CONDUCT FOR THE INTERNATIONAL those relating to the Earth-to-Orbit Vehicle
SPACE STATION CREW (ETOV) transporting an ISS crewmember.
I. INTRODUCTION Each ISS crewmember has a right to know
about such additional requirements. ISS
A. Authority crewmembers will also abide by the rules of
the institution hosting the training, and by
This Code of Conduct for the International standards and requirements defined by the
Space Station (ISS) crew, hereinafter re- Multilateral Crew Operations Panel (MCOP),
ferred to as Crew Code of Conduct (CCOC), is the Multilateral Space Medicine Board
established pursuant to: (MSMB) and the Multilateral Medical Oper-
(1) Article 11 (Crew) of the intergovern- ations Panel (MMOP). Each ISS crewmember
mental Agreement Among the Government will be informed by the Cooperating Agency
of Canada, Governments of Member States of providing him or her of the responsibilities
the European Space Agency, the Government of ISS crewmembers under the IGA, the
of Japan, the Government of the Russian MOU’s and this CCOC. Further, each ISS
Federation, and the Government of the crewmember will be educated by the Cooper-
United States of America Concerning Co- ating Agency providing him or her through
operation on the Civil International Space the crew training curriculum and normal
Station (the IGA) signed by the Partner program operations as to ISS program rules,
States on January 29, 1998; and operational directives and management poli-
(2) Article 11 (Space Station Crew) of the cies. Completion of postflight activities shall
Memoranda of Understanding between, re- not affect an ISS crewmember’s continuing
spectively, the National Aeronautics and obligations under Section V of this CCOC.
Space Administration of the United States of
America (NASA) and the Canadian Space C. Definitions
Agency (CSA), NASA and the European
For the purposes of the CCOC:
Space Agency (ESA), NASA and the Govern- (1) ‘‘Cooperating Agency’’ means NASA,
ment of Japan (GOJ), and NASA and the CSA, ESA, Rosaviakosmos (formerly RSA)
Russian Space Agency (RSA) Concerning Co- and, in the case of Japan, the Science and
operation on the Civil International Space Technology Agency of Japan (STA) and, as
Station (the MOU’s), which require, inter appropriate, the National Space Develop-
alia, that the crew Code of Conduct be devel- ment Agency of Japan (NASDA), assisting
oped by the partners. agency to STA.
B. Scope and Content (2) ‘‘Crew Surgeon’’ means a Flight Sur-
geon assigned by the MMOP to any given ex-
The partners have developed and approved pedition. He or she is the lead medical officer
this CCOC to: establish a clear chain of com- and carries primary responsibility for the
mand on-orbit; establish a clear relationship health and well-being of the entire ISS crew.
between ground and on-orbit management; (3) ‘‘Disciplinary policy’’ means the policy
and establish a management hierarchy; set developed by the MCOP to address violations
forth standards for work and activities in of the CCOC and impose disciplinary meas-
space, and, as appropriate, on the ground; es- ures.
95
§ 1214.403 14 CFR Ch. V (1–1–21 Edition)
(4) ‘‘ETOV’’ means Earth-to-Orbit Vehicle C. Use of Position
travelling between Earth and the ISS.
ISS crewmembers shall refrain from any
(5) ‘‘Flight Director’’ means the Flight Di-
use of the position of ISS crewmember that
rector in control of the ISS.
is motivated, or has the appearance of being
(6) ‘‘Flight Rules’’ means the set of rules motivated, by private gain, including finan-
used by the Cooperating Agencies to govern cial gain, for himself or herself or other per-
flight operations. sons or entities. Performance of ISS duties
(7) ‘‘ISS crewmembers’’ means any person shall not be considered to be motivated by
approved for flight to the ISS, including both private gain. Furthermore, no ISS crew-
ISS expedition crew and visiting crew, begin- member shall use the position of ISS crew-
ning upon assignment to the crew for a spe- member in any way to coerce, or give the ap-
cific and ending upon completion of the pearance of coercing, another person to pro-
postflight activities related to the mission. vide any financial benefit to himself or her-
self or other persons or entities.
II. GENERAL STANDARDS
D. Mementos and Personal Effects
A. Responsibilities of ISS Crewmembers
Each ISS crewmember may carry and store
ISS Crewmembers shall comply with the mementos, including flags, patches, insignia,
CCOC. Accordingly, during preflight, on- and similar small items of minor value, on-
orbit, and postflight activities, they shall board the ISS, for his or her private use, sub-
comply with the ISS Commander’s orders, ject to the following:
all Flight and ISS program Rules, oper- (1) mementos are permitted as a courtesy,
ational directives, and management policies, not an entitlement; as such they shall be
as applicable. These include those related to considered as ballast as opposed to a payload
safety, health, well-being, security, and or mission requirement and are subject to
other operational or management matters manifest limitations, on-orbit stowage allo-
governing all aspects of ISS elements, equip- cations, and safety considerations;
ment, payloads and facilities, and non-ISS (2) mementos may not be sold, transferred
facilities, to which they have access. All ap- for sale, used or transferred for personal
plicable rules, regulations, directives, and gain, or used or transferred for any commer-
policies shall be made accessible to ISS cial or fundraising purpose. Mementos
crewmembers through appropriate means, which, by their nature, lend themselves to
coordinated by the MCOP. exploitation by the recipients, or which, in
the opinion of the Cooperating Agency pro-
B. General Rules of Conduct
viding the ISS crewmember, engender ques-
ISS Crewmembers’ conduct shall be such tions as to good taste, will not be permitted.
as to maintain a harmonious and cohesive An ISS crewmember’s personal effects,
relationship among the ISS crewmembers such as a wristwatch, will not be considered
and an appropriate level of mutual con- mementos. Personal effects of any nature
fidence and respect through an interactive, may be permitted, subject to constraints of
participative, and relationship-oriented ap- mass/volume allowances for crew personal ef-
proach which duly takes into account the fects, approval of the ISS crewmember’s Co-
international and multicultural nature of operating Agency, and approval of the trans-
the crew and mission. porting Cooperating Agency and consider-
No ISS crewmember shall, by his or her ations of safety and good taste.
conduct, act in a manner which results in or If a Cooperating Agency carries and stores
creates the appearance of: (1) Giving undue items onboard the ISS in connection with
preferential treatment to any person or enti- separate arrangements, these items will not
ty in the performance of ISS activities; and/ be considered mementos of the ISS crew-
or (2) adversely affecting the confidence of members.
the public in the integrity of, or reflecting
unfavorably in a public forum on, any ISS III. AUTHORITY AND RESPONSIBILITIES OF THE
partner, partner state or Cooperating Agen- ISS COMMANDER, CHAIN OF COMMAND AND
cy. SUCCESSION ONORBIT; RELATIONSHIP BE-
TWEEN GROUND AND ON-ORBIT MANAGE-
ISS crewmembers shall protect and con-
MENT
serve all property to which they have access
for ISS activities. No such property shall be A. Authority and Responsibilities of the ISS
altered or removed for any purpose other Commander
than those necessary for the performance of
ISS duties. Before altering or removing any The ISS Commander, as an ISS crew-
such property, ISS crewmembers shall first member, is subject to the standards detailed
obtain authorization from the Flight Direc- elsewhere in this CCOC, in addition to the
tor, except as necessary to ensure the imme- command-specific provisions set forth below:
diate safety of ISS crewmembers or ISS ele- The ISS Commander will seek to maintain
ments, equipment, or payloads. a harmonious and cohesive relationship
96
among the ISS crewmembers and an appro- (c) Scope of Authority
priate level of mutual confidence and respect
During all phases of on-orbit activity, the
through an interactive, participative, and re-
ISS Commander, consistent with the author-
lationship-oriented approach which duly ity of the Flight Director, shall have the au-
takes into account the international and thority to use any reasonable and necessary
multicultural nature of the crew and mis- means to fulfill his or her responsibilities.
sion. This authority, which shall be exercised con-
For avoidance of doubt, nothing in this sistent with the provisions of Sections II and
Section shall affect the ability of the MCOP IV, extends to: (1) the ISS elements, equip-
to designate the national of any Partner ment, and payloads; (2) the ISS crew-
State as an ISS Commander. members; (3) activities of any kind occurring
in or on the ISS; and (4) data and personal ef-
(1) During Preflight and Postflight Activities fects in or on the ISS where necessary to
protect the safety and well-being of the ISS
The ISS Commander is the leader of the
crewmembers and the ISS elements, equip-
crew and is responsible for forming the indi-
ment, and payloads. Any matter outside the
vidual ISS crewmembers into a single, inte-
ISS Commander’s authority shall be within
grated team. During preflight activities, the the purview of the Flight Director.
ISS Commander, to the extent of his or her Issues regarding the Commander’s use of
authority, leads the ISS crewmembers such authority shall be referred to the Flight
through the training curriculum and mis- Director as soon as practicable, who will
sion-preparation activities and seeks to en- refer the matter to appropriate authorities
sure that the ISS crewmembers are ade- for further handling. Although other ISS
quately prepared for the mission, acting as crewmembers may have authority over and
the crew’s representative to the ISS pro- responsibility for certain ISS elements,
gram’s training, medical, operations, and equipment, payloads, or tasks, the ISS Com-
utilization authorities. During postflight ac- mander remains ultimately responsible, and
tivities, the ISS Commander coordinates as solely accountable, to the Flight Director for
necessary with these authorities to ensure the successful completion of the activities
that the ISS crewmembers complete the re- and the mission.
quired postflight activities.
B. Chain of Command and Succession On-orbit
(2) During On-Orbit Operations (1) The ISS Commander is the highest au-
(a) General thority among the ISS crewmembers on-
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
set forth the relationship between their re-
The ISS Commander’s main responsibil- spective authorities and the authority of the
ities are to: (1) Conduct operations in or on ISS Commander.
the ISS as directed by the Flight Director
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-
The Flight Director is responsible for di-
tion of the mission; (3) fully and accurately
recting the mission. A Flight Director will
inform the Flight Director, in a timely man- be in charge of directing real-time ISS oper-
ner, of the ISS vehicle configuration, status, ations at all time. The ISS Commander,
commanding, and other operational activi- working under the direction of the Flight Di-
ties on-board (including off-nominal or emer- rector and in accordance with the Flight
gency situations); (4) enforce procedures for Rules, is responsible for conducting on-orbit
the physical and information security of op- operations in the manner best suited to the
erations and utilization data; (5) maintain effective implementation of the mission. The
order; (6) ensure crew safety, health and ISS Commander, acting on his or her own
well-being including crew rescue and return; authority, is entitled to change the daily
and (7) take all reasonable action necessary routine of the ISS crewmembers where nec-
for the protection of the ISS elements, essary to address contingencies, perform ur-
equipment, or payloads. gent work associated with crew safety and
97
§ 1214.403 14 CFR Ch. V (1–1–21 Edition)
the protection of the ISS elements, equip- or electronic sources, shall not be used or
ment or payloads, or conduct critical flight disclosed by other ISS crewmembers for any
operations. Otherwise, the ISS Commander purpose, without the consent of the affected
should implement the mission as directed by ISS crewmember, except as required for the
the Flight Director. Specific roles and re- immediate safety of ISS crewmembers or the
sponsibilities of the ISS Commander and the protection of ISS elements, equipment, or
Flight Director are described in the Flight payloads. In particular, all personal medical
Rules. The Flight Rules outline decisions information, whether derived from medical
planned in advance of the mission and are monitoring, investigations, or medical con-
designed to minimize the amount of real-
tingency events, shall be treated as private
time discussion required during mission op-
medical information and shall be trans-
erations.
mitted in a private and secure fashion in ac-
IV. DISCIPLINARY REGULATIONS cordance with procedures to be set forth by
the MMOP. Medical data which must be han-
ISS crewmembers will be subject to the
dled in this fashion includes, for example,
disciplinary policy developed and revised as
biomedical telemetry, private medical com-
necessary by the MCOP and approved by the
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 crewmember’s 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 Agency’s 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
health, physical integrity, or safety of the
provides, consistent with the IGA and the
MOU’s. 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
crewmembers shall act in a manner con-
addition, approval or consent for any re-
sistent with the provisions of the IGA and
the MOU’s regarding protection of oper- search may be revoked at any time, includ-
ations data, utilization data, and the intel- ing after the commencement of the research,
lectual property of ISS users. They shall also by: the HRMRB, the Crew Surgeon, the
comply with applicable ISS program rules, Flight Director, or the ISS Commander, as
operational directives, and management appropriate, if the research would endanger
policies designed to further such protections. the ISS Crew Member or otherwise threaten
Personal information about ISS crew- the mission success. A decision to revoke
members, including all medical information, consent by the human subject or approval by
private family conference, or other private the other entities listed above will be final.
information, whether from verbal, written,
98
§ 1214.404 Violations. bulky, or heavy items will not be ap-

This subpart is a regulation within proved for flight.
the meaning of 18 U.S.C. 799, and who- (b) [Reserved]
ever willfully violates, attempts to vio-
§ 1214.603 Official Flight Kit.
late, or conspires to violate any provi-
sion of this subpart or any order or di- (a) Purpose. The Official Flight Kit
rection issued under this subpart may (OFK) on a particular mission allows
be cited for violating title 18 of the NASA, and other domestic and friendly
U.S. Code and could be fined or impris- foreign countries’ organizations with
oned not more than 1 year, or both. NASA approval, to utilize mementos as
awards and commendations or preserve
Subpart 1214.5 [Reserved] them in museums or archives. No per-
sonal items will be carried in the OFK.
Subpart 1214.6—Mementos (b) Approval of contents. At least 120
Aboard NASA Missions days prior to the scheduled launch of a
particular mission, an authorized rep-
AUTHORITY: Pub. L. 111–314, sec. 3, 124 Stat.
resentative of each organization desir-
3328 (51 U.S.C. 20101, et seq.). ing mementos to be carried on a flight
in the OFK must submit a letter or re-
otherwise noted.
quest describing the item(s) to be flown
and the intended purpose or distribu-
§ 1214.600 Scope. tion. Letters should be directed to the
This subpart establishes policy and Associate Administrator for Human
procedures for carrying mementos on Exploration and Operations, NASA
the NASA missions, with the exception Headquarters, Washington DC 20546.
of mementos and personal effects car-
§ 1214.604 Personal Preference Kit.
ried onboard the International Space
Station (ISS). (a) Purpose. The Personal Preference
Kit (PPK) enables persons on a par-
§ 1214.601 Definitions. ticular mission to carry personal items
Mementos. Flags, patches, insignia, for use as mementos. Only those indi-
medallions, minor graphics, and simi- viduals actually accompanying such
lar items of little commercial value, flights may request authorization to
especially suited for display by the in- carry personal items as mementos.
dividuals or groups to whom they have (b) Approval of content. At least 60
been presented. days prior to the scheduled launch of a
particular mission, each person as-
§ 1214.602 Policy.
signed to the flight who desires to
Premise. Mementos are welcome carry items in a PPK must submit a
aboard NASA missions. However, they proposed list of items and their recipi-
are flown as a courtesy—not as an enti- ents to the Associate Director, NASA
tlement. All mementos must be ap- Johnson Space Center. The Associate
proved by the Associate Administrator Director will review the proposed list
for Human Exploration and Operations of items and, if approved, submit the
and are stowed only in an Official crew members’ PPK lists through su-
Flight Kit (OFK) or Personal Pref-
pervisory channels to the Associate
erence Kit (PPK).
Administrator for Human Exploration
(a) Economic gain. Items carried in an
and Operations for approval. A signed
OFK or a PPK will not be sold, trans-
ferred for sale, used or transferred for copy of approval from the Associate
personal gain, or used or transferred Administrator for Human Exploration
for any commercial or fund-raising and Operations will be returned to the
purpose. Items such as philatelic mate- Director, NASA Johnson Space Center,
rials and coins that, by their nature, for distribution.
lend themselves to exploitation by the
recipients, or create problems with re-
spect to good taste; or that are large,
99
§ 1214.605–1214.606 14 CFR Ch. V (1–1–21 Edition)
§ 1214.605–1214.606 [Reserved] gress, the NASA Commander has the

authority to enforce order and dis-
§ 1214.607 Media and public inquiries. cipline among all on-board personnel.
Information on mementos flown on a During emergency situations prior to
particular mission will be routinely re- liftoff, the NASA Commander has the
leased by the Associate Administrator authority to take whatever action in
of the Office of Communications to the his/her judgment is necessary for the
media and to the public upon their re- protection or security, safety, and
quest, but only after they have been well-being of all personnel on board.
approved for flight.
§ 1214.701 Definitions.
§ 1214.608 [Reserved]
(a) The flight crew consists of the
§ 1214.609 Loss or Theft. NASA Commander, astronaut crew
(a) Liability. Neither NASA nor the members, and [any] other persons
U.S. Government will be liable for the aboard the spacecraft.
loss or theft of, or damage to, items (b) A mission is the period including
carried in OFKs or PPKs. the flight-phases from launch to land-
(b) Report of loss or theft. Any person ing on the surface of the Earth—a sin-
who learns that an item contained in gle round trip. (In the case of a forced
an OFK or a PPK is missing shall im- landing, the NASA Commander’s au-
mediately report the loss to the John- thority continues until a competent
son Space Center Security Office and authority takes over the responsibility
the NASA Inspector General. for the persons and property aboard).
(c) The flight-phases consist of
§ 1214.610 Violations. launch, in orbit/transit, extra-
Any items carried in violation of the terrestrial mission, deorbit, entry, and
requirements of this subpart shall be- landing, and post-landing back on
come property of the U.S. Government, Earth.
subject to applicable Federal laws and (d) A payload is a specific com-
regulations, and the violator may be plement of instruments, space equip-
subject to disciplinary action, includ- ment, and support hardware/software
ing being permanently prohibited from carried into space to accomplish a sci-
use of, or if an individual, from flying
entific mission or discrete activity.
aboard a NASA mission.
§ 1214.702 Authority and responsibility
Subpart 1214.7—The Authority of of the NASA Commander.
the NASA Commander (a) During all flight phases, the
NASA Commander shall have the abso-
AUTHORITY: Pub. L. 111–314, sec. 3, 124 Stat. lute authority to take whatever action
3328 (51 U.S.C. 20101, et seq.).
is in his/her discretion necessary to:
SOURCE: 81 FR 43041, July 1, 2016, unless (1) Enhance order and discipline.
otherwise noted. (2) Provide for the safety and well-
§ 1214.700 Scope. being of all personnel on board.
(3) Provide for the protection of the
This subpart establishes the author- spacecraft and payloads.
ity of the NASA Commander of a
The NASA Commander shall have au-
NASA mission, excluding missions re-
thority, throughout the mission, to use
lated to the ISS and activities licensed
under Title 51 U.S.C. Chapter 509, to any reasonable and necessary means,
enforce order and discipline during a including the use of physical force, to
mission and to take whatever action in achieve this end.
his/her judgment is reasonable and nec- (b) The authority of the NASA Com-
essary for the protection, safety, and mander extends to any and all per-
well-being of all personnel and on- sonnel on board the spacecraft includ-
board equipment, including the space- ing Federal officers and employees and
craft and payloads. During the final all other persons whether or not they
launch countdown, following crew in- are U.S. nationals.
100
(c) The authority of the NASA Com- Subparts 1214.8–1214.10

mander extends to all spaceflight ele- [Reserved]
ments, payloads, and activities origi-
nating with or defined to be a part of
the NASA mission.
Subpart 1214.11—NASA Astronaut
(d) The NASA Commander may, when
Candidate Recruitment and
he/she deems such action to be nec- Selection Program
essary for the safety of the spacecraft
and personnel on board, subject any of SOURCE: 54 FR 37940, Sept. 14, 1989, unless
the personnel on board to such re- otherwise noted.
straint as the circumstances require § 1214.1100 Scope.
until such time as delivery of such in-
dividual or individuals to the proper It is NASA policy to maintain an in-
authorities is possible. tegrated Astronaut Corps. This subpart
1214.11 sets forth NASA procedures and
§ 1214.703 Chain of command. assigns responsibilities for recruitment
and selection of astronaut candidates.
(a) The NASA Commander is a trained It applies to all pilot and mission spe-
NASA astronaut who has been des- cialist astronaut candidate selection
ignated to serve as commander on a activities conducted by the National
NASA mission and who shall have the Aeronautics and Space Administration.
authority described in § 1214.702 of this
part. Under normal flight conditions § 1214.1101 Announcement.
(other than emergencies or when other- (a) Astronaut candidate opportuni-
wise designated) the NASA Commander ties Will be announced nationwide and
is responsible to the Mission Flight Di- publicized periodically unless specifi-
rector. cally canceled by NASA.
(b) Before each flight, the other (b) Civilian applicants may apply at
flight crewmembers will be designated any time.
in the order in which they will assume (c) Military personnel on active duty
the authority of the NASA Commander must apply through and be nominated
under this subpart in the event that by the military service with which
the NASA Commander is not able to they are affiliated. Military nominees
carry out his/her duties. will not be part of the continuing pool
(c) The determinations, if any, that a of applicants. The military services
crewmember in the chain of command will convene their internal selection
is not able to carry out his or her com- boards and provide nominees to NASA.
mand duties and is, therefore, to be re- The military nominees will be evalu-
lieved of command, and that another ated by NASA and the military serv-
crewmember in the chain of command ices will be notified promptly of those
is to succeed to the authority of the nominees who are finalists.
NASA Commander, will be made by the (d) The Assistant Administrator for
NASA Administrator or his/her des- Equal Opportunity Programs, NASA
ignee. Headquarters, will provide assistance
in the recruiting process.
§ 1214.704 Violations.
[54 FR 37940, Sept. 14, 1989, as amended at 68
(a) All personnel on board the NASA FR 19948, Apr. 23, 2003]
mission are subject to the authority of
the NASA Commander and shall con- § 1214.1102 Evaluation of applications.
form to his/her orders and direction as (a) All incoming applications will be
authorized by this subpart. reviewed to determine whether or not
(b) This subpart is a regulation with- applicants meet basic qualifications.
in the meaning of 18 U.S.C. 799, and Those not meeting the basic qualifica-
whoever willfully violates, attempts to tion requirements will be so notified
violate, or conspires to violate any pro- and will not be eligible for further con-
vision of this subpart or any order or sideration. Those meeting the basic
direction issued under this subpart qualification requirements will have
shall be subject to fines and imprison- their applications retained for review
ment, as specified by law. by a designated rating panel.
101
§ 1214.1103 14 CFR Ch. V (1–1–21 Edition)
(b) A rating panel composed of dis- (b) Efforts will be made to assure
cipline experts will review and rate that minorities and females are in-
qualified applicants as ‘‘Qualified’’ or cluded on this board.
‘‘Highly Qualified.’’ (c) The ‘‘Highly Qualified’’ applicants
(c) Efforts will be made to ensure who are determined to be the ‘‘Best
that minorities and females are in- Qualified’’ will be invited to the John-
cluded among these discipline experts son Space Center for an interview, ori-
on the rating panel. entation, and detailed medical evalua-
(d) The criteria for each level will be tion.
developed and will serve as the basis (d) Background investigations will
for the ratings. The evaluation will be normally be initiated on those appli-
based on the quality of the individual’s cants rated ‘‘Best Qualified.’’
academic background and experience [54 FR 37940, Sept. 14, 1989, as amended at 68
and the extent to which the individ- FR 19948, Apr. 23, 2003]
ual’s academic achievements, experi-
ence, and special qualifications relate § 1214.1105 Final ranking.
to the astronaut candidate position. Final rankings will be based on a
Reference information on those rated combination of the selection board’s
‘‘Highly Qualified’’ will normally be initial evaluations and the results of
obtained. This evaluation process will the interview process. Veteran’s pref-
be monitored to ensure adherence to erence will be included in this final
applicable policy, laws, and regula- ranking in accordance with applicable
tions. regulations.
(e) Those rated ‘‘Highly Qualified’’ § 1214.1106 Selection of astronaut can-
may be required to obtain a Class I or didates.
Class II physical. Only medically quali-
fied applicants will be referred for final The selection board will recommend
evaluation and possible interview and to the JSC Director its selection of
candidates from among those finalists
selection. Those who are not medically
who are medically qualified. The num-
qualified will be so informed and will
ber and names of candidates selected to
not be eligible for further consider-
be added to the corps will be approved,
ation.
as required, by JSC/ NASA manage-
[54 FR 37940, Sept. 14, 1989, as amended at 68 ment and the Associate Administrator
FR 19948, Apr. 23, 2003] for Space Flight, prior to notifying the
individuals or the public.
§ 1214.1103 Application cutoff date.
§ 1214.1107 Notification.
(a) The JSC Director, or designee, is
responsible for identifying the need for Selectees and the appropriate mili-
additional astronaut candidates and for tary services will be notified and the
obtaining necessary approval to make public informed. All unsuccessful
selections. qualified applicants will be notified of
(b) Once such approval has been ob- nonselection and given the opportunity
tained, a cutoff date for the acceptance to update their applications and indi-
of applications will be established. Ap- cate their desire to receive consider-
plications received after the date of the ation for future selections.
request will be maintained and proc-
essed for the next selection. Subparts 1214.12–1214.17
[54 FR 37940, Sept. 14, 1989, as amended at 68
[Reserved]
FR 19948, Apr. 23, 2003]
PART 1215—TRACKING AND DATA
§ 1214.1104 Evaluation and ranking of RELAY SATELLITE SYSTEM (TDRSS)
highly qualified candidates.
(a) A selection board consisting of Subpart 1215.1—Use and Reimbursement
discipline experts, and such other per- Policy for Non-U.S. Government Users
sons as appropriate, will further evalu- Sec.
ate and rank the ‘‘Highly Qualified’’ 1215.100 General.
applicants. 1215.101 Scope.
102
1215.102 Definitions. § 1215.101 Scope.
1215.103 Services.
1215.104 Apportionment and assignment of This subpart sets forth the policy
services. governing TDRSS services provided to
1215.105 Delivery of user data. non-U.S. Government users and the re-
1215.106 User command and tracking data. imbursement for rendering such serv-
1215.107 User data security and frequency ices. Cooperative missions are not
authorizations. under the purview of this subpart. The
1215.108 Defining user service requirements. arrangements for TDRSS services for
1215.109 Scheduling user service. cooperative missions will be covered in
1215.110 User cancellation of all services. an agreement, as a consequence of ne-
1215.111 User postponement of service. gotiations between NASA and the
1215.112 User/NASA contractual arrange- other concerned party. Any agreement
ment. which includes provision for any
1215.113 User charges. TDRSS service will require signatory
1215.114 Service rates. concurrence by the Deputy Associate
1215.115 Payment and billing.
Administrator for SCaN prior to dedi-
APPENDIX A TO PART 1215—ESTIMATED SERV- cating SCaN resources for support of a
ICE RATES IN 1997 DOLLARS FOR TDRSS
cooperative mission.
STANDARD SERVICES (BASED ON NASA ES-
CALATION ESTIMATE) [77 FR 6952, Feb. 10, 2012]
APPENDIX B TO PART 1215—FACTORS AFFECT-
ING STANDARD CHARGES § 1215.102 Definitions.
APPENDIX C TO PART 1215—TYPICAL USER AC- (a) User. Any non-U.S. Government
TIVITY TIMELINE
representative or entity that enters
AUTHORITY: Sec. 203, Pub. L. 85–568, 72 Stat. into an agreement with NASA to use
429, as amended; 42 U.S.C. 2473. TDRSS services.
SOURCE: 48 FR 9845, Mar. 9, 1983, unless oth- (b) TDRSS. TDRSS, including Track-
erwise noted. ing and Data Relay Satellites (TDRS),
WSC, GRGT, and the necessary TDRSS
operational areas, interface devices,
Subpart 1215.1—Use and Reim- and NASA communication circuits
bursement Policy for Non-U.S. that unify the above into a functioning
Government Users system. It specifically excludes the
user ground system/TDRSS interface.
§ 1215.100 General. (c) Bit stream. The electronic signals
TDRSS represents a major invest- acquired by TDRSS from the user craft
ment by the U.S. Government with the or the user-generated input commands
primary goal of providing improved for transmission to the user craft.
tracking and data acquisition services (d) Scheduling service period. One
to spacecraft in low-Earth orbit or to scheduled contact utilizing a single
mobile terrestrial users such as air- TDRS, whereby the user, by requesting
craft or balloons. It is the objective of service, is allotted a block of time for
NASA to operate as efficiently as pos- operations between the user satellite
sible with TDRSS, is to the mutual and TDRSS.
benefit of all users. Such user consider- [77 FR 6952, Feb. 10, 2012]
ation will permit NASA and non-NASA
service to be delivered without compro- § 1215.103 Services.
mising the mission objectives of any
(a) Standard services. These are serv-
individual user. The reimbursement
ices which TDRSS is capable of pro-
policy is designed to comply with the
viding to low-Earth orbital user space-
Office of Management and Budget Cir-
craft or other terrestrial users. Data
cular A–25 on User Charges, dated Sep-
are delivered to WSC or GRGT. A de-
tember 23, 1959, as updated, which re-
tailed description of services is pro-
quires that a reasonable charge should
vided in the GSFC Space Network
be made to each identifiable recipient
Users’ Guide, 450–SNUG. Contact the
for a measurable unit or amount of
Chief, Networks Integration Manage-
Government service or property from
ment Office, at the address in Section
which a special benefit is derived.
1215.108(d) to obtain a copy of the
[77 FR 6952, Feb. 10, 2012] SNUG.
103
§ 1215.104 14 CFR Ch. V (1–1–21 Edition)
(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
(1) Prelaunch support planning, anal- risk of damages or obtain insurance to
ysis, and documentation. protect against any risk.
(2) Compatibility testing.
(3) Prelaunch support for data-flow [77 FR 6952, Feb. 10, 2012]
testing and related activities.
(4) User services scheduling. § 1215.106 User command and tracking
(c) Mission-unique services. Other data.
tracking and data services desired by (a) User command data shall enter
the user that are beyond the standard TDRSS via the NISN interface at WSC
and required support services defined or GRGT.
above. The associated charges for these (b) NASA is required to have knowl-
services will be identified and assessed edge of the user satellite orbital ele-
on a case-by-case basis. ments to sufficient accuracy to permit
[77 FR 6952, Feb. 10, 2012] TDRSS to establish and maintain ac-
quisition. This can be accomplished in
§ 1215.104 Apportionment and assign- two ways:
ment of services. (1) The user can provide the orbital
No user may apportion, assign, or elements in a NASA format to meet
otherwise convey to any third party its TDRSS operational requirements.
TDRSS service. Each user may obtain (2) The user shall ensure that a suffi-
service only through contractual cient quantity of tracking data is re-
agreement with the Associate Adminis- ceived to permit the determination of
trator for Space Operations. the user satellite orbital elements. The
[56 FR 28048, June 19, 1991] Flight Dynamics Facility (FDF) at
GSFC will provide the orbit determina-
§ 1215.105 Delivery of user data. tion service to these users. The charges
(a) As a standard service, NASA will for this service will be negotiated be-
provide to the user its data from tween the FDF and the user and will be
TDRSS in the form of one or more dig- dependent on user requirements.
ital or analog bit streams synchronized [77 FR 6952, Feb. 10, 2012]
to associated clock streams at WSC or
GRGT. § 1215.107 User data security and fre-
(b) User data-handling requirements quency authorizations.
beyond WSC or GRGT interface will be
(a) User data security is not provided
provided as a standard service to the
user, to the extent that the require- by the TDRSS. Responsibility for data
ments do not exceed NASA’s planned security resides solely with the user.
standard communications system. Any Users desiring data safeguards shall
additional data transport or handling provide and operate, external to the
requirements exceeding NASA’s capa- TDRSS, the necessary equipment or
bility will be dealt with as a mission- systems to accomplish data security.
unique service. Any such user provisions must be com-
(c) No storage of the user data is pro- patible with data flow through TDRSS
vided in the standard service. NASA and not interfere with other users.
will provide short-term temporary re- (b) All radio frequency authoriza-
cording of data at WSC in the event of tions associated with operations pursu-
a NASA Integrated Services Network ant to this directive are the responsi-
(NISN) link outage. bility of the user. If appropriate, au-
(d) NASA will provide TDRSS serv- thority(ies) must be obtained from the
ices on a ‘‘reasonable efforts’’ basis, Federal Communications Commission
and, accordingly, will not be liable for (FCC) for operations consistent with
damages of any kind to the user or U.S. footnote 303 of the National Table
104
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 re- ational 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.
straints, which are detailed in the (b) Schedule conflict will be resolved
SNUG, as early as possible. This action in general by application of principles
allows the user to evaluate the trade- of priority to user service require-
offs available among various TDRSS ments. Services shall be provided ei-
services, spacecraft design, operations ther as normally scheduled service or
planning, and other significant mission as emergency service. Priorities will be
parameters. It is recommended that po- different for emergency service than
tential users contact the NIMO as for normal services.
early as possible for assistance in per- (1) Normally scheduled service is
forming the trade studies. When these service which is planned and ordered
evaluations have been completed, and under normal operational conditions
the user desires to use TDRSS, the user and is subject to schedule conflict reso-
should initiate a request for TDRSS lution under normal service priorities.
service. Requests for normally scheduled serv-
(a) Initial requests for TDRSS service ice must be received by the schedulers
from non-U.S. Government users shall at the GSFC WSC Data Services Man-
be addressed to SCaN at NASA Head- agement Center (DSMC) no later than
quarters, as follows: Deputy Associate 21 days prior to the requested support
Administrator: Space Communications time.
and Navigation Division, National Aer- (2) At times, emergency service re-
onautics and Space Administration, quirements will override normal sched-
Washington, DC 20546. ule priority. Under emergency service
conditions, disruptions to scheduled
(b) Upon review and acceptance of
service will occur.
the service request, preliminary anal-
(3) The DSMC reserves the sole right
yses shall be performed to determine
to schedule, reschedule, or cancel
the feasibility of meeting the proposed
TDRSS service.
requirements.
(4) NASA schedulers will exercise
(c) If the request is determined to be
judgment and endeavor to see that
feasible, the user and SCaN shall nego-
lower-priority users are not excluded
tiate an agreement for provision of the
from a substantial portion of their con-
requested services. Acceptance of user
tracted-for service due to the require-
requests for TDRSS service is the sole ments of higher-priority users.
prerogative of NASA.
(c) General user service require-
(d) Upon approval of the agreement ments, which will be used for prelimi-
by both parties, GSFC will be assigned nary planning and mission modeling,
to produce the detailed requirements, should include all pertinent informa-
plans, and documentation necessary for tion necessary for NASA to determine
support of the mission. Changes to user if the proposed service is achievable.
requirements shall be made as far in Contact NIMO to discuss usage and re-
advance as possible and shall be sub- quirements.
mitted, in writing, to both SCaN at (d) Such user service requirements
NASA Headquarters (see Section 108, information typically includes:
paragraph (a) for mailing address) and (1) Date of service initiation.
GSFC, as follows: Chief: Networks Inte-
(2) The type of TDRSS services de-
gration Management Office, Code 450.1,
sired (e.g., multiple access, tracking,
NASA Goddard Space Flight Center, M/
etc.), and the frequency and duration of
S 450.1, 8800 Greenbelt Road Greenbelt,
each service.
MD 20771.
(3) Orbit or trajectory parameters
[77 FR 6953, Feb. 10, 2012] and tracking data requirements.
105
§ 1215.110 14 CFR Ch. V (1–1–21 Edition)
(4) Spacecraft events significant to and mission-unique services. Charges

tracking, telemetry or command re- will be based on the service rates appli-
quirements. cable at the time of service.
(5) Communications systems spe- (b) For standard services, the user
cifics, including location of antennas shall be charged only for services ren-
and other related information dealing dered, except that if a total cancella-
with user tracking, command, and data tion of service occurs, the user shall be
systems. charged in accordance with the provi-
(6) Special test requirements, data sions of § 1215.110.
flows, and simulations, etc. (1) Standard services which are
(7) Identification of terrestrial data scheduled, and then cancelled by the
transport requirements, interface user less than 72 hours prior to the
points, and delivery locations, includ- start of that scheduled service period,
ing latency and line loss recovery. will be charged as if the scheduled
(e) To provide for effective planning, service actually occurred.
reference Appendix A, Typical New (2) The time scheduled by the user
User Activity Timeline. project shall include the slew time, set
[77 FR 6953, Feb. 10, 2012] up and/or configuration time, TDRSS
contact time, and all other conditions
§ 1215.110 User cancellation of all serv- for which TDRSS services were allo-
ices. cated to the user.
The user has the right to terminate (3) Charges will be accumulated by
its service contract with NASA at any the minute, based on the computerized
time. A user who exercises this right schedule/configuration messages which
after contracting for service shall pay physically set up TDRSS equipment at
the charge agreed upon for services the start of a support period and free
previously rendered, and the cost in- the equipment for other users at the
curred by the Government for support end of a support period.
of pre-launch activities, services, and (c) The user shall reimburse NASA
mission documentation not included in for the costs of any mission-unique
that charge. The user will remain re- services provided by NASA.
sponsible for the charges for any serv-
ices actually provided. [77 FR 6953, Feb. 10, 2012]
§ 1215.111 User postponement of serv- § 1215.114 Service rates.

ice. (a) Rates for TDRSS services will be
The user may postpone the initiation established by the DAA for SCaN.
of contracted service (e.g., user launch (b) Per-minute rates will reflect
date) by delivery of written notifica- TDRSS total return on investment and
tion to NASA Headquarters, Code OX. operational and maintenance costs.
Any delay in the contracted start of (c) The rate per minute by service
service date may affect the quantity of and type of user is available on the fol-
service to be provided due to commit- lowing Web site: https://
ments to other support requirements. www.spacecomm.nasa.gov/spacecomm/pro-
Therefore, the validity of previous esti- grams/Spacelnetwork.cfm.
mates of predicted support availability (d) The per-minute charge for TDRSS
may no longer be applicable. service is computed by multiplying the
[56 FR 28049, June 19, 1991] charge per minute for the appropriate
service by the number of minutes uti-
§ 1215.112 User/NASA contractual ar- lized.
rangement.
[77 FR 6953, Feb. 10, 2012]
No service shall be provided without
an approved agreement. § 1215.115 Payment and billing.
[77 FR 6953, Feb. 10, 2012] (a) The procedure for billing and pay-
ment of standard TDRSS services is as
§ 1215.113 User charges. follows:
(a) The user shall reimburse NASA (1) NASA shall be reimbursed by cus-
the sum of the charges for standard tomers in connection with the use of
106
National Aeronautics and Space Admin. Pt. 1215, App. B
Government property and services pro- ties associated with the effort. (Ref.
vided under an approved reimbursable § 1215.115(a)(1)).
agreement. Advance payment for serv- Time: 18 months before launch (Ref.
ices is required. Advance payments § 1215.109(c).
shall be scheduled to keep pace with Activity: After full funding has been re-
the rate at which NASA anticipates in- ceived and distributed to the executing
NASA entities, submit general user require-
curring costs. NASA will provide a Cus-
ments to permit preliminary planning. Con-
tomer Budget/Estimate (CBE) for serv-
tact will occur to facilitate the integration
ices rendered nominally 60–90 days in process for access to TDRSS. If appropriate,
advance, or as otherwise agreed, of the initiate action with the Federal Communica-
first anticipated property use or re- tions Commission for license to commu-
quired service date for each mission. nicate with TDRSS (Ref. § 1215.107(b)).
The full cost of the mission shall be Time: 12 months before launch (earlier if
paid by the customer not later than 30 possible).
days prior to the first anticipated prop- Activity: Provide detailed requirements for
erty use or required service date. technical definition and development of
(2) In some cases, an advance partial operational and interface control documents.
payment will be required six—nine (Ref. § 1215.109(d)).
months prior to the first anticipated Time: 3 weeks prior to a Scheduled Support
property use or required service date in Period (SSP).
order for advance planning work and/or Activity: Submit scheduling request to
travel to take place. The amount of NASA covering a weekly period. Receive
schedule from NASA based on principles of
this partial payment and its receipt
priority (Ref. § 1215.109(b)). User confirmation
shall be negotiated on an as-needed
of the schedule is required.
basis. Adjustments to the amounts pre- Time: Up to 72 hours prior to an SSP.
paid will be made to the succeeding bil- Activity: Can cancel an SSP without charge
lings as the actual services are ren- (Ref. § 1215.113(b)(1)).
dered. Time: Up to 45 minutes prior to an SPP.
(3) If the customer fails to make pay- Activity: Can schedule an SSP if a time slot
ment by the payment due date, NASA is available without impacting another user.
may terminate the agreement and any Time: Up to 10 minutes prior to an SSP.
subagreements for breach of agreement Activity: Can schedule an SSP utilizing
after notice to the customer is given of TDRSS unused time (TUT).
this breach and failure to cure such
[77 FR 6954, Feb. 10, 2012]
breach within a time period established
by NASA. APPENDIX B TO PART 1215—FACTORS
(b) Late payments by the user will AFFECTING STANDARD CHARGES
require the user to pay a late payment
charge. Charges for services shall be determined by
multiplying the factors below by the base
[77 FR 6954, Feb. 10, 2012]
rates for standard services set forth in ap-
pendix A.
Emer-
Time or gency
APPENDIX A TO PART 1215—ESTIMATED Flexi- position service,
ble con-
SERVICE RATES IN 1997 DOLLARS FOR strained disruptive
updates
TDRSS STANDARD SERVICES (BASED
ON NASA ESCALATION ESTIMATE) Single access service .......... .5 1 2
Multiple access forward
Time: Project conceptualization (at least (command) service .......... .67 1 2
two years before launch; Ref. § 1215.108(a)).
Activity: Submit request for access to
TDRSS. Upon preliminary acceptance of the Emer-
Normally gency
service requirements by NASA Headquarters, sched- service,
uled sup-
communications for the reimbursable devel- port disruptive
opment of a Space Act Agreement (SAA) will updates
begin. Prior to finalization of the Memo- Multiple access return (telemetry)
randum of Agreement (MOA), an estimate service ............................................ 1 2
for the services will be issued. After SAA sig-
nature, full funding of the effort must be re-
ceived prior to NASA initiating any activi-
107
Pt. 1215, App. C 14 CFR Ch. V (1–1–21 Edition)
APPENDIX C TO PART 1215—TYPICAL 1216.305 Actions requiring environmental

USER ACTIVITY TIMELINE assessments.
1216.306 Actions normally requiring an EIS.
Time (approximate) Activity 1216.307 Programmatic EAs, EISs, and
Project Request NASA Headquarters perform tiering.
conceptualization study to determine availability of 1216.308 Supplemental EAs and EISs.
(At least 3 years TDRSS. If accepted as a user, begin 1216.309 Mitigation and monitoring.
before launch; contractual negotiation by submis- 1216.310 Classified actions.
Ref. sion of $25,000 non-refundable
§ 1215.108(a)). charge, and place into mission 1216.311 Emergency responses.
model. APPENDIX A TO SUBPART 1216.3 OF PART 1216—
3 years before Submit general user requirements to ACRONYMS AND DEFINITIONS
launch (Ref. permit preliminary planning. Begin
§ 1215.109(c).. payment for pre-mission activities
18 months before
(Ref. § 1215.115(b)(5)).
Provide detailed requirements for tech-
Subpart 1216.1—Policy on
launch (earlier if nical definition and development of Environmental Quality and Control
interfacing is ex- operational documents and ICD’s.
pected).. (Ref. § 1215.109(e)). If appropriate,
initiate action with the Federal Com- AUTHORITY: The National Aeronautics and
munications Commission for license Space Act of 1958, as amended (42 U.S.C. 2451
to communicate with TDRSS at least et seq.); the National Environmental Policy
18 months prior to launch (Ref. Act of 1969 (NEPA), as amended (42 U.S.C.
§ 1215.107(b)).
3 weeks prior to a Submit scheduling request to GSFC 4321 et seq.); the Environmental Quality Im-
scheduled sup- covering a weekly period. Receive provement Act of 1970, as amended (42 U.S.C.
port period (SSP). schedule from GSFC based on prin- 4371 et seq.); sec. 309 the Clean Air Act, as
2 weeks prior to ciples of priority (Ref. amended (42 U.S.C. 7609); E.O. 11514 (Mar. 5,
an SSP. § 1215.109(b)(2)). Acknowledgement
1970, as amended by E.O. 11991, May 24, 1977);
to GSFC required.
Up to 12 hours prior Can cancel an SSP without charge the Council on Environmental Quality NEPA
to an SSP.. (Ref. § 1215.113(a)(1)). Regulations (40 CFR part 1500–1508); and E.O.
Up to 45 minutes Can schedule an SSP if a time slot is 12114, Jan. 4, 1979 (44 FR 1957).
prior to an SPP.. available without impacting another
user. SOURCE: 44 FR 44485, July 30, 1979, unless
Between SSP Schedule requests will be charged at otherwise noted.
minus 45 minutes the disruptive update rate (Ref.
and the SSP.. § 1215.109(b)(5)).
Real-Time. .............. Emergency service requests will be re-
§ 1216.100 Scope.
sponded to per the priority system This subpart sets forth NASA policy
(Ref. § 1215.109(b)(3)) and assessed
the emergency service rate. on environmental quality and control
and the responsibilities of NASA offi-
[56 FR 28049, June 19, 1991] cials in carrying out these policies.
§ 1216.101 Applicability.
PART 1216—ENVIRONMENTAL
QUALITY This subpart is applicable to NASA
Headquarters and field installations.
Subpart 1216.1—Policy on Environmental
§ 1216.102 Policy.
Quality and Control
NASA policy is to:
Sec.
(a) Use all practicable means, con-
1216.100 Scope.
1216.101 Applicability. sistent with NASA’s statutory author-
1216.102 Policy. ity, available resources, and the na-
1216.103 Responsibilities of NASA officials. tional policy, to protect and enhance
the quality of the environment;
Subpart 1216.2 [Reserved] (b) Provide for proper attention to
Subpart 1216.3—Procedures for Imple- and ensure that environmental amen-
menting the National Environmental ities and values are given appropriate
Policy Act (NEPA) consideration in all NASA actions, in-
cluding those performed under con-
1216.300 Scope. tract, grant, lease, or permit;
1216.302 Responsibilities.
(c) Recognize the worldwide and long-
1216.303 NEPA process in NASA planning range character of environmental con-
and decision making. cerns and, when consistent with the
1216.304 Categorical exclusions. foreign policy of the United States and
108
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
(e) Pursue research and development, proper procedures to ensure that nec-
within the scope of NASA’s authority essary actions are taken to meet the
or in response to authorized agencies, requirements of applicable laws and
for application of technologies useful regulations;
in the protection and enhancement of (2) Coordinating environmental qual-
environmental quality; ity-related activities under their cog-
(f) Initiate and utilize ecological and nizance with the Associate Adminis-
other environmental information in trator for Management; and
the planning and development of re- (3) Supporting and assisting the As-
source-oriented projects; and sociate Administrator for Management
(g) Invite cooperation, where appro- on request.
priate, from Federal, State, local, and
(c) Officials-in-Charge of Head-
regional authorities and the public in
quarters Offices are additionally re-
NASA planning and decisionmaking
sponsible for:
processes.
(1) Giving high priority, in the pur-
§ 1216.103 Responsibilities of NASA of- suit of program objectives, to the iden-
ficials. tification, analysis, and proposal of re-
(a) The Associate Administrator for search and development which, if con-
Management or designee shall: ducted by NASA or other agencies,
(1) Coordinate the formulation and may contribute to the achievement of
revision of NASA policies and positions beneficial environmental objectives;
on matters pertaining to environ- and
mental protection and enhancement; (2) In coordination with the Asso-
(2) Represent NASA in working with ciate Administrator for Management,
other governmental agencies and inter- making available to other parties, both
agency organizations to formulate, re- governmental and nongovernmental,
vise, and achieve uniform under- advice and information useful in pro-
standing and application of govern- tecting and enhancing the quality of
mentwide policies relating to the envi- the environment.
ronment; (d) NASA Field Installation Directors
(3) Develop and ensure the implemen- are additionally responsible for:
tation of agencywide standards, proce- (1) Implementing the NASA policies,
dures, and working relationships for standards and procedures for the pro-
protection and enhancement of envi- tection and enhancement of environ-
ronmental quality and compliance with mental quality and supplementing
applicable laws and regulations; them as appropriate in local cir-
(4) Develop, as an integral part of cumstances;
NASA’s basic decision processes, proce- (2) Specifically assigning responsibil-
dures to ensure that environmental ities for environmental activities
factors are properly considered in all under the installation’s cognizance to
proposals and decisions; appropriate subordinates, while pro-
(5) Establish and maintain working viding for the coordination of all such
relationships with the Council on Envi- activities; and
ronmental Quality, Environmental (3) Establishing and maintaining
Protection Agency, and other national, working relationships with national,
109
§ 1216.300 14 CFR Ch. V (1–1–21 Edition)
state, regional and governmental agen- gration of NEPA into the Agency’s
cies responsible for environmental reg- planning and decision making. The
ulations in localities in which the field SEO, with the assistance of the Office
installations conduct their activities. of the General Counsel (OGC), is re-
sponsible for developing NASA NEPA
FR 9760, Mar. 25, 1988] regulations and maintaining up-to-date
Agency-wide NEPA guidance that fully
integrates NEPA analysis into Agency
Subpart 1216.2 [Reserved] planning and decision-making proc-
esses. The SEO shall monitor this proc-
Subpart 1216.3—Procedures for ess to ensure that these regulations
Implementing the National and the associated Agency guidance
Environmental Policy Act are achieving their purposes. In addi-
(NEPA) tion, the NASA SEO is responsible for
coordinating with other Federal agen-
AUTHORITY: The National Aeronautics and cies and the CEQ and consolidating and
Space Act of 1958, as amended (51 U.S.C. 20101 transmitting NASA’s comments on
et seq.); The National Environmental Policy EISs and other NEPA documentation
Act of 1969, as amended (42 U.S.C. 4321 et prepared by other Federal agencies:
seq.); the Council on Environmental Quality (1) The NASA Headquarters/Environ-
(CEQ) Regulations for Implementing the mental Management Division (HQ/
Procedural Provisions of the National Envi- EMD) is delegated the SEO’s overall re-
ronmental Policy Act (40 CFR parts 1500–
sponsibility of implementing NEPA
1508).
functions and guiding NASA’s integra-
SOURCE: 77 FR 3103, Jan. 23, 2012, unless tion of NEPA into the Agency’s plan-
otherwise noted. ning and decision making for all NASA
activities. The HQ/EMD provides advice
§ 1216.300 Scope.
and consultation to all NASA entities
(a) This subpart implements NEPA, in implementing their assigned respon-
setting forth NASA’s policies and pro- sibilities under NEPA. Interested per-
cedures for the early integration of en- sons can obtain information on the sta-
vironmental considerations into plan- tus of EISs and other elements of the
ning and decision making. NEPA process by contacting the NASA
(b) Through this subpart, NASA NEPA Manager at HQ/EMD identified
adopts the CEQ regulations imple- at http://www.nasa.gov/agency/nepa/
menting NEPA (40 CFR parts 1500–1508) NEPATeam.html.
and supplements those regulations (2) Each NASA Center has an envi-
with this subpart 1216.3, for actions ronmental management office that
proposed by NASA that are subject to guides and supports the working-level
NEPA requirements. This subpart is to functions of the NEPA process, such as
be used in conjunction with the CEQ evaluating proposed actions; devel-
regulations. Consistent with the CEQ oping, reviewing, and approving re-
regulations at 40 CFR part 1500.3, no quired documentation; and advising
trivial violation of this part shall give project managers.
rise to any independent cause of ac- (b) The Responsible Official shall en-
tion. This subpart and NASA’s NEPA sure that planning and decision mak-
policy are available on NASA’s Public ing for each proposed Agency action
Portal at http://www.nasa.gov/agency/ complies with these regulations and
nepa/ (under NEPA Process). with Agency NEPA policy and guid-
ance provided by the SEO, HQ/EMD,
§ 1216.301 Applicability. and the Center’s environmental man-
This subpart applies to all organiza- agement office. For facility programs
tional elements of NASA. and projects, the Responsible Official is
the individual responsible for estab-
§ 1216.302 Responsibilities. lishing, developing, and maintaining
(a) The NASA Senior Environmental the institutional capabilities required
Official (SEO) (as defined in Appendix for the execution of programs and
A to this subpart) is responsible for projects (e.g., Center Director, facility
overseeing and guiding NASA’s inte- manager). For other programs and
110
projects, (e.g., space flight programs/ able alternatives prior to completion of

projects, R&D programs/projects) the its NEPA review.
Responsible Official is the NASA offi-
cial responsible for the formulation § 1216.304 Categorical exclusions.
and implementation of the program or (a) Categorical Exclusions (CatExs)
project (e.g., The Associate Adminis- are categories of Agency actions with
trator for Science Mission Directorate, no individually or cumulatively signifi-
Center Director). cant impact on the human environ-
(c) NASA must comply with this sub- ment and for which neither an EA nor
part when considering issuance of a an EIS is required. The use of a CatEx
permit, lease, easement, or grant to a is intended to reduce paperwork, im-
non-Federal party and may seek such prove Government efficiency, and
non-Federal party’s assistance in ob- eliminate delays in the initiation and
taining necessary information and completion of proposed actions having
completing the NEPA process. The Re- no significant impact.
sponsible Official(s) for such action(s), (b) A proposed action may be cat-
in consultation with HQ/EMD and/or egorically excluded if the action fits
the Center’s environmental manage- within a category of actions eligible
ment office, will determine the type of for exclusion (such categories are list-
environmental information needed ed in paragraph (d) of this section)),
from the non-Federal party and the ex- and the proposed action does not in-
tent of the non-Federal party’s partici- volve any extraordinary circumstances
pation in the necessary NEPA process. as described in paragraph (c) of this
section:
§ 1216.303 NEPA process in NASA (c) Extraordinary circumstances that
planning and decision making. will preclude the use of CatExs occur
(a) NEPA requires the systematic ex- when the proposed action:
(1) Has a reasonable likelihood of
amination of the environmental con-
having (individually or cumulatively)
sequences of implementing a proposed
significant impacts on public health,
Agency action. Full integration of the
safety, or the environment.
NEPA process with NASA project and
(2) Imposes uncertain or unique envi-
program planning improves Agency de-
ronmental risks.
cisions and ensures that:
(3) Is of significantly greater scope or
(1) Planning and decision making size than is normal for this category of
support NASA’s strategic plan commit- action.
ment to sustainability and environ- (4) Has a reasonable likelihood of vio-
mental stewardship and comply with lating Federal, federally recognized In-
applicable environmental statutes, reg- dian tribe, State, and/or local law or
ulations, and policies. requirements imposed for the protec-
(2) The public is appropriately en- tion of the environment.
gaged in the decision-making process. (5) Involves impacts on the quality of
(3) Procedural risks and delays are the environment that are likely to be
minimized. environmentally controversial.
(b) Determining the appropriate level (6) May adversely affect environ-
of NEPA review and documentation for mentally sensitive resources, such as,
a proposed NASA action will depend but not limited to, federally listed
upon the scope of the action and the threatened or endangered species, their
context and intensity of the reasonably designated critical habitat, wilderness
foreseeable environmental impacts. areas, floodplains, wetlands, aquifer re-
(c) The environmental impacts of a charge areas, coastal zones, wild and
proposed Agency action must be con- scenic rivers, and significant fish or
sidered, along with technical, eco- wildlife habitat, unless the impact has
nomic, and other factors that are rea- been resolved through another environ-
sonably foreseeable, beginning in the mental review process; e.g., the Clean
early planning stage of a proposed ac- Water Act (CWA), the Coastal Zone
tion. NASA will take no action which Management Act (CZMA).
would have an adverse environmental (7) May adversely affect known na-
impact or limit the choice of reason- tional natural landmarks, or cultural
111
§ 1216.304 14 CFR Ch. V (1–1–21 Edition)
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
(d) Specific NASA actions meeting data, and consultation to other agen-
the criteria for being categorically ex- cies and public and private entities,
cluded from the requirements for EAs where such assistance does not control
and EISs are as follows: a receiving entity’s program, project,
(1) Administrative Activities includ- or activity.
ing: (iv) NASA ceremonies, commemora-
(i) Personnel actions, organizational tive events, and memorial services.
changes, and procurement of routine (v) Routine packaging, labeling, stor-
goods and services. age, and transportation of hazardous
(ii) Issuance of procedural rules, materials and wastes, in accordance
manuals, directives, and requirements. with applicable Federal, federally rec-
(iii) Program budget proposals, dis- ognized Indian tribe, State, and/or
bursements, and transfer or reprogram- local law or requirements.
ming of funds. (3) Research and Development (R&D)
(iv) Preparation of documents, in- Activities including:
cluding design and feasibility studies, (i) Research, development, and test-
analytical supply and demand studies, ing in compliance with all applicable
reports and recommendations, master Federal, federally recognized Indian
and strategic plans, and other advisory tribe, State, and/or local law or re-
documents. quirements and Executive orders.
(v) Information-gathering exercises, (ii) Use of small quantities of radio-
such as inventories, audits, studies, active materials in a laboratory or in
and field studies, including water sam- the field. Uses include material for in-
pling, cultural resources surveys, bio- strument detectors, calibration, and
logical surveys, geologic surveys, mod- other purposes. Materials must be li-
eling or simulations, and routine data censed, as required, and properly con-
collection and analysis activities. tained and shielded.
(vi) Preparation and dissemination of (iii) Use of lasers for research and de-
information, including document mail- velopment, scientific instruments and
ings, publications, classroom mate- measurements, and distance and rang-
rials, conferences, speaking engage- ing, where such use meets all applica-
ments, Web sites, and other edu- ble Federal, federally recognized Indian
cational/informational activities. tribe, State, and/or local law or re-
(vii) Software development, data quirements, and Executive orders. This
analysis, and/or testing, including com- applies to lasers used in spacecraft, air-
puter modeling. craft, laboratories, watercraft, or out-
(viii) Interpretations, amendments, door activities.
and modifications to contracts, grants, (4) Real and Personal Property Ac-
or other awards. tivities including:
(2) Operations and Management Ac- (i) Acquisition, transfer, or disposal
tivities including: of any personal property, or personal
(i) Routine maintenance, minor con- property rights or interests.
struction or rehabilitation, minor dem- (ii) Granting or acceptance of ease-
olition, minor modification, minor re- ments, leases, licenses, rights-of-entry,
pair, and continuing or altered oper- and permits to use NASA-controlled
ations at, or of, existing NASA or property, or any other real property,
NASA-funded or -approved facilities for activities which, if conducted by
and equipment, such as buildings, NASA, would be categorically excluded
roads, grounds, utilities, communica- in accordance with this section. This
tion systems, and ground support sys- assumes that NASA has included any
112
required notices in transfer docu- seven years, in accordance with CEQ

mentation and any terms and condi- guidance, to determine whether modi-
tions necessary to ensure protection of fications, additions, or deletions are
the environment, as applicable (Record appropriate, based upon NASA’s experi-
of Environmental Consideration (REC) ence. Recommendations for modifica-
required). tions, additions, or deletions shall be
(iii) Transfer or disposal of real prop- submitted to the SEO for consideration
erty or real property rights or interests and informal discussion with the CEQ.
if the change in use is one which, if
conducted by NASA, would be categori- § 1216.305 Actions requiring environ-
cally excluded in accordance with this mental assessments.
section (REC required). (a) The Responsible Official will pre-
(iv) Transfer of real property admin- pare an EA when a proposed action
istrative control to another Federal cannot be categorically excluded, and
agency, including the return of public the proposed action is not expected to
domain lands to the Department of the result in impacts that require analysis
Interior (DoI) or other Federal agen- in an EIS. The Responsible Official will
cies, and reporting of property as ex- consider the scope of the action and
cess and surplus to the General Serv- the context and intensity of any envi-
ices Administration (GSA) for disposal, ronmental impacts when determining
when the agency receiving administra- whether to prepare an EA.
tive control (or GSA, following receipt (b) Typical NASA actions normally
of a report of excess) will complete any requiring an EA include:
necessary NEPA review prior to any
(1) Specific spacecraft development
change in land use (REC required).
and space flight projects/programs (as
(v) Acquisition of real property (in-
defined in Appendix A to this subpart).
cluding facilities) where the land use
(2) Actions altering the ongoing oper-
will not change substantially (REC re-
ations at a NASA Center which could
quired).
lead directly, indirectly, or cumula-
(5) Aircraft and Airfield Activities in-
tively to substantial natural or phys-
cluding:
ical environmental impacts.
(i) Periodic aircraft flight activities,
including training and research and de- (3) Construction or modifications of
velopment, which are routine and com- facilities which are not minor.
ply with applicable Federal, federally (4) Proposed actions that are ex-
recognized Indian tribe, State, and/or pected to result in significant changes
local law or requirements, and Execu- to established land use.
tive orders. (5) A space flight project/program
(ii) Relocation of similar aircraft not that would return extraterrestrial sam-
resulting in a substantial increase in ples to Earth from solar system bodies
total flying hours, number of aircraft (such as asteroids, comets, planets,
operations, operational parameters dwarf planets, and planetary moons),
(e.g., noise), or permanent personnel or which would likely receive an Unre-
logistics support requirements at the stricted Earth Return categorization
receiving installation (REC required). (as defined in Appendix A to this sub-
(e) The Responsible Official shall re- part) from NASA’s Planetary Protec-
view the proposed action in its early tion Office (PPO) or the NASA Plan-
planning stage and will consider the etary Protection Subcommittee prior
scope of the action and the context and to the return of samples to the Earth.
intensity of any environmental im-
pacts to determine whether there are § 1216.306 Actions normally requiring
extraordinary circumstances that an EIS.
could result in environmental impacts. (a) NASA will prepare an EIS for ac-
If extraordinary circumstances exist, tions with the potential to signifi-
the Responsible Official will either cantly impact the quality of the
withdraw the proposed action or ini- human environment, including actions
tiate an EA or EIS. for which an EA analysis demonstrates
(f) The NASA SEO will review the that significant impacts will poten-
categorical exclusions at least every tially occur which will not be reduced
113
§ 1216.307 14 CFR Ch. V (1–1–21 Edition)
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.
(c) Development and operation of a
space flight project/program which § 1216.309 Mitigation and monitoring.
would launch and operate a nuclear re-
When the analysis proceeds to an EA
actor or radioisotope power systems
or EIS and mitigation measures are se-
and devices using a total quantity of
radioactive material greater than the lected to avoid or reduce environ-
quantity for which the NASA Nuclear mental impacts, such mitigation meas-
Flight Safety Assurance Manager may ures will be identified in the EA/FONSI
grant nuclear safety launch approval or the EIS Record of Decision (ROD).
(i.e., a total quantity of radioactive NASA will implement mitigation
material for which the A2 Mission Mul- measures (including adaptive manage-
tiple (see definitions in Appendix A to ment strategies, where appropriate)
this subpart) is greater than 10)). consistent with applicable FONSIs and/
(d) Development and operation of a or RODs and will monitor their imple-
space flight project/program which mentation and effectiveness. The Re-
would return samples to Earth from sponsible Official will ensure that fund-
solar system bodies (such as asteroids, ing requests for such mitigation meas-
comets, planets, dwarf planets, and ures are included in the program or
planetary moons), which would likely project budget.
receive a Restricted Earth Return cat-
egorization (as defined in Appendix A § 1216.310 Classified actions.
to this subpart) from the NASA Plan- (a) Classification does not relieve
etary Protection Office or the NASA NASA of the requirement to assess,
Planetary Protection Subcommittee. document, and consider the environ-
(e) Substantial modification of a mental impacts of a proposed action.
NASA facility’s master plan in a man- (b) When classified information can
ner expected to result in significant ef- reasonably be separated from other in-
fect(s) on the quality of the human en- formation and a meaningful environ-
vironment. mental analysis can be produced, un-
(f) Substantial construction projects classified documents will be prepared
expected to result in significant ef-
and processed in accordance with these
fect(s) on the quality of the human en-
regulations. Classified portions will be
vironment, when such construction and
kept separate and provided to properly
its effects are not within the scope of
cleared reviewers and decision makers
an existing master plan and EIS.
in the form of a properly classified doc-
§ 1216.307 Programmatic EAs, and ument that meets the requirements of
EISs, and tiering. these regulations to the extent per-
NASA encourages the analysis of ac- mitted, given such classification.
tions at the programmatic level for
§ 1216.311 Emergency responses.
those programs similar in nature or
broad in scope. Programmatic NEPA (a) When the Responsible Official de-
analyses may take place in the form of termines that an emergency exists that
an EA or EIS. These documents allow makes it necessary to take urgently
‘‘tiering’’ of NEPA documentation for needed actions before preparing a
subsequent or specific actions. NEPA analysis and any required docu-
mentation, in accordance with the pro-
§ 1216.308 Supplemental EAs and EISs. visions in §§ 1216.305 and 1216.307 of this
As detailed in CEQ regulations, sup- subpart, then the following provisions
plemental documentation may be re- apply:
114
(1) The Responsible Official may take DEFINITIONS

urgently needed actions that are nec- 1. A2 Mission Multiple—The A2 Mission Mul-
essary to control the immediate im- tiple is a calculated value based on the
pacts of the emergency needed to miti- total amount of radioactive material being
gate harm to life, property, or re- launched. This value is used in defining the
sources. When taking such actions, the level of review and approval required for
Responsible Official shall, to the ex- launch.
tent practical, mitigate foreseeable ad- 2. Earth Return Mission (also known as a
Sample Return)—A subcategory of mis-
verse environmental impacts. sions that would collect extraterrestrial
(2) [Reserved] materials from solar system bodies and re-
(b) At the earliest practicable time, turn them to Earth.
the Responsible Official shall also no- 3. NASA Senior Environmental Official—The
tify the SEO of the emergency situa- Senior NASA Headquarters Official respon-
tion and the action(s) taken. The SEO sible for providing executive and func-
will determine the appropriate NEPA tional leadership for environmental com-
action associated with the urgent ac- pliance. As of January 1, 2011, the SEO is
the Assistant Administrator for Strategic
tions taken as a result of the emer-
Infrastructure.
gency. If the urgent actions will rea- 4. Record of Environmental Consideration—
sonably result in significant environ- A brief document that is used to describe a
mental impacts, the SEO will consult proposed action, identify the applicable
with the CEQ to ensure compliance categorical exclusion, and explain why fur-
with 40 CFR 1506.11 as soon as is rea- ther environmental analysis is not re-
sonable. quired.
(c) If the Responsible Official pro- 5. Restricted Earth Return—A subcategory
poses emergency actions which con- of Earth Return Missions which requires
additional measures to ensure that any po-
tinue beyond the urgent actions taken
tential indigenous life form would be con-
as a result of the emergency, and these tained so that it could not impact humans
actions are not categorically excluded, or Earth’s environment.
the Responsible Official will consult 6. Space Flight Projects/Programs—Those
with the SEO to determine the appro- NASA actions that develop products in-
priate level of NEPA compliance. If tended for use in space and/or that support
continuation of the emergency actions ground and space operations for products
will reasonably result in significant en- in space.
vironmental impacts, the SEO will 7. Unrestricted Earth Return—NASA Proce-
dural Requirements define this as a sub-
consult with the CEQ to ensure compli-
category of Earth Return Missions that
ance with 40 CFR 1506.11 as soon as is would collect extraterrestrial materials
reasonable. from solar system bodies (deemed by sci-
entific opinion to have no indigenous life
APPENDIX A TO SUBPART 1216.3 OF PART forms) and return those samples to Earth.
1216—ACRONYMS AND DEFINITIONS No planetary protection measures are re-
quired for the inbound (return to Earth)
CatEx Categorical Exclusion phase of the mission.
CEQ Council on Environmental Quality
CFR Code of Federal Regulations
CWA Clean Water Act PART 1217—DUTY-FREE ENTRY OF
CZMA Coastal Zone Management Act SPACE ARTICLES
DoI (U.S.) Department of the Interior
EA Environmental Assessment
EMD Environmental Management Division Sec.
EIS Environmental Impact Statement 1217.100 Scope.
FONSI Finding of No Significant Impact 1217.101 Applicability.
FR Federal Register 1217.102 Background.
GSA General Services Administration 1217.103 Authority to certify.
NEPA National Environmental Policy Act 1217.104 Certification forms.
NHPA National Historic Preservation Act 1217.105 Procedures.
SEO Senior Environmental Official 1217.106 Articles brought into the United
OGC Office of the General Counsel States by NASA from space.
PPO Planetary Protection Office
AUTHORITY: 51 U.S.C. 20113; Proclamation
REC Record of Environmental Consider-
No. 6780 of March 23, 1995, 60 FR 15845.
ation
ROD Record of Decision SOURCE: 62 FR 6467, Feb. 12, 1997, unless
U.S.C. United States Code otherwise noted.
115
§ 1217.100 14 CFR Ch. V (1–1–21 Edition)
§ 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
NASA’s 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 NASA’s use and articles imported
including articles that will be launched to implement NASA’s international
into space, spare parts for such arti- programs, including articles to be
cles, ground support equipment, or launched into space, parts thereof,
uniquely associated equipment for use ground support equipment, and unique-
in connection with a NASA inter- ly associated equipment for use in con-
national program or launch service nection with NASA’s international pro-
agreement. This part also sets forth grams and launch service agreements
NASA’s procedures with respect to the would be eligible for duty-free customs
use of its authority to bring foreign- entry upon certification by NASA to
owned articles and articles from space the Commissioner of Customs. The re-
into the customs territory of the vised authorities also provided, in U.S.
United States, and describes the non- note 1 to subchapter VIII of chapter 98
import status of such articles. of the HTSUS, that articles brought
into the customs territory of the
§ 1217.101 Applicability. United States by NASA from space or
This part applies to qualifying arti- from a foreign country as part of a
cles entered or withdrawn from ware- NASA’s international programs would
house for consumption in the customs not be considered imports or subject to
territory of the United States, and to customs entry requirements.
articles brought into the customs terri-
§ 1217.103 Authority to certify.
tory of the United States by NASA
from space or from foreign country as (a) The following NASA officials,
part of the NASA international pro- their deputies, and designees within
gram. their respective organizations are au-
thorized, under the conditions de-
§ 1217.102 Background. scribed herein, to make the certifi-
In order to encourage and facilitate cation to the Commissioner of Customs
the use of NASA’s launch services for required for the duty-free entry of
the exploration and use of space, sec- space articles pursuant to subheading
tion 116 of Public Law 97–446 provided HTSUS 9808.00.80.
for the duty-free entry into the United (1) The NASA Assistant Adminis-
States of certain articles imported by trator for Procurement is authorized to
NASA for its space-related activities or issue the certification for articles im-
articles imported by another person or ported into the United States which
entity for the purpose of meeting its are procured by NASA or by other U.S.
obligations under a launch services Government agencies, or by U.S. Gov-
agreement with NASA. Such articles ernment contractors or subcontractors
were certified by NASA to the Commis- when title to the articles is or will be
sioner of Customs for duty-free entry vested in the U.S. Government pursu-
to be launched into space or space ant to the terms of the contract or sub-
parts or necessary and uniquely associ- contract. Requests for certification
ated support equipment for use in con- should be sent to: Office of Procure-
nection with a launch into space. This ment, Attn: Director, Contract and
exemption from duty was provided for Grant Policy Division, National Aero-
in Subheading 9808.00.80, Harmonized nautics and Space Administration,
Tariff Schedule of the United States Washington, DC 20546.
(HTSUS) (19 U.S.C. 1202). Also, HTSUS, (2) The NASA Associate Adminis-
Chapter VIII, U.S. note 1, pursuant to trator for International and Inter-
the same law, provided that return of agency Relations is authorized to issue
articles by NASA from space to the the certification for articles imported
United States would not be considered into the United States pursuant to
116
international agreements. Requests for cation, that official shall sign a certifi-
certification should be sent to: Office cate in the following form:
of International and Interagency Rela- (a) For articles procured by NASA, a
tions, Attn: Director, Export Control Customs Service Form CF 7501 (Entry
and Interagency Liaison Division, Na- Summary) shall be completed, and the
tional Aeronautics and Space Adminis- following certification shall be used:
tration, Washington, DC 20546.
ARTICLES FOR THE NATIONAL AERONAUTICS
(3) The NASA Associate Adminis- AND SPACE ADMINISTRATION
trator for Human Exploration and Op-
erations is authorized to issue the cer- Item 9808.00.80, Harmonized Tariff Schedule of
tification for articles imported into the the United States
United States by persons or entities Program: llllllllllllllllll
under agreements other than those I hereby certify that the articles identified
identified in paragraphs (a)(1) and (a)(2) in [attached invoice] are being imported for
of this section, including launch serv- the use of the National Aeronautics and
ices agreements. Requests for certifi- Space Administration (NASA) in accordance
with 9808.00.80, Harmonized Tariff Schedule
cation should be sent to: Human Explo-
of the United States.
ration and Operations Mission Direc-
Name llllllllllllllllllll
torate, Attn: Director, International
Space Station Office, National Aero- Date lllllllllllllllllllll
nautics and Space Administration, (b) For articles imported by NASA to
Washington, DC 20546. implement international programs of
(b) Each certification by the officials NASA to which NASA will take title,
identified in paragraphs (a)(1), (a)(2), or which remain the property of for-
and (a)(3) of this section shall receive eign entities under such programs, no
the concurrence of the Office of the entry is required pursuant to U.S. note
General Counsel. 1 to HTSUS subchapter VIII of chapter
(c) Subject to procedures established 98. For such articles, the following cer-
by the officials identified in paragraphs tification shall be used:
(a)(1), (a)(2), or (a)(3) of this section, as ARTICLES FOR USE IN AN INTERNATIONAL PRO-
appropriate, the Center Procurement GRAM OF THE NATIONAL AERONAUTICS AND
Officer or a Program Manager at a SPACE ADMINISTRATION
NASA Installation who is designated
by an official identified in paragraphs Item 9808.00.80, Harmonized Tariff Schedule of
the United States
(a)(1), (a)(2), or (a)(3) of this section
may make the certification to the Program: llllllllllllllllll
Commissioner of Customs required for Foreign Owner(s) (if applicable): llllll
the duty-free entry of space articles In accordance with subheading 9808.00.80
pursuant to subheading HTSUS and U.S. note 1 to subchapter VIII of chapter
9808.00.80. Such procedures shall in- 98, Harmonized Tariff Schedule of the United
clude the following requirements: States, I hereby certify that the above-de-
scribed shipment is being brought into the
(1) All such certifications by des-
customs territory of the United States as
ignated Procurement Officers or Pro- part of an international program of the Na-
gram Managers shall receive the con- tional Aeronautics and Space Administra-
currence of the Chief Counsel of the tion (NASA). No CF 7501 entry is required for
issuing NASA Installation; and this shipment. All articles contained in this
(2) All such certifications by des- shipment are, and shall remain, the property
ignated Procurement Officers or Pro- of NASA or of the foreign entities identified
above. Except for articles consumed in the
gram Managers shall be promptly re-
execution of the above-described Program,
ported to an official identified in para- none of these articles will be made available
graphs (a)(1), (a)(2), or (a)(3) of this sec- for sale or other disposition to persons or in-
tion, as appropriate. stitutions not directly involved in the Pro-
gram identified above.
FR 45865, Aug. 3, 2015] Name llllllllllllllllllll
Date lllllllllllllllllllll
§ 1217.104 Certification forms. (c) A blanket certificate for a series
To the extent an authorized NASA of imports under a specific NASA inter-
official approves a request for certifi- national program or procurement is
117
§ 1217.105 14 CFR Ch. V (1–1–21 Edition)
authorized but shall require written in bond from the port of arrival to an-
verification by a NASA official des- other port of entry in the United
ignated by a Director of a receiving States, identify both ports.
NASA Installation that the articles re- (c) The signed certificate and its at-
ceived meet the conditions of the cer- tachment(s) will be forwarded to the
tificate. The blanket certificate shall NASA Installation responsible for
be in the form of the certifications set duty-free entry of the materials, unless
forth in paragraphs (a) or (b) of this issued at such Installation by an au-
section, as appropriate, but shall in- thorized official in accordance with
clude the following paragraph at the § 1217.103(c) of this part. These docu-
end thereof:
ments shall be presented to an appro-
Before this certification is used to obtain priated Customs official at the port(s)
duty-free entry of these articles, a cognizant of entry. The procedures specified in 19
NASA official at the receiving NASA Instal-
CFR 10.102 will be followed by the
lation, who is designated by the Installation
Director, shall verify in writing that specifi- NASA Installation in obtaining duty-
cally identified articles to be entered on a free entry at the Customs port(s) of
particular date are the articles described in entry. The NASA Installation should
this certificate or its attachments. This ensure that, at the time the articles
verification and this certification shall be are to be released after Customs entry,
presented to the U.S. Customs Service at the
the custody of the imported articles is
time entry for the particular articles is
sought. transferred directly from the carrier or
Name llllllllllllllllllll from the U.S. Customs Service to the
Date lllllllllllllllllllll
NASA Installation, its agent, or the
launch service customer in the case of
With respect to articles represented a Launch and Associated Services
to be: procurements by NASA; or im- Agreement.
ports to implement international pro- (d) If articles procured under con-
grams of NASA to which NASA will tract by NASA are imported prior to
take title, or foreign-owned articles for
compliance with these procedures and
use in a NASA international program,
it is essential that the articles be re-
the NASA official issuing the blanket
leased from Customs custody prior to
certificate shall review the proposed
articles and approve their eligibility such compliance, the procedures out-
for duty-free entry. A description of lined in 19 CFR 10.101 may be followed
these articles shall either be referred by cognizant NASA officials to secure
to in the blanket certificate and pro- the release of the articles from Cus-
vided in Form CF 7501 (Entry Sum- toms custody. To the extent applicable,
mary) for procurements or attached to the procedures in § 1217.105 of this part
the certificate for imports to imple- shall be followed when time permits to
ment NASA international programs, as obtain duty-free entry for the articles
appropriate. released from Customs custody.
§ 1217.105 Procedures. § 1217.106 Articles brought into the

(a) Requests for certification shall be United States by NASA from space.
forwarded to an appropriate NASA offi- Pursuant to U.S. note 1 subchapter
cial or designee as provided for in VIII of chapter 98, HTSUS, articles
§ 1217.103 of this part. brought into the customs territory of
(b) Each request for certification the United States by NASA from space
shall be accompanied by: shall not be considered an importation,
(1) A proposed certificate as provided and no certification or entry of such
for in § 1217.104 of this part; materials through U.S. Customs shall
(2) The information and documenta- be required. This provision is applica-
tion required by 19 CFR 10.102(a), in- ble to articles brought to the U.S. from
cluding invoice documentation or a de-
space whether or not the articles were
scription of covered articles; and
launched into space aboard a NASA ve-
(3) The anticipated date of entry of
hicle.
entry and port of entry for each arti-
cle. If the article is to be transported
118
PART 1221—THE NASA SEAL AND § 1221.100 Scope.

OTHER DEVICES, AND THE CON- This subpart sets forth the policy
GRESSIONAL SPACE MEDAL OF governing the use of the NASA Seal,
HONOR the NASA Insignia, NASA Logotype,
NASA Program Identifiers, and the
Subpart 1221.1—NASA Seal, NASA Insignia, NASA Flags. This subpart also estab-
NASA Logotype, NASA Program Identi- lishes and sets forth the concept and
fiers, NASA Flags, and the Agency’s scope of the NASA Unified Visual Com-
Unified Visual Communications System munications System and prescribes the
policy and guidelines for implementa-
Sec. tion of the system.
1221.100 Scope.
1221.101 Policy. EFFECTIVE DATE NOTE: At 85 FR 71828, Nov.
12, 2020, § 1221.100 was revised, effective Jan.
1221.102 Establishment of the NASA Seal.
11, 2021. For the convenience of the user, the
1221.103 Establishment of the NASA Insig- revised text is set forth as follows:
nia.
1221.104 Establishment of the NASA Logo- § 1221.100 Scope.
type. This subpart sets forth the policy gov-
1221.105 Establishment of the NASA Pro- erning the use of the NASA Seal, the NASA
gram Identifiers. Insignia, NASA Logotype, NASA Program
1221.106 Establishment of the NASA Flag. Identifiers, and the NASA Flags. This sub-
1221.107 Establishment of the NASA Admin- part also establishes and sets forth the con-
istrator’s, Deputy Administrator’s, and cept and scope of the NASA Graphics Stand-
Associate Deputy Administrator’s Flags. ards Manual and prescribes the policy and
1221.108 Establishment of the NASA Unified guidelines for implementation of the system.
Visual Communications System. The NASA Graphics Standards Manual is ac-
1221.109 Use of the NASA Seal. cessible at https://communications.nasa.gov/
1221.110 Use of the NASA Insignia. sites/default/files/files/
NASAlGraphicslStandardslv3-TAGGED-
1221.111 Use of the NASA Logotype.
v3.pdf.
1221.112 Use of the NASA Program Identi-
fiers. § 1221.101 Policy.
1221.113 Use of the NASA Flags.
1221.114 Approval of new or change pro- (a) The NASA Seal, the NASA Insig-
posals. nia, NASA Logotype, NASA Program
1221.115 Violations. Identifiers, the NASA Flags, and the
1221.116 Compliance and enforcement. Agency’s Unified Visual Communica-
tions System, as prescribed in § 1221.102
Subpart 1221.2—The Congressional Space through § 1221.108 of this subpart, shall
Medal of Honor be used exclusively to represent NASA,
its programs, projects, functions, ac-
1221.200 Scope. tivities, or elements. The use of any de-
1221.201 Basis for award of the medal.
vices other than those provided by or
1221.202 Description of the medal.
subsequently approved in accordance
1221.203 Nominations.
with the provisions of this subpart is
1221.204 Proceedings of the NASA Incentive
Awards Board.
prohibited.
(b) The use of the devices prescribed
APPENDIX A TO PART 1221—CONGRESSIONAL in this section shall be governed by the
SPACE MEDAL OF HONOR
provisions of this subpart. The use of
the devices prescribed in this section
Subpart 1221.1—NASA Seal, NASA for any purpose other than as author-
Insignia, NASA Logotype, ized by this subpart is prohibited.
NASA Program Identifiers, Their misuse shall be subject to the
NASA Flags, and the Agen- penalties authorized by statute, as set
cy’s Unified Visual Commu- forth in § 1221.115 and shall be reported
nications System as provided in § 1221.116.
(c) Any proposal for a new NASA In-
signia, NASA Logotype, NASA Pro-
AUTHORITY: 42 U.S.C. 2472(a) and 2473(c)(1). gram Identifier, or for modification to
SOURCE: 58 FR 58944, Nov. 5, 1993, unless those prescribed in this section shall be
otherwise noted. processed in accordance with § 1221.114.
119
§ 1221.102 14 CFR Ch. V (1–1–21 Edition)
§ 1221.102 Establishment of the NASA 1961. The NASA Seal, established by

Seal. the President, is the Seal of the Agen-
cy and symbolizes the achievements
The NASA Seal was established by
and goals of NASA and the United
Executive Order 10849 (24 FR 9559), No-
States in aeronautical and space ac-
vember 27, 1959, as amended by Execu- tivities. The NASA Seal shall be used
tive Order 10942 (24 FR 4419), May 22, as set forth in § 1221.109.
§ 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 NASA’s 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.
120
EC09SE91.009</GPH>
EFFECTIVE DATE NOTE: At 85 FR 71828, Nov. § 1221.103 Establishment of the NASA Insig-
12, 2020, § 1221.103 was revised, effective Jan. nia.
11, 2021. For the convenience of the user, the The NASA Insignia was designed by the
revised text is set forth as follows: Army Institute of Heraldry and approved by
the Commission of Fine Arts and the NASA
121
EC09SE91.010</GPH>
§ 1221.103 14 CFR Ch. V (1–1–21 Edition)
Administrator. It symbolizes NASA’s role in forth in §§ 1221.108, the NASA Graphics
aeronautics and space and is established by Standards Manual, and any accompanying
the NASA Administrator as the signature style guides or related NASA directive or
and design element for visual communica- specification approved by the NASA Admin-
tions formerly reserved for the NASA Logo- istrator and published subsequent hereto.
type. The NASA Insignia shall be used as set
122
ER12NO20.001</GPH>
§ 1221.104 Establishment of the NASA NASA Administrator. It symbolizes

Logotype. NASA’s role in aeronautics and space
from 1975 to 1992 and has been retired.
The NASA Logotype was approved by
The NASA Logotype shall be used as
the Commission of Fine Arts and the
set forth in § 1221.111.
EFFECTIVE DATE NOTE: At 85 FR 71829, Nov. Fine Arts and the NASA Administrator. It
12, 2020, § 1221.104 was revised, effective Jan. symbolizes NASA’s role in aeronautics and
11, 2021. For the convenience of the user, the space from 1975 to 1992 and was retired be-
revised text is set forth as follows: tween 1992–2020. The NASA Logotype shall be
used as set forth in § 1221.111.
§ 1221.104 Establishment of the NASA Logo-
type.
The NASA Logotype (also called ‘‘the
Worm’’) was approved by the Commission of
123
EC09SE91.011</GPH>
§ 1221.105 14 CFR Ch. V (1–1–21 Edition)
§ 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 5–1–269, 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.
124
ER12NO20.002</GPH>
§ 1221.107 Establishment of the NASA NASA Administrator, Deputy Adminis-

Administrator’s, Deputy Adminis- trator, and Associate Deputy Adminis-
trator’s, and Associate Deputy Ad- trator. Each of these flags conforms to
ministrator’s 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 Administrator’s Flag has four
tablished NASA Flags to represent the
stars;
125
EC09SE91.012</GPH>
§ 1221.108 14 CFR Ch. V (1–1–21 Edition)
(3) The Deputy Administrator’s Flag System. With the development of the
has three stars; and NASA Unified Visual Communications
(4) The Associate Deputy Administra- System, the Office of Public Affairs at
tor’s Flag has two stars. NASA Headquarters created the NASA
(b) Flags representing these senior Graphics Standards Manual and the
officials shall be used as set forth in NASA Insignia Standards Supplement
§ 1221.113. which are the official guides for the use
EFFECTIVE DATE NOTE: At 85 FR 71830, Nov. and application of the NASA Insignia
12, 2020, § 1221.107 was revised, effective Jan. and the NASA Unified Visual Commu-
11, 2021. For the convenience of the user, the nications System.
revised text is set forth as follows: (c) The Associate Administrator for
§ 1221.107 Establishment of the NASA Ad- Public Affairs, NASA Headquarters,
ministrator’s, Deputy Administrator’s, has designated a NASA Graphics Coor-
and Associate Administrator’s Flags. dinator to implement and monitor
(a) Concurrently with the establishment of Agencywide design improvements in
the NASA Flag in January 1960, the NASA consonance with the NASA Graphics
Administrator also established NASA Flags Standards Manual, the NASA Insignia
to represent the NASA Administrator, Dep-
uty Administrator, and Associate Adminis- Standards Supplement, and the NASA
trator. Each of these flags conforms to the Unified Visual Communications Sys-
basic design of the NASA Flag except for the tem. The NASA Graphics Coordinator
following: will develop and issue changes and ad-
(1) The size of the flag is 3 feet x 4 feet; ditions to the manual as required and
(2) The Administrator’s Flag has four as new design standards and specifica-
stars;
tions are developed and approved. Cop-
(3) The Deputy Administrator’s Flag has
three stars; and ies of the NASA Graphics Standards
(4) The Associate Administrator’s Flag has Manual and the NASA Insignia Stand-
two stars. ards Supplement may be obtained di-
(b) Flags representing these senior officials rectly from the NASA Graphics Coordi-
shall be used as set forth in § 1221.113. nator, Office of Public Affairs, NASA
Headquarters.
§ 1221.108 Establishment of the NASA
Unified Visual Communications (d) The Director of each Field Instal-
System. lation has designated an official to
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-
temporary, business-like, progressive, (e) Graphics Coordinators are respon-
and forward-looking image through the sible for ensuring compliance with the
use of effective design for improved NASA Graphics Standards Manual, the
communications. The system provides NASA Insignia Standards Supplement,
a professional and cohesive NASA iden- and the NASA Unified Visual Commu-
tity by imparting continuity of graph- nications System for their respective
ics design in all layout, reproduction Installations.
art, stationery, forms, publications, EFFECTIVE DATE NOTE: At 85 FR 71830, Nov.
signs, films, video productions, vehi- 12, 2020, § 1221.108 was revised, effective Jan.
cles, aircraft, and spacecraft markings 11, 2021. For the convenience of the user, the
and other items. It creates a unified revised text is set forth as follows:
image which is representative and sym-
§ 1221.108 Establishment of the NASA Uni-
bolic of NASA’s progressive attitudes fied Visual Communications System.
and programs. (a) The NASA Administrator directed the
(b) The Associate Administrator for establishment of a NASA Unified Visual
Public Affairs is responsible for the de- Communications System. The system, which
velopment and implementation of the is comprised of the NASA Graphics Stand-
NASA Unified Visual Communications ards Manual and any accompanying style
126
guides or related NASA directive or speci- for display in Agency auditoriums,
fication, was developed under the Federal presentation rooms, lobbies, offices of
Design Improvement Program initiated by senior officials, and on the fronts of
the President in May 1972. This system is the
Agency-wide program by which NASA
buildings occupied by NASA. A sepa-
projects a contemporary, business-like, pro- rate NASA seal in the form of a 15-
gressive, and forward-looking image through inch, round, bronze-colored plaque on a
the use of effective design for improved com- walnut-colored wood base is also avail-
munications. The system provides a profes- able, but prohibited for use in the
sional and cohesive NASA identity by im- above representational manner. It is
parting continuity of graphics design in all restricted to use only as a presentation
layout, reproduction art, stationery, forms, item by the Administrator and the
publications, signs, films, video productions,
vehicles, aircraft, and spacecraft markings
Deputy Administrator.
and other items. It creates a unified image (6) The NASA Flag and the NASA Ad-
which is representative and symbolic of ministrator’s, Deputy Administrator’s,
NASA’s progressive attitudes and programs. and Associate Deputy Administrator’s
(b) The Associate Administrator for Com- Flags, which incorporate the design of
munications is responsible for the develop- the Seal.
ment and implementation of the NASA (7) NASA prestige publications which
Graphics Standards Manual and any accom- represent the achievements or missions
panying style guides for the Agency or re-
lated NASA directive or specification.
of NASA as a whole.
(c) The Associate Administrator for Com- (8) Publications (or documents) in-
munications has designated staff to imple- volving participation by another Gov-
ment and monitor Agency-wide design im- ernment agency for which the other
provements in consonance with the NASA Government agency has authorized the
Graphics Standards Manual. Designated staff use of its seal.
will develop and issue changes and additions (b) Use of the NASA Seal for any pur-
to the Manual as required and as new design pose other than as prescribed in this
standards and specifications are developed
section is prohibited, except that the
and approved. The NASA Graphics Standards
Manual can be downloaded at https://commu- Associate Deputy Administrator may
nications.nasa.gov/sites/default/files/files/ authorize, on a case-by-case basis, the
NASAlGraphicslStandardslv3-TAGGED- use of the NASA Seal for purposes
v3.pdf. other than those prescribed when the
(d) NASA Centers and Headquarters have Associate Deputy Administrator deems
designated staff to implement NASA’s graph- such use to be appropriate.
ics standards and ensure compliance of the
NASA Graphics Standards Manual and any EFFECTIVE DATE NOTE: At 85 FR 71830, Nov.
accompanying Style Guides or related NASA 12, 2020, § 1221.109 was revised, effective Jan.
directive or specification. 11, 2021. For the convenience of the user, the
revised text is set forth as follows:
§ 1221.109 Use of the NASA Seal.
§ 1221.109 Use of the NASA Seal.
(a) The Associate Deputy Adminis- (a) The Associate Administrator for Com-
trator shall be responsible for custody munications shall be responsible for custody
of the NASA Impression Seal and cus- of the NASA Impression Seal and custody of
tody of NASA replica (plaques) seals. NASA replica (plaques) seals. The NASA
The NASA Seal is restricted to the fol- Seal is restricted to the following:
lowing: (1) NASA award certificates and medals.
(1) NASA award certificates and med- (2) NASA awards for career service.
(3) Security credentials and employee iden-
als. tification cards.
(2) NASA awards for career service. (4) NASA Administrator’s documents; the
(3) Security credentials and employee Seal may be used on documents such as
identification cards. interagency or intergovernmental agree-
(4) NASA Administrator’s documents and special reports to the President
ments; the Seal may be used on docu- and Congress, and on other documents, at
ments such as interagency or intergov- the discretion of the NASA Administrator.
ernmental agreements and special re- (5) Plaques; the design of the NASA Seal
may be incorporated in plaques for display in
ports to the President and Congress, Agency auditoriums, presentation rooms,
and on other documents, at the discre- lobbies, offices of senior officials, and on the
tion of the NASA Administrator. fronts of buildings occupied by NASA. A sep-
(5) Plaques; the design of the NASA arate NASA seal in the form of a 15-inch,
Seal may be incorporated in plaques round, bronze-colored plaque on a walnut-
127
§ 1221.110 14 CFR Ch. V (1–1–21 Edition)
colored wood base is also available, but pro- (7) NASA publications, including
hibited for use in the above representational pamphlets, brochures, manuals, hand-
manner. It is restricted to use only as a pres- books, house organs, bulletins, general
entation item by the Administrator and the
Deputy Administrator. reports, posters, signs, charts, exhibits,
(6) The NASA Flag and the NASA Adminis- and items of similar nature for general
trator’s, Deputy Administrator’s, and Asso- use, as specified in the NASA Graphics
ciate Administrator’s Flags, which incor- Standards Manual and the NASA Insig-
porate the design of the Seal. nia Standards Supplement.
(7) NASA prestige publications which rep- (8) Briefcases or dispatch cases issued
resent the achievements or missions of
NASA as a whole. by NASA.
(8) Publications (or documents) involving (9) Certificates covering authority to
participation by another Government agency NASA and contractor security per-
for which the other Government agency has sonnel to carry firearms.
authorized the use of its seal. (10) NASA occupied buildings when
(b) Use of the NASA Seal for any purpose
the use of the NASA Insignia is more
other than as prescribed in this section is
prohibited, except that the Associate Admin- appropriate than use of the NASA Seal.
istrator for Communications may authorize, (b) Personal articles—NASA employees.
on a case-by-case basis, the use of the NASA (1) Business calling cards of NASA em-
Seal for purposes other than those prescribed ployees may carry the imprint of the
when the Associate Administrator for Com- NASA Insignia.
munications deems such use to be appro- (2) Limited usage on automobiles. If
priate.
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-
(3) Personal items used in connection
cordings produced by or for NASA.
(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 NASA’s 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 NASA’s 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.
128
(3) No approval for use of the NASA NASA graphics standards/style guide or with
Insignia will be authorized when its use prior written approval of the NASA Adminis-
can be construed as an endorsement by trator.
NASA of a product or service. § 1221.112 Use of the NASA Program
(4) Items bearing the NASA Insignia Identifiers.
such as souvenirs, novelties, toys, mod-
els, clothing, and similar items (includ- (a) Official NASA Program Identi-
ing items for sale through the NASA fiers will be restricted to the uses set
employees’ nonappropriated fund ac- forth in this section and to such other
tivities) may be manufactured and sold uses as the Associate Administrator for
only after the NASA Insignia applica- Public Affairs may specifically ap-
tion has been submitted to, and approve.
proved by, the Associate Administrator (b) Specific approval is given for the
for Public Affairs, or designee, NASA following uses:
Headquarters, Washington, DC 20546. (1) Use of exact reproductions of a
(d) Use of the NASA Insignia for any badge in the form of a patch made of
other purpose than as prescribed in cloth or other material, or a decal, or
this section is prohibited, except that a gummed sticker on articles of wear-
the Associate Administrator for Public ing apparel and personal property
Affairs may authorize on a case-by- items; and
case basis the use of the NASA Insignia (2) Use of exact renderings of a badge
for other purposes when the Associate on a coin, medal, plaque, or other com-
Administrator for the Public Affairs memorative souvenirs.
deems such use to be appropriate. (c) The manufacture and sale or free
distribution of identifiers for the uses
EFFECTIVE DATE NOTE: At 85 FR 71831, Nov. approved or that may be approved
12, 2020, § 1221.110 was amended by revising under paragraphs (a) and (b) of this sec-
paragraph (c)(4), effective Jan. 11, 2021. For
tion are authorized.
the convenience of the user, the revised text
is set forth as follows: (d) Portrayal of an exact reproduc-
tion of a badge in conjunction with the
§ 1221.110 Use of the NASA Insignia. advertising of any product or service
will be approved on a case-by-case
* * * * * basis by the Associate Administrator
for Public Affairs.
(c) * * *
(4) Items bearing the NASA Insignia and (e) The manufacture, sale, or use of
NASA Logotype such as souvenirs, novelties, any colorable imitation of the design
toys, models, clothing, and similar items (in- of an official NASA Program Identifier
cluding items for sale through the NASA em- will not be approved.
ployees’ nonappropriated fund activities)
EFFECTIVE DATE NOTE: At 85 FR 71831, Nov.
may be manufactured and sold only after the
12, 2020, § 1221.112 was amended by revising
a request has been submitted to, and ap-
paragraph (a), effective Jan 11, 2021. For the
proved by, the NASA Office for Communica-
convenience of the user, the revised text is
tions, NASA Headquarters, Washington, DC
set forth as follows:
20546.
§ 1221.112 Use of the NASA Program Identi-
§ 1221.111 Use of the NASA Logotype. fiers.
The NASA Logotype has been retired (a) Official NASA Program Identifiers will
and is used only in an authentic histor- be restricted to the uses set forth in this sec-
ical context, and only with prior writ- tion and to such other uses as the Associate
Administrator for Communications may spe-
ten approval of the NASA Adminis- cifically approve.
trator.
EFFECTIVE DATE NOTE: At 85 FR 71831, Nov. § 1221.113 Use of the NASA Flags.
12, 2020, § 1221.111 was revised, effective Jan. (a) The NASA Flag is authorized for
11, 2021. For the convenience of the user, the use only as follows:
revised text is set forth as follows: (1) On or in front of NASA buildings.
§ 1221.111 Use of the NASA Logotype. (2) At NASA ceremonies.
The NASA Logotype which was retired (3) At conferences (including display
from 1992–2020 can be used only in an authen- in NASA conference rooms).
tic historical context, on merchandise in ac- (4) At governmental or public appear-
cordance with § 1221.110, paragraph (c), in the ances of NASA executives.
129
§ 1221.114 14 CFR Ch. V (1–1–21 Edition)
(5) In private offices of senior offi- and the use of such NASA Insignia
cials. must be prescribed in this subpart and
(6) As otherwise authorized by the published in the FEDERAL REGISTER.
NASA Administrator or designee. (c) Proposals to establish, change, or
(7) The NASA Flag must be displayed modify NASA Astronaut Crew Mission
with the United States Flag. When the Badges/Patches requires the written
United States Flag and the NASA Flag approval of the Director, Flight Crew
are displayed on a speaker’s platform Operations, Johnson Space Center;
in an auditorium, the United States Center Director, Johnson Space Center;
Flag must occupy the position of honor and the Associate Administrator for
and be placed at the speaker’s right as Space Flight. Decals/patches/badges
the speaker faces the audience, with may be produced as soon as the ap-
the NASA Flag at the speaker’s left. proval cycle is completed.
(b) The NASA Administrator’s, Dep-
EFFECTIVE DATE NOTE: At 85 FR 71831, Nov.
uty Administrator’s and Associate 12, 2020, § 1221.114 was amended by revising
Deputy Administrator’s Flags shall be paragraph (a), effective Jan. 11, 2021. For the
displayed with the United States Flag convenience of the user, the revised text is
in the respective offices of these offi- set forth as follows:
cials but may be temporarily removed
§ 1221.114 Approval of new or change pro-
for use at the discretion of the officials posals.
concerned. (a) Except for NASA Astronaut Mission
EFFECTIVE DATE NOTE: At 85 FR 71831, Nov. Crew Badges/Patches, any proposal to change
12, 2020, § 1221.13 was amended by revising or modify the emblematic devices set forth
paragraph (b), effective Jan. 11, 2021. For the in this subpart or to introduce a new em-
convenience of the user, the revised text is blematic device other than as prescribed in
set forth as follows: this subpart requires the written approval of
the NASA Administrator with prior approval
§ 1221.113 Use of the NASA Flags. and recommendation of the NASA Associate
Administrator for Communications.
* * * * *
§ 1221.115 Violations.
(b) The NASA Administrator’s, Deputy Ad-
ministrator’s and Associate Administrator’s (a) NASA Seal. Any person who uses
Flags shall be displayed with the United the NASA Seal in a manner other than
States Flag in the respective offices of these as authorized in this subpart shall be
officials but may be temporarily removed for subject to the provisions of Title 18
use at the discretion of the officials con- U.S.C. 1017.
cerned. (b) NASA Insignia, NASA Logotype,
and NASA Program Identifiers. Any per-
§ 1221.114 Approval of new or change son who uses the NASA Insignia, NASA
proposals.
Logotype, or NASA Program Identifier
(a) Except for NASA Astronaut Mis- in a manner other than as authorized
sion Crew Badges/Patches, any pro- in this subpart shall be subject to the
posal to change or modify the emblem- provisions of title 18 U.S.C. 701.
atic devices set forth in this subpart or
to introduce a new emblematic device § 1221.116 Compliance and enforce-
other than as prescribed in this subpart ment.
requires the written approval of the In order to ensure adherence to the
NASA Administrator with prior ap- authorized uses of the NASA Seal, the
proval and recommendation of the Di- NASA Insignia, the NASA Logotype,
rector, Public Services Division. NASA Program Identifiers, and the
(b) In addition to the written ap- NASA Flags as provided, in this sub-
proval of the NASA Administrator, any part, a report of each suspected viola-
proposal for a new or for a modification tion of this subpart (including the use
to the design of the NASA Insignia of unauthorized NASA Insignias) or of
may also be submitted to the Commis- questionable usages of the NASA Seal,
sion of Fine Arts for its advice as to the NASA Insignia, the NASA Logo-
the merit of the design. If approved in type, NASA Program Identifiers, or the
writing by the NASA Administrator NASA Flags, shall be submitted to the
and advice received from the Commis- Inspector General, NASA Head-
sion of Fine Arts, the NASA Insignia quarters, in accordance with NASA
130
Management Instruction 9810.1, ‘‘The § 1221.203 Nominations.

NASA Investigations Program.’’
(a) Formal nominations for award of
the Congressional Space Medal of
Subpart 1221.2—The Congres- Honor on behalf of NASA will be made
sional Space Medal of by the Administrator to the President.
Honor (b) Any person may recommend to
the Administrator that an astronaut be
AUTHORITY: Pub. L. 91–76, September 29, nominated for award of the Medal.
1969. Such a recommendation must be in
SOURCE: 43 FR 15624, Apr. 14, 1978, unless
writing, and must describe in concise
otherwise noted. detail the events believed to warrant
award of the Medal. The recommenda-
§ 1221.200 Scope. tion should, if appropriate, be accom-
panied by supporting documentation,
This subpart establishes procedures
such as eyewitness statements, ex-
for nominating an astronaut for the
tracts from official records, sketches,
Congressional Space Medal of Honor.
photographs, etc.
§ 1221.201 Basis for award of the (c) All recommendations for nomina-
medal. tions submitted to the Administrator
or made on his own initiative will be
(a) The standard of award for the
referred to the NASA Incentive Awards
Congressional Space Medal of Honor is
Board for the purpose of investigating
established by Pub. L. 91–76 (42 U.S.C.
and making findings of fact and giving
2461) which provides that the President
advice to the Administrator.
may award the Medal to any ‘‘astro-
naut who in the performance of his du- (d) Any recommendation involving
ties has distinguished himself by ex- an astronaut who is a member of the
ceptionally meritorious efforts and armed services on active duty or who is
contributions to the welfare of the Na- employed by another agency of the
tion and of mankind.’’ Federal Government but temporarily
assigned or detailed to NASA shall also
(b) Only one Congressional Space
be transmitted to the Secretary of De-
Medal of Honor may be awarded to a
fense or the head of the employing
person. However, for each succeeding
agency, as appropriate, for his or her
act that would otherwise justify the
recommendation.
award of the Medal, the President may
award a suitable bar or other device. (e) The Administrator will forward to
the President his recommendation, and
(c) The Medal may be awarded to any
that of the astronaut’s employing
person who is or has been designated to
agency, as appropriate.
travel in space and who has distin-
guished himself or herself while under- § 1221.204 Proceedings of the NASA In-
taking duties in preparation for, execu- centive Awards Board.
tion of, or subsequent to, but in con-
nection with, a space flight. The NASA Incentive Awards Board
shall thoroughly consider the facts giv-
(d) The Medal may be awarded for ac-
ing rise to a recommendation for nomi-
tions occurring before the effective
nation and shall prepare a report for
date of this subpart 1221.2, and, when
the Administrator. The Board should,
appropriate, posthumously.
to the extent practicable, coordinate
§ 1221.202 Description of the medal. its efforts with those of the astronaut’s
employing agency, as appropriate. Its
The description of the Congressional final report must take into account
Space Medal of Honor, which was de- any pertinent information submitted
signed by the Institute of Heraldry, by the employing agency.
U.S. Army, is set forth in appendix A
to this subpart. Each person awarded
the Medal also shall receive a citation
describing the basis for the award.
131
Pt. 1221, App. A 14 CFR Ch. V (1–1–21 Edition)
APPENDIX A TO PART 1221— the light blue is the same color as the chief
CONGRESSIONAL SPACE MEDAL OF HONOR of the shield of the coat of arms of the
United States which appears on the Presi-
OBVERSE dent’s flag. The dark blue symbolizes the
hostile environment of space, the gold edge
DESCRIPTION representing success and accomplishment.
A circular green enamel wreath of laurel Red, white and blue are also the national
surmounted by a five-pointed gold star (with colors of the United States.
vertical point downward) and issuing from
between each point a gold flame, the star MINIATURE
surmounted by a light blue enamel cloud DESCRIPTION
bank with five lobes edged in gold bearing a
five-pointed dark blue enamel star A one-half size replica of the medal and
fimbriated gold and charged in center with a suspension ribbon approximately 25⁄16 inches
diamond; standing upon the wreath at top in overall length.
center a gold eagle with wings displayed.
LAPEL EMBLEM
SYMBOLISM
DESCRIPTION
The laurel wreath, a symbol of great
achievement, with the overlapping star A miniature of the obverse of the medal,
9⁄16 inch in diameter, all gold with a diamond
points, simulates space vehicles moving to
greater accomplishments through space. The in center.
flames signify the dynamic energy of the
rocket era and the imagination of the men in ROSETTE
the space program of the United States. The DESCRIPTION
stylized glory cloud alludes to the glory in
the coat of arms of the United States and to One-half inch in diameter in the colors of
the high esteem of the award. The dark blue the ribbon.
voided star symbolizes the vast mysteries of
outer space while the brilliancy of the feat is
represented by a diamond. The eagle with
PART 1230—PROTECTION OF
wings raised in the spirit of peace represents HUMAN SUBJECTS
man’s first landing on another planet.
Sec.
REVERSE 1230.101 To what does this policy apply?
DESCRIPTION
1230.102 Definitions for purposes of this pol-
icy.
The reverse bears in center the inscription 1230.103 Assuring compliance with this pol-
‘‘CONGRESSIONAL’’ arranged in a semi- icy—research conducted or supported by
circle above the inscription ‘‘SPACE MEDAL any Federal department or agency.
PRESENTED TO’’; in base is space for the 1230.104 Exempt research.
name of the recipient and the date all within 1230.105 [Reserved]
an outer circle of fifty stars. 1230.106 [Reserved]
1230.107 IRB membership.
SUSPENSION RIBBON
1230.108 IRB functions and operations.
DESCRIPTION 1230.109 IRB review of research.
1230.110 Expedited review procedures for
A ribbon 13⁄8 inches in width consisting of certain kinds of research involving no
the following vertical stripes: gold 1⁄16 inch, more than minimal risk, and for minor
dark blue 1⁄4 inch, light blue 9⁄32 inch, white changes in approved research.
1⁄16 inch, red 1⁄16 inch, white 1⁄16 inch, light
1230.111 Criteria for IRB approval of re-
blue 9⁄32 inch, dark blue 1⁄4 inch, gold 1⁄16 inch. search.
1230.112 Review by institution.
CABLE NOS. OF COLORS
1230.113 Suspension or termination of IRB
Gold ................................ 65021 (old gold).
approval of research.
Dark Blue ....................... 70076 (independence
blue). 1230.114 Cooperative research.
Blue ................................ 65014 (light blue). 1230.115 IRB records.
Red ................................. 65006 (scarlet). 1230.116 General requirements for informed
White .............................. 65005. consent.
1230.117 Documentation of informed con-
SYMBOLISM
sent.
The scarlet center line on the white band 1230.118 Applications and proposals lacking
symbolizes the courage of the astronauts in definite plans for involvement of human
the nation’s manned space program and the subjects.
fire power of rockets that carry the crew 1230.119 Research undertaken without the
through the earth’s atmosphere (light blue); intention of involving human subjects.
132
1230.120 Evaluation and disposition of appli- or all of the requirements of this pol-
cations and proposals for research to be icy.
conducted or supported by a Federal de- (e) Compliance with this policy re-
partment or agency.
quires compliance with pertinent fed-
1230.121 [Reserved]
eral laws or regulations that provide
1230.122 Use of Federal funds.
additional protections for human sub-
1230.123 Early termination of research sup-
port: Evaluation of applications and pro-
jects.
posals. (f) This policy does not affect any
1230.124 Conditions. state or local laws or regulations (in-
cluding tribal law passed by the official
AUTHORITY: 5 U.S.C. 301;42 U.S.C. 300v–1(b). governing body of an American Indian
SOURCE: 82 FR 7270, Jan. 19, 2017, unless or Alaska Native tribe) that may oth-
otherwise noted. erwise be applicable and that provide
additional protections for human sub-
§ 1230.101 To what does this policy jects.
apply? (g) This policy does not affect any
(a) Except as detailed in § 1230.104, foreign laws or regulations that may
this policy applies to all research in- otherwise be applicable and that pro-
volving human subjects conducted, vide additional protections to human
supported, or otherwise subject to reg- subjects of research.
ulation by any Federal department or (h) When research covered by this
agency that takes appropriate adminis- policy takes place in foreign countries,
trative action to make the policy ap- procedures normally followed in the
plicable to such research. This includes foreign countries to protect human
research conducted by Federal civilian subjects may differ from those set
employees or military personnel, ex- forth in this policy. In these cir-
cept that each department or agency cumstances, if a department or agency
head may adopt such procedural modi- head determines that the procedures
fications as may be appropriate from prescribed by the institution afford
an administrative standpoint. It also protections that are at least equivalent
includes research conducted, sup- to those provided in this policy, the de-
ported, or otherwise subject to regula- partment or agency head may approve
tion by the Federal Government out- the substitution of the foreign proce-
side the United States. Institutions dures in lieu of the procedural require-
that are engaged in research described ments provided in this policy. Except
in this paragraph and institutional re- when otherwise required by statute,
view boards (IRBs) reviewing research Executive Order, or the department or
that is subject to this policy must com- agency head, notices of these actions
ply with this policy. as they occur will be published in the
(b) [Reserved] FEDERAL REGISTER or will be otherwise
(c) Department or agency heads re- published as provided in department or
tain final judgment as to whether a agency procedures.
particular activity is covered by this (i) Unless otherwise required by law,
policy and this judgment shall be exer- department or agency heads may waive
cised consistent with the ethical prin- the applicability of some or all of the
ciples of the Belmont Report.62 provisions of this policy to specific re-
(d) Department or agency heads may search activities or classes of research
require that specific research activities activities otherwise covered by this
or classes of research activities con- policy, provided the alternative proce-
ducted, supported, or otherwise subject dures to be followed are consistent
to regulation by the Federal depart- with the principles of the Belmont Re-
ment or agency but not otherwise cov- port.63 Except when otherwise required
ered by this policy comply with some by statute or Executive Order, the de-
partment or agency head shall forward
62 The National Commission for the Protec-
advance notices of these actions to the
Office for Human Research Protec-
tion of Human Subjects of Biomedical and
Behavioral Research.– Belmont Report. tions, Department of Health and
Washington, DC: U.S. Department of Health
and Human Services. 1979. 63 Id.
133
§ 1230.101 14 CFR Ch. V (1–1–21 Edition)
Human Services (HHS), or any suc- 2018 Requirements before January 21,
cessor office, or to the equivalent office 2019.
within the appropriate Federal depart- (4) Transitioning research. If, on or
ment or agency, and shall also publish after July 19, 2018, an institution plan-
them in the FEDERAL REGISTER or in ning or engaged in research otherwise
such other manner as provided in de- covered by paragraph (l)(3) of this sec-
partment or agency procedures. The tion determines that such research in-
waiver notice must include a state- stead will transition to comply with
ment that identifies the conditions the 2018 Requirements, the institution
under which the waiver will be applied or an IRB must document and date
and a justification as to why the waiv- such determination.
er is appropriate for the research, in- (i) If the determination to transition
cluding how the decision is consistent is documented between July 19, 2018,
with the principles of the Belmont Re- and January 20, 2019, the research
port. shall:
(j) Federal guidance on the require- (A) Beginning on the date of such
ments of this policy shall be issued documentation through January 20,
only after consultation, for the purpose 2019, comply with the pre-2018 Require-
of harmonization (to the extent appro- ments, except that the research shall
priate), with other Federal depart- comply with the following:
ments and agencies that have adopted (1) Section 1230.102(l) of the 2018 Re-
this policy, unless such consultation is quirements (definition of research) (in-
not feasible. stead of § 1230.102(d) of the pre-2018 Re-
(k) [Reserved] quirements);
(2) Section 1230.103(d) of the 2018 Re-
(l) Compliance dates and transition
quirements (revised certification re-
provisions:
quirement that eliminates IRB review
(1) Pre-2018 Requirements. For pur- of application or proposal) (instead of
poses of this section, the pre-2018 Re- § 1230.103(f) of the pre-2018 Require-
quirements means this subpart as pub- ments); and
lished in the 2016 edition of the Code of (3) Section 1230.109(f)(1)(i) and (iii) of
Federal Regulations. the 2018 Requirements (exceptions to
(2) 2018 Requirements. For purposes of mandated continuing review) (instead
this section, the 2018 Requirements of § 1230.103(b), as related to the re-
means the Federal Policy for the Pro- quirement for continuing review, and
tection of Human Subjects require- in addition to § 1230.109, of the pre-2018
ments contained in this part. The gen- Requirements); and
eral compliance date for the 2018 Re- (B) Beginning on January 21, 2019,
quirements is January 21, 2019. The comply with the 2018 Requirements.
compliance date for § 1230.114(b) (coop- (ii) If the determination to transition
erative research) of the 2018 Require- is documented on or after January 21,
ments is January 20, 2020. 2019, the research shall, beginning on
(3) Research subject to pre-2018 require- the date of such documentation, com-
ments. The pre-2018 Requirements shall ply with the 2018 Requirements.
apply to the following research, unless (5) Research subject to 2018 Require-
the research is transitioning to comply ments. The 2018 Requirements shall
with the 2018 Requirements in accord- apply to the following research:
ance with paragraph (l)(4) of this sec- (i) Research initially approved by an
tion: IRB on or after January 21, 2019;
(i) Research initially approved by an (ii) Research for which IRB review is
IRB under the pre-2018 Requirements waived pursuant to paragraph (i) of
before January 21, 2019; this section on or after January 21,
(ii) Research for which IRB review 2019; and
was waived pursuant to § 1230.101(i) of (iii) Research for which a determina-
the pre-2018 Requirements before Janu- tion is made that the research is ex-
ary 21, 2019; and empt on or after January 21, 2019.
(iii) Research for which a determina- (m) Severability: Any provision of
tion was made that the research was this part held to be invalid or unen-
exempt under § 1230.101(b) of the pre- forceable by its terms, or as applied to
134
any person or circumstance, shall be (i) Obtains information or biospeci-

construed so as to continue to give mens through intervention or inter-
maximum effect to the provision per- action with the individual, and uses,
mitted by law, unless such holding studies, or analyzes the information or
shall be one of utter invalidity or unen- biospecimens; or (ii) Obtains, uses,
forceability, in which event the provi- studies, analyzes, or generates identifi-
sion shall be severable from this part able private information or identifiable
and shall not affect the remainder biospecimens.
thereof or the application of the provi- (2) Intervention includes both physical
sion to other persons not similarly sit- procedures by which information or
uated or to other dissimilar cir- biospecimens are gathered (e.g.,
cumstances. venipuncture) and manipulations of the
[82 FR 7270, Jan. 19, 2017, as amended at 83 subject or the subject’s environment
FR 2891, Jan. 22, 2018; 83 FR 28511, June 19, that are performed for research pur-
2018] poses.
(3) Interaction includes communica-
§ 1230.102 Definitions for purposes of tion or interpersonal contact between
this policy.
investigator and subject.
(a) Certification means the official no- (4) Private information includes infor-
tification by the institution to the sup- mation about behavior that occurs in a
porting Federal department or agency context in which an individual can rea-
component, in accordance with the re- sonably expect that no observation or
quirements of this policy, that a re- recording is taking place, and informa-
search project or activity involving tion that has been provided for specific
human subjects has been reviewed and purposes by an individual and that the
approved by an IRB in accordance with individual can reasonably expect will
an approved assurance. not be made public (e.g., a medical
(b) Clinical trial means a research
record).
study in which one or more human sub-
(5) Identifiable private information is
jects are prospectively assigned to one
or more interventions (which may in- private information for which the iden-
clude placebo or other control) to tity of the subject is or may readily be
evaluate the effects of the interven- ascertained by the investigator or asso-
tions on biomedical or behavioral ciated with the information.
health-related outcomes. (6) An identifiable biospecimen is a bio-
(c) Department or agency head means specimen for which the identity of the
the head of any Federal department or subject is or may readily be
agency, for example, the Secretary of ascertained by the investigator or asso-
HHS, and any other officer or employee ciated with the biospecimen.
of any Federal department or agency (7) Federal departments or agencies
to whom the authority provided by implementing this policy shall:
these regulations to the department or (i) Upon consultation with appro-
agency head has been delegated. priate experts (including experts in
(d) Federal department or agency refers data matching and re-identification),
to a federal department or agency (the reexamine the meaning of ‘‘identifiable
department or agency itself rather private information,’’ as defined in
than its bureaus, offices or divisions) paragraph (e)(5) of this section, and
that takes appropriate administrative ‘‘identifiable biospecimen,’’ as defined
action to make this policy applicable in paragraph (e)(6) of this section. This
to the research involving human sub- reexamination shall take place within
jects it conducts, supports, or other- 1 year and regularly thereafter (at
wise regulates (e.g., the U.S. Depart- least every 4 years). This process will
ment of Health and Human Services, be conducted by collaboration among
the U.S. Department of Defense, or the the Federal departments and agencies
Central Intelligence Agency). implementing this policy. If appro-
(e)(1) Human subject means a living priate and permitted by law, such Fed-
individual about whom an investigator eral departments and agencies may
(whether professional or student) con- alter the interpretation of these terms,
ducting research: including through the use of guidance.
135
§ 1230.102 14 CFR Ch. V (1–1–21 Edition)
(ii) Upon consultation with appro- life or during the performance of rou-
priate experts, assess whether there are tine physical or psychological exami-
analytic technologies or techniques nations or tests.
that should be considered by investiga- (k) Public health authority means an
tors to generate ‘‘identifiable private agency or authority of the United
information,’’ as defined in paragraph States, a state, a territory, a political
(e)(5) of this section, or an ‘‘identifi- subdivision of a state or territory, an
able biospecimen,’’ as defined in para- Indian tribe, or a foreign government,
graph (e)(6) of this section. This assess- or a person or entity acting under a
ment shall take place within 1 year and grant of authority from or contract
regularly thereafter (at least every 4 with such public agency, including the
years). This process will be conducted employees or agents of such public
by collaboration among the Federal de- agency or its contractors or persons or
partments and agencies implementing entities to whom it has granted au-
this policy. Any such technologies or thority, that is responsible for public
techniques will be included on a list of health matters as part of its official
technologies or techniques that mandate.
produce identifiable private informa- (l) Research means a systematic in-
tion or identifiable biospecimens. This vestigation, including research devel-
list will be published in the FEDERAL opment, testing, and evaluation, de-
REGISTER after notice and an oppor- signed to develop or contribute to gen-
tunity for public comment. The Sec- eralizable knowledge. Activities that
retary, HHS, shall maintain the list on meet this definition constitute re-
a publicly accessible Web site. search for purposes of this policy,
(f) Institution means any public or whether or not they are conducted or
private entity, or department or agen- supported under a program that is con-
cy (including federal, state, and other sidered research for other purposes.
agencies). For example, some demonstration and
(g) IRB means an institutional review service programs may include research
board established in accord with and activities. For purposes of this part,
for the purposes expressed in this pol- the following activities are deemed not
icy. to be research:
(h) IRB approval means the deter- (1) Scholarly and journalistic activi-
mination of the IRB that the research ties (e.g., oral history, journalism, bi-
has been reviewed and may be con- ography, literary criticism, legal re-
ducted at an institution within the search, and historical scholarship), in-
constraints set forth by the IRB and by cluding the collection and use of infor-
other institutional and federal require- mation, that focus directly on the spe-
ments. cific individuals about whom the infor-
(i) Legally authorized representative mation is collected.
means an individual or judicial or (2) Public health surveillance activi-
other body authorized under applicable ties, including the collection and test-
law to consent on behalf of a prospec- ing of information or biospecimens,
tive subject to the subject’s participa- conducted, supported, requested, or-
tion in the procedure(s) involved in the dered, required, or authorized by a pub-
research. If there is no applicable law lic health authority. Such activities
addressing this issue, legally authorized are limited to those necessary to allow
representative means an individual rec- a public health authority to identify,
ognized by institutional policy as ac- monitor, assess, or investigate poten-
ceptable for providing consent in the tial public health signals, onsets of dis-
nonresearch context on behalf of the ease outbreaks, or conditions of public
prospective subject to the subject’s health importance (including trends,
participation in the procedure(s) in- signals, risk factors, patterns in dis-
volved in the research. eases, or increases in injuries from
(j) Minimal risk means that the prob- using consumer products). Such activi-
ability and magnitude of harm or dis- ties include those associated with pro-
comfort anticipated in the research are viding timely situational awareness
not greater in and of themselves than and priority setting during the course
those ordinarily encountered in daily of an event or crisis that threatens
136
public health (including natural or (b) The assurance shall be executed

man-made disasters). by an individual authorized to act for
(3) Collection and analysis of infor- the institution and to assume on behalf
mation, biospecimens, or records by or of the institution the obligations im-
for a criminal justice agency for activi- posed by this policy and shall be filed
ties authorized by law or court order in such form and manner as the depart-
solely for criminal justice or criminal ment or agency head prescribes.
investigative purposes. (c) The department or agency head
(4) Authorized operational activities may limit the period during which any
(as determined by each agency) in sup- assurance shall remain effective or
port of intelligence, homeland secu- otherwise condition or restrict the as-
rity, defense, or other national secu- surance.
rity missions.
(d) Certification is required when the
(m) Written, or in writing, for purposes
research is supported by a Federal de-
of this part, refers to writing on a tan-
gible medium (e.g., paper) or in an elec- partment or agency and not otherwise
tronic format. waived under § 1230.101(i) or exempted
under § 1230.104. For such research, in-
§ 1230.103 Assuring compliance with stitutions shall certify that each pro-
this policy—research conducted or posed research study covered by the as-
supported by any Federal depart- surance and this section has been re-
ment or agency. viewed and approved by the IRB. Such
(a) Each institution engaged in re- certification must be submitted as pre-
search that is covered by this policy, scribed by the Federal department or
with the exception of research eligible agency component supporting the re-
for exemption under § 1230.104, and that search. Under no condition shall re-
is conducted or supported by a Federal search covered by this section be initi-
department or agency, shall provide ated prior to receipt of the certifi-
written assurance satisfactory to the cation that the research has been re-
department or agency head that it will viewed and approved by the IRB.
comply with the requirements of this (e) For nonexempt research involving
policy. In lieu of requiring submission
human subjects covered by this policy
of an assurance, individual department
(or exempt research for which limited
or agency heads shall accept the exist-
ence of a current assurance, appro- IRB review takes place pursuant to
priate for the research in question, on § 1230.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7)
file with the Office for Human Re- or (8)) that takes place at an institu-
search Protections, HHS, or any suc- tion in which IRB oversight is con-
cessor office, and approved for Federal- ducted by an IRB that is not operated
wide use by that office. When the exist- by the institution, the institution and
ence of an HHS-approved assurance is the organization operating the IRB
accepted in lieu of requiring submis- shall document the institution’s reli-
sion of an assurance, reports (except ance on the IRB for oversight of the re-
certification) required by this policy to search and the responsibilities that
be made to department and agency each entity will undertake to ensure
heads shall also be made to the Office compliance with the requirements of
for Human Research Protections, HHS, this policy (e.g., in a written agreement
or any successor office. Federal depart- between the institution and the IRB,
ments and agencies will conduct or by implementation of an institution-
support research covered by this policy wide policy directive providing the al-
only if the institution has provided an location of responsibilities between the
assurance that it will comply with the institution and an IRB that is not af-
requirements of this policy, as provided filiated with the institution, or as set
in this section, and only if the institu- forth in a research protocol).
tion has certified to the department or
agency head that the research has been (Approved by the Office of Management and
reviewed and approved by an IRB (if Budget under Control Number 0990–0260)
such certification is required by
§ 1230.103(d)).
137
§ 1230.104 14 CFR Ch. V (1–1–21 Edition)
§ 1230.104 Exempt research. instructional techniques, curricula, or

(a) Unless otherwise required by law classroom management methods.
or by department or agency heads, re- (2) Research that only includes inter-
search activities in which the only in- actions involving educational tests
volvement of human subjects will be in (cognitive, diagnostic, aptitude,
one or more of the categories in para- achievement), survey procedures,
graph (d) of this section are exempt interview procedures, or observation of
from the requirements of this policy, public behavior (including visual or au-
except that such activities must com- ditory recording) if at least one of the
ply with the requirements of this sec- following criteria is met:
tion and as specified in each category. (i) The information obtained is re-
(b) Use of the exemption categories corded by the investigator in such a
for research subject to the require- manner that the identity of the human
ments of subparts B, C, and D: Applica- subjects cannot readily be ascertained,
tion of the exemption categories to re- directly or through identifiers linked
search subject to the requirements of to the subjects;
45 CFR part 46, subparts B, C, and D, is (ii) Any disclosure of the human sub-
as follows: jects’ responses outside the research
(1) Subpart B. Each of the exemptions would not reasonably place the sub-
at this section may be applied to re- jects at risk of criminal or civil liabil-
search subject to subpart B if the con- ity or be damaging to the subjects’ fi-
ditions of the exemption are met. nancial standing, employability, edu-
(2) Subpart C. The exemptions at this cational advancement, or reputation;
section do not apply to research sub- or
ject to subpart C, except for research (iii) The information obtained is re-
aimed at involving a broader subject corded by the investigator in such a
population that only incidentally in- manner that the identity of the human
cludes prisoners. subjects can readily be ascertained, di-
(3) Subpart D. The exemptions at rectly or through identifiers linked to
paragraphs (d)(1), (4), (5), (6), (7), and (8) the subjects, and an IRB conducts a
of this section may be applied to re- limited IRB review to make the deter-
search subject to subpart D if the con- mination required by § 1230.111(a)(7).
ditions of the exemption are met. Para- (3)(i) Research involving benign be-
graphs (d)(2)(i) and (ii) of this section havioral interventions in conjunction
only may apply to research subject to with the collection of information from
subpart D involving educational tests an adult subject through verbal or
or the observation of public behavior written responses (including data
when the investigator(s) do not partici- entry) or audiovisual recording if the
pate in the activities being observed. subject prospectively agrees to the
Paragraph (d)(2)(iii) of this section intervention and information collec-
may not be applied to research subject tion and at least one of the following
to subpart D. criteria is met:
(c) [Reserved] (A) The information obtained is re-
(d) Except as described in paragraph corded by the investigator in such a
(a) of this section, the following cat- manner that the identity of the human
egories of human subjects research are subjects cannot readily be ascertained,
exempt from this policy: directly or through identifiers linked
(1) Research, conducted in estab- to the subjects;
lished or commonly accepted edu- (B) Any disclosure of the human sub-
cational settings, that specifically in- jects’ responses outside the research
volves normal educational practices would not reasonably place the sub-
that are not likely to adversely impact jects at risk of criminal or civil liabil-
students’ opportunity to learn required ity or be damaging to the subjects’ fi-
educational content or the assessment nancial standing, employability, edu-
of educators who provide instruction. cational advancement, or reputation;
This includes most research on regular or
and special education instructional (C) The information obtained is re-
strategies, and research on the effec- corded by the investigator in such a
tiveness of or the comparison among manner that the identity of the human
138
subjects can readily be ascertained, di- 45 CFR 164.501 or for ‘‘public health ac-
rectly or through identifiers linked to tivities and purposes’’ as described
the subjects, and an IRB conducts a under 45 CFR 164.512(b); or
limited IRB review to make the deter- (iv) The research is conducted by, or
mination required by § 1230.111(a)(7). on behalf of, a Federal department or
(ii) For the purpose of this provision, agency using government-generated or
benign behavioral interventions are government-collected information ob-
brief in duration, harmless, painless, tained for nonresearch activities, if the
not physically invasive, not likely to research generates identifiable private
have a significant adverse lasting im- information that is or will be main-
pact on the subjects, and the investi- tained on information technology that
gator has no reason to think the sub- is subject to and in compliance with
jects will find the interventions offen- section 208(b) of the E-Government Act
sive or embarrassing. Provided all such of 2002, 44 U.S.C. 3501 note, if all of the
criteria are met, examples of such be- identifiable private information col-
nign behavioral interventions would in- lected, used, or generated as part of the
clude having the subjects play an on- activity will be maintained in systems
line game, having them solve puzzles of records subject to the Privacy Act of
under various noise conditions, or hav- 1974, 5 U.S.C. 552a, and, if applicable,
ing them decide how to allocate a the information used in the research
nominal amount of received cash be- was collected subject to the Paperwork
tween themselves and someone else. Reduction Act of 1995, 44 U.S.C. 3501 et
(iii) If the research involves deceiv- seq.
ing the subjects regarding the nature (5) Research and demonstration
or purposes of the research, this ex- projects that are conducted or sup-
emption is not applicable unless the ported by a Federal department or
subject authorizes the deception agency, or otherwise subject to the ap-
through a prospective agreement to proval of department or agency heads
participate in research in cir- (or the approval of the heads of bureaus
cumstances in which the subject is in- or other subordinate agencies that
formed that he or she will be unaware have been delegated authority to con-
of or misled regarding the nature or duct the research and demonstration
purposes of the research. projects), and that are designed to
(4) Secondary research for which con- study, evaluate, improve, or otherwise
sent is not required: Secondary reexamine public benefit or service pro-
search uses of identifiable private in- grams, including procedures for obtain-
formation or identifiable biospecimens, ing benefits or services under those
if at least one of the following criteria programs, possible changes in or alter-
is met: natives to those programs or proce-
(i) The identifiable private informa- dures, or possible changes in methods
tion or identifiable biospecimens are or levels of payment for benefits or
publicly available; services under those programs. Such
(ii) Information, which may include projects include, but are not limited to,
information about biospecimens, is re- internal studies by Federal employees,
corded by the investigator in such a and studies under contracts or con-
manner that the identity of the human sulting arrangements, cooperative
subjects cannot readily be ascertained agreements, or grants. Exempt projects
directly or through identifiers linked also include waivers of otherwise man-
to the subjects, the investigator does datory requirements using authorities
not contact the subjects, and the inves- such as sections 1115 and 1115A of the
tigator will not re-identify subjects; Social Security Act, as amended.
(iii) The research involves only infor- (i) Each Federal department or agen-
mation collection and analysis involv- cy conducting or supporting the re-
ing the investigator’s use of identifi- search and demonstration projects
able health information when that use must establish, on a publicly accessible
is regulated under 45 CFR parts 160 and Federal Web site or in such other man-
164, subparts A and E, for the purposes ner as the department or agency head
of ‘‘health care operations’’ or ‘‘re- may determine, a list of the research
search’’ as those terms are defined at and demonstration projects that the
139
§§ 1230.105–1230.106 14 CFR Ch. V (1–1–21 Edition)
Federal department or agency conducts from abiding by any legal requirements

or supports under this provision. The to return individual research results.
research or demonstration project (Approved by the Office of Management and
must be published on this list prior to Budget under Control Number 0990–0260)
commencing the research involving
human subjects. §§ 1230.105–1230.106 [Reserved]
(ii) [Reserved]
(6) Taste and food quality evaluation § 1230.107 IRB membership.
and consumer acceptance studies: (a) Each IRB shall have at least five
(i) If wholesome foods without addi- members, with varying backgrounds to
tives are consumed, or promote complete and adequate review
(ii) If a food is consumed that con- of research activities commonly con-
tains a food ingredient at or below the ducted by the institution. The IRB
level and for a use found to be safe, or shall be sufficiently qualified through
agricultural chemical or environ- the experience and expertise of its
mental contaminant at or below the members (professional competence),
level found to be safe, by the Food and and the diversity of its members, in-
Drug Administration or approved by cluding race, gender, and cultural
the Environmental Protection Agency backgrounds and sensitivity to such
or the Food Safety and Inspection issues as community attitudes, to pro-
Service of the U.S. Department of Agri- mote respect for its advice and counsel
culture. in safeguarding the rights and welfare
(7) Storage or maintenance for sec- of human subjects. The IRB shall be
ondary research for which broad con- able to ascertain the acceptability of
sent is required: Storage or mainte- proposed research in terms of institu-
nance of identifiable private informational commitments (including policies
tion or identifiable biospecimens for and resources) and regulations, appli-
potential secondary research use if an cable law, and standards of professional
IRB conducts a limited IRB review and conduct and practice. The IRB shall
makes the determinations required by therefore include persons knowledge-
§ 1230.111(a)(8). able in these areas. If an IRB regularly
(8) Secondary research for which reviews research that involves a cat-
broad consent is required: Research in- egory of subjects that is vulnerable to
volving the use of identifiable private coercion or undue influence, such as
information or identifiable biospeci- children, prisoners, individuals with
mens for secondary research use, if the impaired decision-making capacity, or
following criteria are met: economically or educationally dis-
(i) Broad consent for the storage, advantaged persons, consideration
maintenance, and secondary research shall be given to the inclusion of one or
use of the identifiable private informa- more individuals who are knowledge-
tion or identifiable biospecimens was able about and experienced in working
obtained in accordance with with these categories of subjects.
§ 1230.116(a)(1) through (4), (a)(6), and (b) Each IRB shall include at least
(d); one member whose primary concerns
(ii) Documentation of informed con- are in scientific areas and at least one
sent or waiver of documentation of member whose primary concerns are in
consent was obtained in accordance nonscientific areas.
with § 1230.117; (c) Each IRB shall include at least
(iii) An IRB conducts a limited IRB one member who is not otherwise affili-
review and makes the determination ated with the institution and who is
required by § 1230.111(a)(7) and makes not part of the immediate family of a
the determination that the research to person who is affiliated with the insti-
be conducted is within the scope of the tution.
broad consent referenced in paragraph (d) No IRB may have a member par-
(d)(8)(i) of this section; and (iv) The in- ticipate in the IRB’s initial or con-
vestigator does not include returning tinuing review of any project in which
individual research results to subjects the member has a conflicting interest,
as part of the study plan. This provi- except to provide information re-
sion does not prevent an investigator quested by the IRB.
140
(e) An IRB may, in its discretion, in- within the appropriate Federal depart-
vite individuals with competence in ment or agency of
special areas to assist in the review of (i) Any unanticipated problems in-
issues that require expertise beyond or volving risks to subjects or others or
in addition to that available on the any serious or continuing noncompli-
IRB. These individuals may not vote ance with this policy or the require-
with the IRB. ments or determinations of the IRB;
and
§ 1230.108 IRB functions and oper- (ii) Any suspension or termination of
ations. IRB approval.
(a) In order to fulfill the require- (b) Except when an expedited review
ments of this policy each IRB shall: procedure is used (as described in
(1) Have access to meeting space and § 1230.110), an IRB must review proposed
sufficient staff to support the IRB’s re- research at convened meetings at
view and recordkeeping duties; which a majority of the members of the
(2) Prepare and maintain a current IRB are present, including at least one
list of the IRB members identified by member whose primary concerns are in
name; earned degrees; representative nonscientific areas. In order for the re-
capacity; indications of experience search to be approved, it shall receive
such as board certifications or licenses the approval of a majority of those
sufficient to describe each member’s members present at the meeting.
chief anticipated contributions to IRB (Approved by the Office of Management and
deliberations; and any employment or Budget under Control Number 0990–0260)
other relationship between each mem-
ber and the institution, for example, § 1230.109 IRB review of research.
full-time employee, part-time em- (a) An IRB shall review and have au-
ployee, member of governing panel or thority to approve, require modifica-
board, stockholder, paid or unpaid con- tions in (to secure approval), or dis-
sultant; approve all research activities covered
(3) Establish and follow written pro- by this policy, including exempt re-
cedures for: search activities under § 1230.104 for
(i) Conducting its initial and con- which limited IRB review is a condi-
tinuing review of research and for re- tion of exemption (under
porting its findings and actions to the § 1230.104(d)(2)(iii), (d)(3)(i)(C), and
investigator and the institution; (d)(7), and (8)).
(ii) Determining which projects re- (b) An IRB shall require that infor-
quire review more often than annually mation given to subjects (or legally au-
and which projects need verification thorized representatives, when appro-
from sources other than the investiga- priate) as part of informed consent is
tors that no material changes have oc- in accordance with § 1230.116. The IRB
curred since previous IRB review; and may require that information, in addi-
(iii) Ensuring prompt reporting to tion to that specifically mentioned in
the IRB of proposed changes in a re- § 1230.116, be given to the subjects when
search activity, and for ensuring that in the IRB’s judgment the information
investigators will conduct the research would meaningfully add to the protec-
activity in accordance with the terms tion of the rights and welfare of sub-
of the IRB approval until any proposed jects.
changes have been reviewed and ap- (c) An IRB shall require documenta-
proved by the IRB, except when nection of informed consent or may waive
essary to eliminate apparent imme- documentation in accordance with
diate hazards to the subject. § 1230.117.
(4) Establish and follow written pro- (d) An IRB shall notify investigators
cedures for ensuring prompt reporting and the institution in writing of its de-
to the IRB; appropriate institutional cision to approve or disapprove the pro-
officials; the department or agency posed research activity, or of modifica-
head; and the Office for Human Re- tions required to secure IRB approval
search Protections, HHS, or any suc- of the research activity. If the IRB de-
cessor office, or the equivalent office cides to disapprove a research activity,
141
§ 1230.110 14 CFR Ch. V (1–1–21 Edition)
it shall include in its written notifica- (b)(1) An IRB may use the expedited
tion a statement of the reasons for its review procedure to review the fol-
decision and give the investigator an lowing:
opportunity to respond in person or in (i) Some or all of the research ap-
writing. pearing on the list described in para-
(e) An IRB shall conduct continuing graph (a) of this section, unless the re-
review of research requiring review by viewer determines that the study in-
the convened IRB at intervals appro- volves more than minimal risk;
priate to the degree of risk, not less (ii) Minor changes in previously ap-
than once per year, except as described proved research during the period for
in § 1230.109(f). which approval is authorized; or
(f)(1) Unless an IRB determines oth- (iii) Research for which limited IRB
erwise, continuing review of research is review is a condition of exemption
not required in the following cir- under § 1230.104(d)(2)(iii), (d)(3)(i)(C),
cumstances: and (d)(7) and (8).
(i) Research eligible for expedited re- (2) Under an expedited review proce-
view in accordance with § 1230.110; dure, the review may be carried out by
(ii) Research reviewed by the IRB in the IRB chairperson or by one or more
accordance with the limited IRB re- experienced reviewers designated by
view described in § 1230.104(d)(2)(iii), the chairperson from among members
(d)(3)(i)(C), or (d)(7) or (8); of the IRB. In reviewing the research,
the reviewers may exercise all of the
(iii) Research that has progressed to
authorities of the IRB except that the
the point that it involves only one or
reviewers may not disapprove the re-
both of the following, which are part of
search. A research activity may be dis-
the IRB-approved study:
approved only after review in accord-
(A) Data analysis, including analysis
ance with the nonexpedited procedure
of identifiable private information or
set forth in § 1230.108(b).
identifiable biospecimens, or
(c) Each IRB that uses an expedited
(B) Accessing follow-up clinical data review procedure shall adopt a method
from procedures that subjects would for keeping all members advised of re-
undergo as part of clinical care. search proposals that have been ap-
(2) [Reserved] proved under the procedure.
(g) An IRB shall have authority to (d) The department or agency head
observe or have a third party observe may restrict, suspend, terminate, or
the consent process and the research. choose not to authorize an institu-
(Approved by the Office of Management and tion’s or IRB’s use of the expedited re-
Budget under Control Number 0990–0260) view procedure.
§ 1230.110 Expedited review proce- § 1230.111 Criteria for IRB approval of

dures for certain kinds of research research.
involving no more than minimal (a) In order to approve research cov-
risk, and for minor changes in ap- ered by this policy the IRB shall deter-
proved research. mine that all of the following require-
(a) The Secretary of HHS has estab- ments are satisfied:
lished, and published as a Notice in the (1) Risks to subjects are minimized:
FEDERAL REGISTER, a list of categories (i) By using procedures that are con-
of research that may be reviewed by sistent with sound research design and
the IRB through an expedited review that do not unnecessarily expose sub-
procedure. The Secretary will evaluate jects to risk, and
the list at least every 8 years and (ii) Whenever appropriate, by using
amend it, as appropriate, after con- procedures already being performed on
sultation with other federal depart- the subjects for diagnostic or treat-
ments and agencies and after publica- ment purposes.
tion in the FEDERAL REGISTER for pub- (2) Risks to subjects are reasonable
lic comment. A copy of the list is in relation to anticipated benefits, if
available from the Office for Human any, to subjects, and the importance of
Research Protections, HHS, or any suc- the knowledge that may reasonably be
cessor office. expected to result. In evaluating risks
142
and benefits, the IRB should consider (i) Broad consent for storage, mainte-
only those risks and benefits that may nance, and secondary research use of
result from the research (as distin- identifiable private information or
guished from risks and benefits of identifiable biospecimens is obtained in
therapies subjects would receive even if accordance with the requirements of
not participating in the research). The § 1230.116(a)(1)–(4), (a)(6), and (d);
IRB should not consider possible long- (ii) Broad consent is appropriately
range effects of applying knowledge documented or waiver of documenta-
gained in the research (e.g., the pos- tion is appropriate, in accordance with
sible effects of the research on public § 1230.117; and
policy) as among those research risks (iii) If there is a change made for re-
that fall within the purview of its research purposes in the way the identifi-
sponsibility. able private information or identifiable
(3) Selection of subjects is equitable. biospecimens are stored or maintained,
In making this assessment the IRB there are adequate provisions to pro-
should take into account the purposes tect the privacy of subjects and to
of the research and the setting in maintain the confidentiality of data.
which the research will be conducted. (b) When some or all of the subjects
The IRB should be particularly cog- are likely to be vulnerable to coercion
nizant of the special problems of re- or undue influence, such as children,
search that involves a category of sub- prisoners, individuals with impaired
jects who are vulnerable to coercion or decision-making capacity, or economi-
undue influence, such as children, pris- cally or educationally disadvantaged
oners, individuals with impaired deci- persons, additional safeguards have
sion-making capacity, or economically been included in the study to protect
or educationally disadvantaged per- the rights and welfare of these sub-
sons. jects.
(4) Informed consent will be sought § 1230.112 Review by Institution
from each prospective subject or the
subject’s legally authorized representa- Research covered by this policy that
tive, in accordance with, and to the ex- has been approved by an IRB may be
tent required by, § 1230.116. subject to further appropriate review
(5) Informed consent will be appro- and approval or disapproval by officials
priately documented or appropriately of the institution. However, those offi-
waived in accordance with § 1230.117. cials may not approve the research if it
(6) When appropriate, the research has not been approved by an IRB.
plan makes adequate provision for § 1230.113 Suspension or Termination
monitoring the data collected to en- of IRB Approval of Research.
sure the safety of subjects.
(7) When appropriate, there are ade- An IRB shall have authority to sus-
quate provisions to protect the privacy pend or terminate approval of research
of subjects and to maintain the con- that is not being conducted in accord-
fidentiality of data. ance with the IRB’s requirements or
(i) The Secretary of HHS will, after that has been associated with unex-
consultation with the Office of Man- pected serious harm to subjects. Any
agement and Budget’s privacy office suspension or termination of approval
and other Federal departments and shall include a statement of the rea-
agencies that have adopted this policy, sons for the IRB’s action and shall be
issue guidance to assist IRBs in assess- reported promptly to the investigator,
ing what provisions are adequate to appropriate institutional officials, and
protect the privacy of subjects and to the department or agency head.
maintain the confidentiality of data. (Approved by the Office of Management and
(ii) [Reserved] Budget under Control Number 0990–0260)
(8) For purposes of conducting the
limited IRB review required by § 1230.114 Cooperative Research.
§ 1230.104(d)(7)), the IRB need not make (a) Cooperative research projects are
the determinations at paragraphs (a)(1) those projects covered by this policy
through (7) of this section, and shall that involve more than one institution.
make the following determinations: In the conduct of cooperative research
143
§ 1230.115 14 CFR Ch. V (1–1–21 Edition)
projects, each institution is responsible (3) Records of continuing review ac-

for safeguarding the rights and welfare tivities, including the rationale for
of human subjects and for complying conducting continuing review of re-
with this policy. search that otherwise would not re-
(b)(1) Any institution located in the quire continuing review as described in
United States that is engaged in coop- § 1230.109(f)(1).
erative research must rely upon ap- (4) Copies of all correspondence be-
proval by a single IRB for that portion tween the IRB and the investigators.
of the research that is conducted in the (5) A list of IRB members in the same
United States. The reviewing IRB will detail as described in § 1230.108(a)(2).
be identified by the Federal depart- (6) Written procedures for the IRB in
ment or agency supporting or con- the same detail as described in
ducting the research or proposed by the § 1230.108(a)(3) and (4).
lead institution subject to the accept- (7) Statements of significant new
ance of the Federal department or findings provided to subjects, as re-
agency supporting the research. quired by § 1230.116(c)(5).
(2) The following research is not sub- (8) The rationale for an expedited re-
ject to this provision: viewer’s determination under
(i) Cooperative research for which § 1230.110(b)(1)(i) that research appear-
more than single IRB review is re- ing on the expedited review list de-
quired by law (including tribal law scribed in § 1230.110(a) is more than
passed by the official governing body of minimal risk.
an American Indian or Alaska Native (9) Documentation specifying the re-
tribe); or sponsibilities that an institution and
(ii) Research for which any Federal an organization operating an IRB each
department or agency supporting or will undertake to ensure compliance
conducting the research determines with the requirements of this policy, as
and documents that the use of a single described in § 1230.103(e).
IRB is not appropriate for the par- (b) The records required by this pol-
ticular context. icy shall be retained for at least 3
(c) For research not subject to para- years, and records relating to research
graph (b) of this section, an institution that is conducted shall be retained for
participating in a cooperative project at least 3 years after completion of the
may enter into a joint review arrange- research. The institution or IRB may
ment, rely on the review of another maintain the records in printed form,
IRB, or make similar arrangements for or electronically. All records shall be
avoiding duplication of effort. accessible for inspection and copying
by authorized representatives of the
§ 1230.115 IRB Records. Federal department or agency at rea-
(a) An institution, or when appro- sonable times and in a reasonable man-
priate an IRB, shall prepare and main- ner.
tain adequate documentation of IRB (Approved by the Office of Management and
activities, including the following: Budget under Control Number 0990–0260)
(1) Copies of all research proposals re-
viewed, scientific evaluations, if any, § 1230.116 General Requirements for
that accompany the proposals, ap- Informed Consent.
proved sample consent forms, progress (a) General. General requirements for
reports submitted by investigators, and informed consent, whether written or
reports of injuries to subjects. oral, are set forth in this paragraph
(2) Minutes of IRB meetings, which and apply to consent obtained in ac-
shall be in sufficient detail to show at- cordance with the requirements set
tendance at the meetings; actions forth in paragraphs (b) through (d) of
taken by the IRB; the vote on these ac- this section. Broad consent may be ob-
tions including the number of members tained in lieu of informed consent ob-
voting for, against, and abstaining; the tained in accordance with paragraphs
basis for requiring changes in or dis- (b) and (c) of this section only with re-
approving research; and a written sum- spect to the storage, maintenance, and
mary of the discussion of controverted secondary research uses of identifiable
issues and their resolution. private information and identifiable
144
biospecimens. Waiver or alteration of ized representative’s understanding of

consent in research involving public the reasons why one might or might
benefit and service programs conducted not want to participate.
by or subject to the approval of state (6) No informed consent may include
or local officials is described in para- any exculpatory language through
graph (e) of this section. General waiv- which the subject or the legally au-
er or alteration of informed consent is thorized representative is made to
described in paragraph (f) of this sec- waive or appear to waive any of the
tion. Except as provided elsewhere in subject’s legal rights, or releases or ap-
this policy: pears to release the investigator, the
(1) Before involving a human subject sponsor, the institution, or its agents
in research covered by this policy, an from liability for negligence.
investigator shall obtain the legally ef- (b) Basic elements of informed consent.
fective informed consent of the subject Except as provided in paragraph (d),
or the subject’s legally authorized rep- (e), or (f) of this section, in seeking in-
resentative. formed consent the following informa-
(2) An investigator shall seek in- tion shall be provided to each subject
formed consent only under cir- or the legally authorized representa-
cumstances that provide the prospective:
tive subject or the legally authorized (1) A statement that the study in-
representative sufficient opportunity volves research, an explanation of the
to discuss and consider whether or not purposes of the research and the ex-
to participate and that minimize the pected duration of the subject’s partici-
possibility of coercion or undue influ- pation, a description of the procedures
ence. to be followed, and identification of
(3) The information that is given to any procedures that are experimental;
the subject or the legally authorized
(2) A description of any reasonably
representative shall be in language un-
foreseeable risks or discomforts to the
derstandable to the subject or the le-
subject;
gally authorized representative.
(3) A description of any benefits to
(4) The prospective subject or the le-
the subject or to others that may rea-
gally authorized representative must
sonably be expected from the research;
be provided with the information that
a reasonable person would want to (4) A disclosure of appropriate alter-
have in order to make an informed de- native procedures or courses of treat-
cision about whether to participate, ment, if any, that might be advan-
and an opportunity to discuss that in- tageous to the subject;
formation. (5) A statement describing the ex-
(5) Except for broad consent obtained tent, if any, to which confidentiality of
in accordance with paragraph (d) of records identifying the subject will be
this section: maintained;
(i) Informed consent must begin with (6) For research involving more than
a concise and focused presentation of minimal risk, an explanation as to
the key information that is most likely whether any compensation and an ex-
to assist a prospective subject or le- planation as to whether any medical
gally authorized representative in un- treatments are available if injury oc-
derstanding the reasons why one might curs and, if so, what they consist of, or
or might not want to participate in the where further information may be ob-
research. This part of the informed tained;
consent must be organized and pre- (7) An explanation of whom to con-
sented in a way that facilitates com- tact for answers to pertinent questions
prehension. about the research and research sub-
(ii) Informed consent as a whole must jects’ rights, and whom to contact in
present information in sufficient detail the event of a research-related injury
relating to the research, and must be to the subject;
organized and presented in a way that (8) A statement that participation is
does not merely provide lists of iso- voluntary, refusal to participate will
lated facts, but rather facilitates the involve no penalty or loss of benefits to
prospective subject’s or legally author- which the subject is otherwise entitled,
145
§ 1230.116 14 CFR Ch. V (1–1–21 Edition)
and the subject may discontinue par- (7) A statement that the subject’s
ticipation at any time without penalty biospecimens (even if identifiers are re-
or loss of benefits to which the subject moved) may be used for commercial
is otherwise entitled; and profit and whether the subject will or
(9) One of the following statements will not share in this commercial prof-
about any research that involves the it;
collection of identifiable private infor- (8) A statement regarding whether
mation or identifiable biospecimens: clinically relevant research results, in-
(i) A statement that identifiers cluding individual research results,
might be removed from the identifiable will be disclosed to subjects, and if so,
private information or identifiable bio- under what conditions; and
specimens and that, after such re- (9) For research involving biospeci-
moval, the information or biospecimens, whether the research will (if
mens could be used for future research known) or might include whole genome
studies or distributed to another inves- sequencing (i.e., sequencing of a human
tigator for future research studies germline or somatic specimen with the
without additional informed consent intent to generate the genome or
from the subject or the legally author- exome sequence of that specimen).
ized representative, if this might be a (d) Elements of broad consent for the
possibility; or storage, maintenance, and secondary re-
(ii) A statement that the subject’s in- search use of identifiable private informa-
formation or biospecimens collected as tion or identifiable biospecimens. Broad
part of the research, even if identifiers consent for the storage, maintenance,
are removed, will not be used or dis- and secondary research use of identifi-
tributed for future research studies. able private information or identifiable
(c) Additional elements of informed con- biospecimens (collected for either re-
sent. Except as provided in paragraph search studies other than the proposed
(d), (e), or (f) of this section, one or research or nonresearch purposes) is
more of the following elements of in- permitted as an alternative to the in-
formation, when appropriate, shall also formed consent requirements in para-
be provided to each subject or the le- graphs (b) and (c) of this section. If the
gally authorized representative: subject or the legally authorized rep-
(1) A statement that the particular resentative is asked to provide broad
treatment or procedure may involve consent, the following shall be provided
risks to the subject (or to the embryo to each subject or the subject’s legally
or fetus, if the subject is or may be- authorized representative:
come pregnant) that are currently un- (1) The information required in para-
foreseeable; graphs (b)(2), (b)(3), (b)(5), and (b)(8)
(2) Anticipated circumstances under and, when appropriate, (c)(7) and (9) of
which the subject’s participation may this section;
be terminated by the investigator (2) A general description of the types
without regard to the subject’s or the of research that may be conducted with
legally authorized representative’s the identifiable private information or
consent; identifiable biospecimens. This descrip-
(3) Any additional costs to the sub- tion must include sufficient informa-
ject that may result from participation tion such that a reasonable person
in the research; would expect that the broad consent
(4) The consequences of a subject’s would permit the types of research con-
decision to withdraw from the research ducted;
and procedures for orderly termination (3) A description of the identifiable
of participation by the subject; private information or identifiable bio-
(5) A statement that significant new specimens that might be used in re-
findings developed during the course of search, whether sharing of identifiable
the research that may relate to the private information or identifiable bio-
subject’s willingness to continue par- specimens might occur, and the types
ticipation will be provided to the sub- of institutions or researchers that
ject; might conduct research with the iden-
(6) The approximate number of sub- tifiable private information or identifi-
jects involved in the study; able biospecimens;
146
(4) A description of the period of time alters some or all, of the elements of
that the identifiable private informa- informed consent set forth in para-
tion or identifiable biospecimens may graphs (b) and (c) of this section pro-
be stored and maintained (which period vided the IRB satisfies the require-
of time could be indefinite), and a de- ments of paragraph (e)(3) of this sec-
scription of the period of time that the tion. An IRB may not omit or alter any
identifiable private information or of the requirements described in para-
identifiable biospecimens may be used graph (a) of this section. If a broad con-
for research purposes (which period of sent procedure is used, an IRB may not
time could be indefinite); omit or alter any of the elements re-
(5) Unless the subject or legally au- quired under paragraph (d) of this sec-
thorized representative will be pro-
tion.
vided details about specific research
studies, a statement that they will not (3) Requirements for waiver and alter-
be informed of the details of any spe- ation. In order for an IRB to waive or
cific research studies that might be alter consent as described in this sub-
conducted using the subject’s identifi- section, the IRB must find and docu-
able private information or identifiable ment that:
biospecimens, including the purposes of (i) The research or demonstration
the research, and that they might have project is to be conducted by or subject
chosen not to consent to some of those to the approval of state or local gov-
specific research studies; ernment officials and is designed to
(6) Unless it is known that clinically study, evaluate, or otherwise examine:
relevant research results, including in- (A) Public benefit or service pro-
dividual research results, will be dis- grams;
closed to the subject in all cir- (B) Procedures for obtaining benefits
cumstances, a statement that such re- or services under those programs;
sults may not be disclosed to the sub- (C) Possible changes in or alter-
ject; and natives to those programs or proce-
(7) An explanation of whom to con-
dures; or
tact for answers to questions about the
subject’s rights and about storage and (D) Possible changes in methods or
use of the subject’s identifiable private levels of payment for benefits or serv-
information or identifiable biospeci- ices under those programs; and
mens, and whom to contact in the (ii) The research could not prac-
event of a research-related harm. ticably be carried out without the
(e) Waiver or alteration of consent in waiver or alteration.
research involving public benefit and serv- (f) General waiver or alteration of con-
ice programs conducted by or subject to sent—(1) Waiver. An IRB may waive the
the approval of state or local officials—(1) requirement to obtain informed con-
Waiver. An IRB may waive the require- sent for research under paragraphs (a)
ment to obtain informed consent for through (c) of this section, provided
research under paragraphs (a) through the IRB satisfies the requirements of
(c) of this section, provided the IRB paragraph (f)(3) of this section. If an in-
satisfies the requirements of paragraph dividual was asked to provide broad
(e)(3) of this section. If an individual consent for the storage, maintenance,
was asked to provide broad consent for and secondary research use of identifi-
the storage, maintenance, and sec- able private information or identifiable
ondary research use of identifiable pri- biospecimens in accordance with the
vate information or identifiable bio- requirements at paragraph (d) of this
specimens in accordance with the re-
section, and refused to consent, an IRB
quirements at paragraph (d) of this sec-
cannot waive consent for the storage,
tion, and refused to consent, an IRB
cannot waive consent for the storage, maintenance, or secondary research
maintenance, or secondary research use of the identifiable private informa-
use of the identifiable private information or identifiable biospecimens.
tion or identifiable biospecimens. (2) Alteration. An IRB may approve a
(2) Alteration. An IRB may approve a consent procedure that omits some, or
consent procedure that omits some, or alters some or all, of the elements of
147
§ 1230.117 14 CFR Ch. V (1–1–21 Edition)
informed consent set forth in para- informed consent form used to enroll
graphs (b) and (c) of this section pro- subjects must be posted by the awardee
vided the IRB satisfies the require- or the Federal department or agency
ments of paragraph (f)(3) of this sec- component conducting the trial on a
tion. An IRB may not omit or alter any publicly available Federal Web site
of the requirements described in para- that will be established as a repository
graph (a) of this section. If a broad con- for such informed consent forms.
sent procedure is used, an IRB may not (2) If the Federal department or agen-
omit or alter any of the elements re- cy supporting or conducting the clin-
quired under paragraph (d) of this sec- ical trial determines that certain infor-
tion.
mation should not be made publicly
(3) Requirements for waiver and alter-
available on a Federal Web site (e.g.
ation. In order for an IRB to waive or
alter consent as described in this sub- confidential commercial information),
section, the IRB must find and docu- such Federal department or agency
ment that: may permit or require redactions to
(i) The research involves no more the information posted.
than minimal risk to the subjects; (3) The informed consent form must
(ii) The research could not prac- be posted on the Federal Web site after
ticably be carried out without the re- the clinical trial is closed to recruit-
quested waiver or alteration; ment, and no later than 60 days after
(iii) If the research involves using the last study visit by any subject, as
identifiable private information or required by the protocol.
identifiable biospecimens, the research (i) Preemption. The informed consent
could not practicably be carried out requirements in this policy are not in-
without using such information or bio- tended to preempt any applicable Fed-
specimens in an identifiable format; eral, state, or local laws (including
(iv) The waiver or alteration will not tribal laws passed by the official gov-
adversely affect the rights and welfare erning body of an American Indian or
of the subjects; and Alaska Native tribe) that require addi-
(v) Whenever appropriate, the sub- tional information to be disclosed in
jects or legally authorized representa-
order for informed consent to be le-
tives will be provided with additional
gally effective.
pertinent information after participa-
tion. (j) Emergency medical care. Nothing in
(g) Screening, recruiting, or determining this policy is intended to limit the au-
eligibility. An IRB may approve a re- thority of a physician to provide emer-
search proposal in which an investi- gency medical care, to the extent the
gator will obtain information or bio- physician is permitted to do so under
specimens for the purpose of screening, applicable Federal, state, or local law
recruiting, or determining the eligi- (including tribal law passed by the offi-
bility of prospective subjects without cial governing body of an American In-
the informed consent of the prospective dian or Alaska Native tribe).
subject or the subject’s legally author-
(Approved by the Office of Management and
ized representative, if either of the fol- Budget under Control Number 0990–0260)
lowing conditions are met:
(1) The investigator will obtain infor- § 1230.117 Documentation of informed
mation through oral or written com- consent.
munication with the prospective sub-
ject or legally authorized representa- (a) Except as provided in paragraph
tive, or (c) of this section, informed consent
(2) The investigator will obtain iden- shall be documented by the use of a
tifiable private information or identifi- written informed consent form ap-
able biospecimens by accessing records proved by the IRB and signed (includ-
or stored identifiable biospecimens. ing in an electronic format) by the sub-
(h) Posting of clinical trial consent ject or the subject’s legally authorized
form. (1) For each clinical trial con- representative. A written copy shall be
ducted or supported by a Federal de- given to the person signing the in-
partment or agency, one IRB-approved formed consent form.
148
(b) Except as provided in paragraph which written consent is normally re-

(c) of this section, the informed con- quired outside of the research context;
sent form may be either of the fol- or
lowing: (iii) If the subjects or legally author-
(1) A written informed consent form ized representatives are members of a
that meets the requirements of distinct cultural group or community
§ 1230.116. The investigator shall give in which signing forms is not the norm,
either the subject or the subject’s le- that the research presents no more
gally authorized representative ade- than minimal risk of harm to subjects
quate opportunity to read the informed and provided there is an appropriate al-
consent form before it is signed; alter- ternative mechanism for documenting
natively, this form may be read to the that informed consent was obtained.
subject or the subject’s legally author- (2) In cases in which the documenta-
ized representative. tion requirement is waived, the IRB
(2) A short form written informed may require the investigator to provide
consent form stating that the elements subjects or legally authorized rep-
of informed consent required by resentatives with a written statement
§ 1230.116 have been presented orally to regarding the research.
the subject or the subject’s legally au- (Approved by the Office of Management and
thorized representative, and that the Budget under Control Number 0990–0260)
key information required by
§ 1230.116(a)(5)(i) was presented first to § 1230.118 Applications and proposals
the subject, before other information, lacking definite plans for involve-
if any, was provided. The IRB shall ap- ment of human subjects.
prove a written summary of what is to Certain types of applications for
be said to the subject or the legally au- grants, cooperative agreements, or con-
thorized representative. When this tracts are submitted to Federal depart-
method is used, there shall be a witness ments or agencies with the knowledge
to the oral presentation. Only the that subjects may be involved within
short form itself is to be signed by the the period of support, but definite
subject or the subject’s legally author- plans would not normally be set forth
ized representative. However, the wit- in the application or proposal. These
ness shall sign both the short form and include activities such as institutional
a copy of the summary, and the person type grants when selection of specific
actually obtaining consent shall sign a projects is the institution’s responsi-
copy of the summary. A copy of the bility; research training grants in
summary shall be given to the subject which the activities involving subjects
or the subject’s legally authorized rep- remain to be selected; and projects in
resentative, in addition to a copy of which human subjects’ involvement
the short form. will depend upon completion of instru-
(c)(1) An IRB may waive the requirements, prior animal studies, or purifi-
ment for the investigator to obtain a cation of compounds. Except for re-
signed informed consent form for some search waived under § 1230.101(i) or ex-
or all subjects if it finds any of the fol- empted under § 1230.104, no human sub-
lowing: jects may be involved in any project
(i) That the only record linking the supported by these awards until the
subject and the research would be the project has been reviewed and approved
informed consent form and the prin- by the IRB, as provided in this policy,
cipal risk would be potential harm re- and certification submitted, by the in-
sulting from a breach of confiden- stitution, to the Federal department or
tiality. Each subject (or legally author- agency component supporting the re-
ized representative) will be asked search.
whether the subject wants documenta-
tion linking the subject with the re- § 1230.119 Research undertaken with-
search, and the subject’s wishes will out the intention of involving
govern; human subjects.
(ii) That the research presents no Except for research waived under
more than minimal risk of harm to § 1230.101(i) or exempted under § 1230.104,
subjects and involves no procedures for in the event research is undertaken
149
§ 1230.120 14 CFR Ch. V (1–1–21 Edition)
without the intention of involving materially failed to comply with the

human subjects, but it is later pro- terms of this policy.
posed to involve human subjects in the (b) In making decisions about sup-
research, the research shall first be reporting or approving applications or
viewed and approved by an IRB, as pro- proposals covered by this policy the de-
vided in this policy, a certification sub- partment or agency head may take
mitted by the institution to the Fed- into account, in addition to all other
eral department or agency component eligibility requirements and program
supporting the research, and final ap- criteria, factors such as whether the
proval given to the proposed change by applicant has been subject to a termi-
the Federal department or agency com- nation or suspension under paragraph
ponent. (a) of this section and whether the ap-
plicant or the person or persons who
§ 1230.120 Evaluation and disposition would direct or has/have directed the
of applications and proposals for scientific and technical aspects of an
research to be conducted or sup- activity has/have, in the judgment of
ported by a Federal department or
agency. the department or agency head, mate-
rially failed to discharge responsibility
(a) The department or agency head for the protection of the rights and
will evaluate all applications and pro- welfare of human subjects (whether or
posals involving human subjects sub- not the research was subject to federal
mitted to the Federal department or regulation).
agency through such officers and em-
ployees of the Federal department or § 1230.124 Conditions.
agency and such experts and consult- With respect to any research project
ants as the department or agency head or any class of research projects the de-
determines to be appropriate. This partment or agency head of either the
evaluation will take into consideration conducting or the supporting Federal
the risks to the subjects, the adequacy department or agency may impose ad-
of protection against these risks, the ditional conditions prior to or at the
potential benefits of the research to time of approval when in the judgment
the subjects and others, and the impor- of the department or agency head addi-
tance of the knowledge gained or to be tional conditions are necessary for the
gained. protection of human subjects.
(b) On the basis of this evaluation,
the department or agency head may
approve or disapprove the application
PART 1232—CARE AND USE OF
or proposal, or enter into negotiations ANIMALS IN THE CONDUCT OF
to develop an approvable one. NASA ACTIVITIES
§ 1230.121 [Reserved] Sec.
1232.100 Scope.
§ 1230.122 Use of Federal funds. 1232.101 Applicability.
1232.102 Policy.
Federal funds administered by a Fed-
eral department or agency may not be AUTHORITY: 51 U.S.C. 20102, 51 U.S.C. 20113;
expended for research involving human Pub. L. 89–544, as amended; 7 U.S.C. 2131; 39
U.S.C. 3001; and Pub. L. 99–158, Sec. 495.
subjects unless the requirements of
this policy have been satisfied. SOURCE: 78 FR 76059, Dec. 16, 2014, unless
otherwise noted.
§ 1230.123 Early termination of re-
search support: Evaluation of appli- § 1232.100 Scope.
cations and proposals. This part establishes general policy
(a) The department or agency head for the care and use of vertebrate ani-
may require that Federal department mals in the conduct of NASA activi-
or agency support for any project be ties.
terminated or suspended in the manner
prescribed in applicable program re- § 1232.101 Applicability.
quirements, when the department or This part applies to NASA Head-
agency head finds an institution has quarters and NASA Centers, including
150
Component Facilities, and Technical 1240.109 Hearing procedure.

and Service Support Centers and will 1240.110 Recommendation to, and action by,
be followed in all activities using ani- the Administrator.
1240.111 Release.
mal subjects that are supported by
1240.112 Presentation of awards.
NASA and conducted in NASA facili- 1240.113 Financial accounting.
ties, aircraft, or spacecraft, or activi- 1240.114 Delegation of authority.
ties, using animal subject conducted
under a contract, grant, cooperative AUTHORITY: Section 20136 of the National
Aeronautics and Space Act (51 U.S.C. 20136),
agreement, memorandum of under- and the Federal Technology Transfer Act of
standing, or joint endeavor agreement 1986, sec. 12, 15 U.S.C. 3710b(1).
entered into by NASA and another
Government agency, private entity, SOURCE: 67 FR 31120, May 9, 2002, unless
otherwise noted.
non-Federal public entity, or foreign
entity which are included within the
scope of this part. Subpart 1—Awards for Scientific
and Technical Contributions
§ 1232.102 Policy.
It is the National Aeronautics and § 1240.100 Purpose.
Space Administration’s (NASA) policy This subpart prescribes procedures
to comply with the Animal Welfare Act for submitting applications for mone-
of 1966 (Pub. L. 89–544) which requires tary awards to the Administrator of
that minimum standards of care and NASA for scientific and technical con-
treatment be provided for certain ani- tributions which have significant value
mals bred for use in research. To imple- in the conduct of aeronautical and
ment the provisions of this Act, NASA space activities pursuant to 51 U.S.C.
promulgated the following internal 20136, and establishes the awards pro-
policies and requirements: gram consistent with the Federal Tech-
(a) NASA Policy Directive (NPD) nology Transfer Act of 1986, section 12,
8910.1, Care and Use of Animals, de- 15 U.S.C. 3710b(1).
scribes the policy and responsibilities
[77 FR 27366, May 10, 2012]
for conducting activities involving
vertebrate animals. NPD 8910.1 is ac- § 1240.101 Scope.
cessible at http://nodis3.gsfc.nasa.gov/;
and This subpart applies to awards for
(b) NASA Procedural Requirements any scientific or technical contribu-
(NPR) 8910.1, Care and Use of Animals, tion, whether or not patentable, which
delineates the responsibilities and im- is determined by the Administrator
plements requirements for the Agen- after referral to the Inventions and
cy’s use of animals in research, testing, Contributions Board to have signifi-
teaching, and hardware development cant value in the conduct of aero-
activities. NPR 8910.1 is accessible is nautical and space activities, upon sub-
access at http://nodis3.gsfc.nasa.gov/. mission of an application for award to
NASA, or upon the Administrator’s
PART 1240—INVENTIONS AND own initiative, under 51 U.S.C. 20136.
CONTRIBUTIONS [77 FR 27366, May 10, 2012]
Subpart 1—Awards for Scientific and § 1240.102 Definitions.

Technical Contributions As used in this subpart:
Sec.
(a) Administrator means the Adminis-
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 awards—NASA and person of the NASA Inventions and
NASA contractor employees.
1240.106 Review and evaluation of contribu- Contributions Board.
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,
151
§ 1240.103 14 CFR Ch. V (1–1–21 Edition)
that performs in accordance with its (3) The amount of any compensation
specifications, and includes docu- (other than salary received for services
mentation describing the software’s rendered as an officer or employee of
form and function. the Government) previously received
(e) Contract means any contract, by the applicant for or on account of
agreement, understanding, or other ar- the use of such contributions by the
rangement with NASA or another Gov- United States; and
ernment Agency on NASA’s behalf, in- (4) Such other factors as the Admin-
cluding any assignment, substitution istrator shall determine to be material.
of parties, or subcontract executed or
entered into thereunder. § 1240.104 Applications for awards.
(f) Contractor means the party who (a) Eligibility. Applications for award
has undertaken to perform work under may be submitted by any person in-
a contract or subcontract. cluding any individual, partnership,
(g) Innovation means a mathematical, corporation, association, institution,
engineering or scientific concept, idea, or other entity. An application for an
design, process, or product. award under this section is separate
(h) Innovator means any person listed from application for an award under
as a contributor, inventor, or author of § 1240.105 and may be submitted wheth-
an innovation. er or not the contribution is also eligi-
(i) Invention includes any act, meth- ble for an award under § 1240.105.
od, process, machine, manufacture, de- (b) Information required. Applications
sign, or composition of matter, or any for award should be addressed to the
new and useful improvement thereof, Inventions and Contributions Board
or any variety of plant, which is or (herein referred to as the Board), Na-
may be patentable under the patent tional Aeronautics and Space Adminis-
laws of the United States or any for- tration, Washington, DC 20546–0001, and
eign country. will contain:
(j) Qualified User means any person (1) The name and address of the ap-
that has legally acquired computer plicant, the person’s relationship to
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;
tion’s 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;
152
(6) The amount of any compensation award be made, including a specific

(other than salary received for services recommended amount and distribution
rendered as an officer or employee of thereof for any multiple inventors, so
the Government) previously received long as the following eligibility condi-
by the applicant for or on account of tions have been met:
the use of such contribution by the (i) A nonprovisional U.S. patent ap-
United States; plication has been filed covering the
(7) Identification of any United invention and NASA has either an own-
States and foreign patents applied for ership interest in the invention or an
or issued relating to the contribution; irrevocable, royalty-free, license to
and practice the invention, or have the in-
(8) An agreement to surrender all vention practiced for or on its behalf,
claims which such applicant may have throughout the world, or the invention
for the use of such contribution by the has been assigned by NASA to a con-
Government. tractor under 35 U.S.C. 202(e); or
(c) General. (1) Each contribution will (ii) A continuation-in-part or divi-
be made the subject of a separate appli- sional patent has been issued based on
cation in order that each contribution
a patent application that is eligible for
may be evaluated individually.
an award under paragraph (a)(1)(i) of
(2) Material constituting a possible
this section.
hazard to safety or requiring unusual
storage facilities should not be sub- (2) No additional award will be given
mitted, and will not be accepted. Mod- for a continuation patent application
els or intricate exhibits demonstrating where an award was authorized for the
the contribution will not be accepted parent application and the parent ap-
unless specifically requested by the plication will be or has been aban-
Board. In those few cases where such doned. In addition, awards will not be
models or exhibits have been submitted granted for provisional applications
pursuant to a request made by the under 35 U.S.C. 111(b) or reissue appli-
Board, the same will be returned to the cations under 35 U.S.C. 251.
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
Board’s policy. NASA in the manner prescribed by the
procedures of the Board, the Board
[67 FR 31120, May 9, 2002, as amended at 77
FR 27366, May 10, 2012]
may recommend to the Administrator
or designee that an award be made, in-
§ 1240.105 Special initial awards— cluding a specific amount and distribu-
NASA and NASA contractor employ- tion thereof for any multiple
ees. innovators, so long as the following
(a) Patent Application Awards. (1) conditions have been met:
When the Board receives written no- (i) NASA has either an ownership in-
tice, in the manner prescribed by the terest in the software or an irrev-
Board, from the Agency Counsel for In- ocable, royalty-free, license to repro-
tellectual Property or the Patent or In- duce, prepare derivative works, dis-
tellectual Property Counsel at a NASA tribute, perform and display the soft-
Center that an invention made by an ware, throughout the world for govern-
employee of NASA or a NASA con- mental purposes;
tractor and reported to NASA in the (ii) The software is of commercial
manner prescribed by the Board is eli- quality as defined in § 1240.102; and
gible for a patent application award, (iii) The software has been verified to
the Board may recommend to the Ad- perform the functions claimed in its
ministrator or a designee that an documentation on the platform for
153
§ 1240.106 14 CFR Ch. V (1–1–21 Edition)
which it was designed without harm to ommended to the Administrator the

the systems or data contained within. granting of an award, and the Adminis-
(2) Software that is the subject of a trator has approved such award, the
software release award is not eligible Board will notify the applicant of the
to receive a Tech Brief award based amount and terms of the award. In the
upon the publication of an announce- case of NASA employees or employees
ment of availability in ‘‘NASA Tech of NASA contractors, such notification
Briefs.’’ will normally be made through the ap-
(3) Software release awards for modi-
propriate NASA field installation rep-
fications made to software for which
resentative.
the innovators have already received
an initial software release award will (b) Except for applications from
be at the discretion of the Adminis- NASA employees or employees of
trator or his designee, upon rec- NASA contractors, where the Board
ommendation by the Board. does not propose to recommend to the
(c) Tech Briefs Awards. When the Administrator the granting of an
Board receives written notice, in the award, a notification will be provided
manner and format prescribed by the which includes a brief statement of the
procedures of the Board, that a NASA reasons for such decision.
Center has approved for publication a
NASA Tech Brief based on an innova- § 1240.108 Reconsideration.
tion made by an employee of NASA or (a) With respect to each completed
a NASA contractor and reported to application, in those cases where the
NASA in the manner and form pre-
Board does not recommend an award,
scribed by the procedures of the Board,
the applicant may, within such period
the Board may recommend to the Ad-
ministrator or designee that an award as the Board may set but in no event
be made, including a specific amount less than 30 days from notification, re-
and distribution thereof for any mul- quest reconsideration of the Board’s
tiple innovators. decision.
(d) When a Patent Application (b) If reconsideration has been re-
Award, a Software Release Award, and quested within the prescribed time, the
a Tech Brief Award have been author- applicant will, within 30 days from the
ized for the same contribution, the date of the request for reconsideration,
awards will be cumulative. or within any other time as the Board
[77 FR 27366, May 10, 2012] may set, file its statement setting
forth the issues, points, authorities, ar-
§ 1240.106 Review and evaluation of guments, and any additional material
contribution. on which it relies.
(a) A contribution will be initially re- (c) Upon filing of the reconsideration
viewed by the Board on the basis of the statement by the applicant, the case
material submitted by the applicant will be assigned for reconsideration by
under § 1240.104(b). the Board upon the contents of the ap-
(b) If it is determined that the con- plication, the record, and the reconsid-
tribution has been used in a NASA pro- eration statement submitted by the ap-
gram, or adopted or sponsored or sup- plicant.
ported by NASA, the contribution will (d) If after reconsideration, the Board
be evaluated for its significant value in again does not propose to recommend
the conduct of aeronautical or space the granting of an award, the appli-
activity. cant, after such notification by the
(c) The Board will recommend an Board, may request an oral hearing
award for such contribution when, within the time set by the Board.
upon evaluation of its scientific and
(e) An oral hearing without reconsid-
technical merits, it is determined to
eration may be granted upon deter-
warrant an award of at least $500.
mination of the Chairperson that good
§ 1240.107 Notification by the Board. cause exists to do so.
(a) With respect to each completed [67 FR 31120, May 9, 2002, as amended at 77
application where the Board has rec- FR 27367, May 10, 2012]
154
§ 1240.109 Hearing procedure. ignee will reflect the views of the ma-
(a) An Oral hearing held by the Board jority of the Board members. Dis-
will be in accordance with the fol- senting views may be transmitted with
lowing procedures: the majority opinion.
(1) If the applicant requests a hearing (b) The granting, denying or modi-
within the time set in accordance with fication of any Board recommended
§ 1240.108(d) or (e), the Board will set a award under this subpart will be at the
place and date for such hearing and no- sole discretion of the Administrator or
tify the applicant. his designee, who will determine the
(2) The applicant may be represented final terms and conditions of each
by an attorney or any other appro- award after consideration of the cri-
priately designated person. teria in § 1240.103.
(3) Hearings will be open to the pub- (c) In addition, the Board may rec-
lic unless the applicant requests that a ommend, and the Administrator or his
closed hearing be held. designee may grant, non-monetary
(4) Hearings may be held before the awards under other applicable laws and
full membership of the Board or before regulations.
any panel of Board members designated [67 FR 31120, May 9, 2002, as amended at 77
by the Chairperson. FR 27367, May 10, 2012]
(5) Hearings will be conducted in an
informal manner with the objective of § 1240.111 Release
providing the applicant with a full op- Under subsection 20136(c) of the Na-
portunity to present evidence and ar- tional Aeronautics and Space Act, no
guments in support of the application. award will be made to an applicant un-
Evidence may be presented through less the applicant submits a duly exe-
means of such witnesses, exhibits, and cuted release, in a form specified by
visual aids as are arranged for by the the Administrator, of all claims the ap-
applicant. While proceedings will be ex plicant may have to receive any com-
parte, members of the Board and its pensation (other than the award rec-
counsel may address questions to wit- ommended) from the United States
nesses called by the applicant, and the Government for use of the contribution
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- [77 FR 27367, May 10, 2012]
cretion, arrange for a written tran-
script of the proceedings and a copy of § 1240.112 Presentation of awards.
such transcript will be made available
(a) Written acknowledgments to em-
by the recorder for purchase by the ap-
ployees of NASA receiving awards will
plicant.
be provided by the appropriate Official-
(7) No funds are available to defray
in-Charge at the Headquarters Office,
traveling expenses or any other cost in-
by the Director of the cognizant NASA
curred by the applicant.
Center, or by a designee.
§ 1240.110 Recommendation to, and ac- (b) Written acknowledgments to em-
tion by, the Administrator. ployees of NASA contractors receiving
awards will be forwarded to contractor
(a) Upon a determination by the
officials for suitable presentation.
Board that a contribution merits an
(c) Monetary awards will be paid by
award, the Board will recommend to
check or electronic funds transfer.
the Administrator or a designee the
terms and conditions of the proposed [77 FR 27367, May 10, 2012]
award, including a specific amount and
distribution thereof for any multiple § 1240.113 Financial accounting.
contributors. The recommendation of NASA shall provide for appropriate
the Board to the Administrator or des- database and accounting system(s) to
155
§ 1240.114 14 CFR Ch. V (1–1–21 Edition)
ensure that award payments are re- Assess, and Treat Astronauts Act of
corded and disbursed in an orderly 2017.’’
fashion and in the proper amounts to (b) The purpose of this program is to
proper awardees. provide medical monitoring and diag-
nosis of former U.S. Government astro-
[77 FR 27367, May 10, 2012]
nauts and payload specialists for condi-
§ 1240.114 Delegation of authority. tions the Administrator considers po-
tentially associated with spaceflight
(a) The Chairperson, Inventions and and to provide treatment of former
Contributions Board, is delegated au- U.S. Government astronauts and pay-
thority to approve and execute grants load specialists for conditions the Ad-
of awards for significant scientific or ministrator considers associated with
technical contributions not exceeding spaceflight.
$2,000 per contributor, when in accord-
ance with the recommendation of the § 1241.10 Covered medical care.
Board and in conformity with applica-
(a) Subject to the limitations in
ble law and regulations.
paragraph (b) of this section, an eligi-
(b) The Chairperson, Inventions and ble individual, as defined in § 1241.15, is
Contributions Board, is delegated au- eligible for:
thority to approve and execute grants (1) Monitoring and diagnosis for po-
of awards not exceeding $2,000 per tentially spaceflight-associated condi-
awardee, upon the notification that: tions; and
(1) A Patent Application Award has (2) Treatment for spaceflight-associ-
been recommended by the Board pursu- ated conditions.
ant to § 1240.105(a); (b) Medical monitoring, diagnosis,
(2) A Software Release Award has and treatment authorized and de-
been recommended by the Board pursu- scribed in paragraph (a) of this section
ant to § 1240.105(b); or will not be provided for any condition
(3) A Tech Briefs Award has been rec- that is found by the NASA Adminis-
ommended by the Board pursuant to trator or designee to have resulted
§ 1240.105(c). from a cause other than the eligible in-
[77 FR 27367, May 10, 2012] dividual’s participation in spaceflight-
related activities. Should a condition
PART 1241—TO RESEARCH, EVALU- be diagnosed that is not related to
spaceflight, the individual will be re-
ATE, ASSESS, AND TREAT (TREAT) ferred to their primary care physician.
ASTRONAUTS (c) Medical monitoring, diagnosis,
and treatment authorized and de-
Sec.
scribed in paragraph (a) of this section
1241.05 Purpose and scope
1241.10 Covered medical care
may be provided by a local health care
1241.15 Definitions provider if the NASA Administrator or
1241.20 Eligibility designee determines it is unadvisable
1241.25 Basic program for the eligible individual to travel to
1241.30 Program participation and claims the NASA Johnson Space Center (JSC)
submission due to the individual’s condition or if
1241.35 Claims review and decisions it is otherwise advantageous to the
1241.40 Payment of approved claims Government.
1241.45 Collaboration with other agencies
(d) Medical monitoring, diagnosis,
1241.50 Records, confidentially, privacy, and
data use
and treatment authorized and de-
scribed in paragraph (a) of this section
AUTHORITY: 51 U.S.C. 20149. will be provided without a cost sharing
SOURCE: 85 FR 15357, Mar. 18, 2020, unless obligation imposed on the eligible indi-
otherwise noted. vidual.
(e) NASA is a secondary payer.
§ 1241.05 Purpose and scope.
(a) This part establishes a program § 1241.15 Definitions.
and sets out the eligibility require- Conditional Payment means a NASA
ments and procedures to effectuate sec- payment to a medical provider or eligi-
tion 443 of the ‘‘To Research, Evaluate, ble individual to pay for the cost of
156
medical monitoring, diagnosis, and loads or other essential mission activi-

treatment. Such conditional payments ties.
may be made prior to a formal deter- Primary Payer means the entity, U.S.
mination that a psychological or med- Government agency or private health
ical condition is spaceflight-associated insurer, which is responsible to make
if payment has not been made or can- payment to the eligible individual
not reasonably be expected to be made first, up to the limits of its coverage or
promptly by the primary payer. authority.
Cost Sharing means a multiparty ar- Program means the medical moni-
rangement under which costs of a pro- toring, diagnosis, and treatment au-
gram are shared by the involved par- thorized by the TREAT Astronauts
ties, according to an agreed upon for- Act.
mula. For this program, there is no Secondary Payer means the entity
cost sharing obligation by the eligible that pays after all primary payers have
individual. The eligible individual is paid, up to the limits of their coverage.
responsible for insurance premiums. Secondary payments, as described in
Diagnosis means the identification of the TREAT Astronauts Act, are pay-
a medical or psychological condition ments or reimbursement for the med-
consistent with the exercise of profes- ical monitoring, diagnosis, or treat-
sional clinical judgment and accepted ment secondary to any obligation of
standard of care by licensed health pro- the U.S. Government or any third
fessionals. party under any other provision of law
Eligible Individual means a former or contractual agreement to pay for or
United States Government astronaut, provide such medical monitoring, diag-
including a member of the Uniformed nosis, or treatment.
Services, or a former payload specialist Spaceflight-Associated Condition
who has flown in space, as defined in means a medical or psychological con-
the TREAT Astronauts Act. The fol- dition that the NASA Administrator or
lowing individuals are specifically ex- designee designated by the NASA Ad-
cluded from eligible individuals: ministrator determines is at least as
(1) Astronauts of other United States likely as not to have resulted from par-
Government agencies; ticipation in spaceflight-related activi-
(2) Employees of commercial ties.
spaceflight companies who were never Treatment means the accepted stand-
employed by NASA nor a member of ard of clinical care for a medical or
the Uniformed Services assigned to psychological condition by licensed
NASA; health professionals.
(3) International partner astronauts;
TREAT Astronauts Act means section
(4) Employees of foreign govern-
443 of the ‘‘To Research, Evaluate, As-
ments;
sess, and Treat Astronauts Act of
(5) Private individuals or tourists
2017.’’
who have flown in space; and
(6) Former astronauts, including TREAT Astronauts Act Board or TAAB
members of the Uniformed Services, means the internal NASA review board
and former payload specialists who that provides recommendations to the
have not flown in space. NASA Administrator or designee as to
JSC means Johnson Space Center. whether or not a medical claim initi-
Monitoring means the NASA astro- ated by an eligible individual meets
naut spaceflight exposure clinical as- the standards for spaceflight associa-
sessment of medical and psychological tion for medical monitoring, diagnosis,
health status by licensed health profes- and treatment under the TREAT As-
sionals. tronauts Act.
Payload Specialist means an indi- U.S. Government Agency means
vidual other than a NASA astronaut ‘‘agency’’ as defined in 5 U.S.C. 551.
(commander, pilot, and mission spe-
cialist) whose presence was required § 1241.20 Eligibility.
onboard the space shuttle vehicle to (a) This section sets forth those per-
perform specialized functions with re- sons who, by the provisions of the
spect to operation of one or more pay- TREAT Astronauts Act, are eligible to
157
§ 1241.25 14 CFR Ch. V (1–1–21 Edition)
participate in this program. A deter- tion as legally required by state and

mination by the Administrator or des- Federal law.
ignee that a person is eligible does not (b) Monitoring and Diagnosis. NASA
automatically entitle such a person to will provide monitoring and diagnosis
medical monitoring, diagnosis, and for eligible individuals for conditions
treatment under the TREAT Astro- potentially associated with spaceflight.
nauts Act. (1) Standardized monitoring will be
(b) Only eligible individuals defined offered routinely at the JSC.
in § 1241.15 are entitled to medical mon- (2) Individualized monitoring will be
itoring, diagnosis, and treatment under provided, as necessary.
this part. (3) NASA may pay for and obtain au-
(c) Participation in this program is topsies of eligible individuals, who pre-
strictly voluntary. NASA may not re- viously consented in writing or with
quire an eligible individual to partici- consent of the next of kin, when such
pate in this program. autopsy would contribute substantially
§ 1241.25 Basic program. to the knowledge of spaceflight physi-
ology or pathology. NASA will coordi-
(a) General—(1) Scope. Subject to all nate with the Armed Forces Medical
applicable definitions, conditions, limi- Examiner System for such autopsies.
tations, or exclusions specified in this (c) Treatment. NASA will provide or
part, NASA will provide medical moni- arrange for the treatment of
toring and diagnosis of potentially spaceflight-associated conditions.
spaceflight-associated conditions and (1) Treatment will be secondary to
treatment of a spaceflight-associated any services provided by primary pay-
conditions, as well as any associated ers.
travel expenses for the eligible individ-
(2) Should urgency dictate, NASA
ual’s lifetime.
may provide for conditional payments
(2) Location of medical monitoring, di-
for treatment.
agnosis, and treatment. (i) Medical mon-
itoring will be provided for eligible in- (d) Exclusions and limitations. In addi-
dividuals at the JSC. tion to any definitions, requirements,
(ii) When travel is inadvisable due to conditions, or limitations enumerated
the health of the eligible individual or and described in other sections of this
when otherwise advantageous to the part, the following are specifically ex-
Government, monitoring may be pro- cluded:
vided at a location other than the JSC. (1) Medical monitoring or diagnosis
(iii) Diagnosis and treatment will be of an eligible individual for any med-
provided for eligible individuals at lo- ical or psychological condition that is
cations determined by the medical ap- not potentially associated with human
propriateness of the facility, patient spaceflight; and
preferences, cost effectiveness, and (2) Treatment of an eligible indi-
other pertinent factors. vidual for any medical or psychological
(3) Right to information. As a condi- condition that is not associated with
tion precedent to participation in this human spaceflight.
program, NASA is entitled to receive
copies of medical records from any § 1241.30 Program participation and
claims submission.
physician, hospital or other person,
health insurance company, institution, (a) General program participation. An
or entity (including a local, state, or eligible individual, or their authorized
U.S. Government agency) providing representative, who seek to participate
medical monitoring, diagnosis, and in this program must provide the infor-
treatment to the eligible individual for mation set forth in paragraph (e)(2) of
which claims or requests for approval this section to NASA. The JSC Flight
for medical monitoring, diagnosis, and Medicine Clinic will assist eligible in-
treatment are submitted to NASA. As dividuals through these processes.
part of this condition precedent, NASA (b) NASA’s occupationally related med-
may require eligible individuals to ical monitoring services. (1) Eligible indi-
complete such medical releases needed viduals will receive an annual invita-
to facilitate obtaining such information from NASA to participate in
158
NASA’s occupational surveillance pro- and services through the VA. Under the
gram; TREAT Astronauts program, the eligi-
(2) [Reserved] ble individual may seek reimbursement
(c) Primary payer coverage of diagnosis from NASA for any out-of-pocket co-
and treatment services. (1) Former Civil payment(s) he or she paid to VA for
Servants. Eligible individuals who were care of a condition that NASA deter-
civil servant employees during their mines is associated with spaceflight.
active astronaut or payload specialist The individual may also apply for dis-
career who believe they have sustained ability compensation with the Depart-
a spaceflight-associated condition and ment of Veterans Affairs, Veterans
are seeking coverage for medical treat- Benefits Administration, pursuant to
ment under this part must submit a
38 CFR part 3.
notice of injury and claim for com-
pensation through their agency to the (e) Submitting claims for medical moni-
Department of Labor, Office of the toring, diagnosis, and treatment under
Workers’ Compensation Programs Divi- this program—(1) Claim required. (i) No
sion of Federal Employees’ Compensa- medical diagnosis and treatment may
tion (DFEC) consistent with 5 U.S.C. be extended under the TREAT Astro-
Chapter 81 and 20 CFR part 10 before nauts Act without submission of a
making a claim under the TREAT As- complete claim form to the JSC Flight
tronauts Act. Medicine Clinic.
(2) Members of the Uniformed Services. (ii) NASA will provide specific forms
Eligible individuals who were members appropriate for making a claim for
of the Uniformed Services during their medical monitoring, diagnosis, and
active astronaut or payload specialist treatment. Claim forms may be ob-
career, or who are otherwise deter- tained from the JSC Flight Medicine
mined to be eligible by their Uniformed Clinic. Contact information can be
Service and who believe they have sus- found at: https://www.nasa.gov/hhp/treat-
tained a spaceflight-associated condi- act.
tion must contact their Service to de- (2) Information required. Each claim
termine eligibility for health and den- for medical monitoring, diagnosis, and
tal care and/or coverage through the
treatment under this program will be
Military Health System of the Depart-
in writing and include, at a minimum:
ment of Defense, consistent with 10
U.S.C. Chapter 55 and 32 CFR part 199 (i) Statement of eligibility describing
before making a claim under the the employment and spaceflight his-
TREAT Astronauts Act. tory that justifies medical monitoring,
(3) Former Civil Servants who were also diagnosis, and treatment under this
Members of the Uniformed Services. Eligi- program;
ble individuals whose active astronaut (ii) History and diagnosis of medical
career spanned both military and civil or psychological condition;
service will first submit a notice to the (iii) Medical documentation in sup-
Department of Labor who will work port of the claim. Healthcare providers
with the Department of Defense. must be licensed and permitted to
(4) Eligible individuals with claims de- practice under state law and not be on
nied or partially covered. If the eligible the Centers for Medicare & Medicaid
individual’s claim under paragraphs Services (CMS) List of Excluded Indi-
(c)(1), (2), or (3) of this section is either viduals and Entities, found at: https://
denied or covered only in part by the healthdata.gov/dataset/list-excluded-indi-
primary payer, the eligible individual viduals-and-entities;
can apply for medical monitoring, di- (iv) Documentation of the decisions
agnosis, and treatment under this pro-
and/or payments made by the primary
gram.
payer (i.e., other U.S. Government
(d) Diagnosis and Treatment or Other
Benefits-Veterans. An eligible individual agencies and/or private health insurer)
who is enrolled, or eligible to be en- regarding the claim;
rolled, in the U.S. Department of Vet- (v) Justification for determination
erans Affairs (VA) health care system that the psychological or medical con-
may opt instead to seek his or her care dition is associated with spaceflight;
159
§ 1241.35 14 CFR Ch. V (1–1–21 Edition)
(vi) Expenses for which they are individual will include information on
seeking reimbursement, to include doc- how to request reconsideration.
umentation of all out-of-pocket costs; (g) An eligible individual or their au-
and thorized representative may request re-
(vii) The signature of the eligible in- consideration of the decision at any
dividual or their authorized representa- time if new information is obtained
tive. that enhances the claim. Reconsider-
(3) Responsibility for perfecting claim. ation requests can be made to the JSC
It is the responsibility of the eligible Flight Medicine Clinic.
individual, authorized representative, (h) Requests for reconsideration are
or the authorized provider acting on reviewed by the TAAB and decisions
behalf of the eligible individual to per- made by the Administrator or des-
fect a claim for submission. NASA will ignee, following the same process de-
assist eligible individuals with claims scribed in paragraphs (b) through (f) of
submission, but is not authorized to
this section.
prepare a claim on behalf of the eligi-
ble individual. § 1241.40 Payment of approved claims.
§ 1241.35 Claims review and decisions. (a) The NASA Administrator or des-
ignee is responsible for ensuring that
(a) NASA will establish the TREAT
medical monitoring, diagnosis, and
Astronauts Act Board (TAAB) to re-
view claims for medical monitoring, di- treatment to eligible individuals under
agnosis, and treatment under this pro- this program is paid only to the extent
gram. This review is independent of described in this part.
any review conducted by primary pay- (b) Payment for medical monitoring,
ers. diagnosis, and treatment is applied sec-
(b) The TAAB will review each claim ondarily to primary payers and may in-
submitted by the eligible individual, in clude the remaining out-of-pocket
consultation with specialists, as appro- costs from primary payer coverage.
priate. A typical case will be reviewed (c) NASA will pay necessary travel
within 30 calendar days, but cases that expenses related to this program con-
are more complex may take additional sistent with the Federal Travel Regula-
time. tions.
(c) The TAAB will make a rec- (d) NASA may provide conditional
ommendation to the Administrator or payments for medical monitoring, di-
designee for each claim stating wheth- agnosis, and treatment that is obli-
er the condition is determined to be gated to be paid by the U.S. Govern-
spaceflight associated. ment or other primary payers prior to
(d) For those eligible individuals who a final decision by NASA in accordance
have had other exposures in addition to with § 1241.35. Such requests for condi-
those experienced during their career tional payments can be made to JSC
as active U.S. Government astronauts Flight Medicine Clinic. Such payments
or payload specialists, the TAAB will are permitted when payment for such
consider that history when making its medical monitoring, diagnosis, and
recommendation.
treatment has either not been made or
(e) The NASA Administrator or des- will not be made promptly.
ignee will review each claim and asso-
(1) NASA may seek to recover costs
ciated TAAB recommendation to deter-
associated with conditional payments
mine whether the claim should be ap-
proved or denied. A typical case can be from the U.S. Government, private
reviewed within 30 calendar days, but health insurance company, or other
cases that are more complex may take primary payer as allowable by law.
additional time. (2) If the claim is denied in accord-
(f) The decision will be provided to ance with § 1241.35, NASA may seek to
the eligible individual within seven recover such conditional payments
calendar days of the final decision by from the eligible individual in accord-
the NASA Administrator or designee. ance with 31 U.S.C. Chapter 37.
Decisions not in favor of the eligible
160
§ 1241.45 Collaboration with other 1245.114 Findings and recommendations of

agencies. the Board.
1245.115 Action by the Administrator.
Copies of records generated from 1245.116 Miscellaneous provisions.
medical monitoring, diagnosis, and 1245.117 March-in and waiver revocation
treatment collected by primary payer procedures.
facilities and/or relevant health care 1245.118 Record of decisions.
providers will be acquired by NASA.
NASA will collaborate with the De- Subpart 2—Claims for Patent and
partment of Defense Military Health Copyright Infringement
System, Department of Veterans Af-
1245.200 Purpose.
fairs, and Department of Labor Office
1245.201 Objectives.
of Workers’ Compensation and other 1245.202 Contents of communication initi-
entities for acquisition of copies of ating claim.
these medical records as allowed by 1245.203 Incomplete notice of infringement.
law. 1245.204 Indirect notice of infringement.
1245.205 Processing of administrative
§ 1241.50 Records, confidentiality, pri- claims.
vacy, and data use.
(a) Records on individuals created or Subpart 3—NASA Foreign Patent Program
obtained pursuant to this regulation 1245.300 Scope of subpart.
that are subject to the Privacy Act of 1245.301 Inventions under NASA contracts.
1974, as amended, 5 U.S.C. 552a, will be 1245.302 Inventions by NASA employees.
maintained in accordance with the 1245.303 Criteria.
NASA’s Privacy Act System of 1245.304 Procedures.
Records.
(b) NASA will, as necessary, enter Subparts 4–5 [Reserved]
into data sharing agreements with
other agencies and/or entities to re- Subpart 1—Patent Waiver
ceive such data and/or seek signed Regulations
medical releases from the eligible indi-
viduals, or their authorized representa-
AUTHORITY: 51 U.S.C. 20135, 35 U.S.C. 200 et
tives, in accordance with law. seq.
(c) NASA’s collection, use, and dis-
closure of this data will be in accord- SOURCE: 52 FR 43748, Nov. 16, 1987, unless
ance with the Privacy Act of 1974, otherwise noted.
NASA’s implementing regulations at 14
§ 1245.100 Scope.
CFR part 1212, and NASA’s privacy
policies, where applicable. This subpart prescribes regulations
for the waiver of rights of the Govern-
PART 1245—PATENTS AND OTHER ment of the United States to inven-
tions made under NASA contract in
INTELLECTUAL PROPERTY RIGHTS conformity with section 20135 of the
Subpart 1—Patent Waiver Regulations
U.S.C. Chapter 201).
Sec.
[80 FR 19197, Apr. 10, 2015]
1245.100 Scope.
1245.102 Definitions and terms.
1245.103 Policy. The provisions of the subpart apply
1245.104 Advance waivers. to all inventions made or which may be
1245.105 Waiver after reporting inventions. made under conditions enabling the
1245.106 Waiver of foreign rights. Administrator to determine that the
1245.107 Reservations. rights therein reside in the Govern-
1245.108 License to contractor.
ment of the United States under sec-
1245.109 Assignment of title to NASA.
1245.110 Content of petitions.
tion 20135(b)(1) of the National Aero-
1245.111 Submission of petitions. nautics and Space Act, 51 U.S.C.
1245.112 Notice of proposed Board action and 20135(b)(1). The provisions do not apply
reconsideration. to inventions made under any contract,
1245.113 Hearing procedure. grant, or cooperative agreement with a
161
§ 1245.102 14 CFR Ch. V (1–1–21 Edition)
nonprofit organization or small busi- (h) Chairperson means Chairperson of

ness firm that are afforded the disposi- the NASA Inventions and Contribu-
tion of rights as provided in 35 U.S.C. tions Board.
200–204 (Pub. L. 96–517, 94 Stat. 3019, (i) Petitioner means a contractor or
3020, 3022 and 3023; and Pub. L. 98–620, 98 prospective contractor who requests
Stat. 3364–3367). that the Administrator waive rights in
[80 FR 19197, Apr. 10, 2015]
an invention or class of inventions
made or which may be made under a
§ 1245.102 Definitions and terms. NASA contract. In the case of an iden-
tified invention, the petitioner may be
As used in this subpart:
the inventor(s).
(a) Contract means any actual or pro-
(j) Government agency includes any
posed contract, agreement, under-
executive department, independent
standing, or other arrangement with
commission, board, office, agency, ad-
the National Aeronautics and Space
ministration, authority, Government
Administration (NASA) or another
corporation, or other Government es-
Government agency on NASA’s behalf,
tablishment of the executive branch of
including any assignment, substitution
the Government of the United States of
of parties, or subcontract executed or
America.
entered into thereunder, and including (k) Administrator means the Adminis-
NASA grants awarded under the au- trator of the National Aeronautics and
thority of 42 U.S.C. 1891–1893. Space Administration or the Adminis-
(b) Contractor means the party who
trator’s duly authorized representa-
has undertaken to perform work under
tive.
a contract or subcontract.
(c) Invention means any, new and [52 FR 43748, Nov. 16, 1987, as amended at 80
useful process, machine, manufacture, FR 19198, Apr. 10, 2015]
or composition of matter, or any new
and useful improvement thereof, or any § 1245.103 Policy.
variety of plant, which is or may be (a) In implementing the provisions of
patentable under the Patent Laws of section 20135(g) of the National Aero-
the United States of America or any nautics and Space Act (51 U.S.C. Chap-
foreign country. ter 201), and in determining when the
(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 policies or laws, such as the National
extent permitted by law or Govern- Space Policy of the United States of
ment regulations available to the pub- America. Any such waiver may be
lic on reasonable terms. made upon such terms and under such
(g) Board means the NASA Inven- conditions as the Administrator shall
tions and Contributions Board estab- determine to be required for the pro-
lished by the Administrator of NASA tection of the interests of the United
within the Administration under sec- States. Among the most important
tion 305(f) of the National Aeronautics goals are to provide incentives to fos-
and Space Act of 1958, as amended (42 ter inventiveness and encourage the re-
U.S.C. 2457(f)). porting of inventions made under
162
NASA contracts, to provide for the § 1245.104 Advance waivers.

widest practicable dissemination of (a) The provisions of this section
new technology resulting from NASA apply to petitions for waiver of domes-
programs, and to promote early utiliza- tic rights of the United States with re-
tion, expeditious development, and spect to any invention or class of in-
continued availability of this new tech- ventions which may be made under a
nology for commercial purposes and contract.
the public benefit. In applying this reg- (b) The NASA Inventions and Con-
ulation, both the need for incentives to tributions Board normally will rec-
draw forth private initiatives and the ommend grant of a request for advance
need to promote healthy competition waiver of domestic rights submitted
in industry must be weighed. prior to execution of contract or within
(b) Several different situations arise 30 days after execution of the contract
when waiver of all or any part of the unless the Board finds that the inter-
rights of the United States with re- ests of the United States will be better
spect to an invention or class of inven- served by restricting or denying all or
tion may be requested and are pre- part of the requested rights in one or
scribed in §§ 1245.104 through 1245.106. more of the following situations:
Under § 1245.104, advance waiver of any (1) When the contractor is not lo-
cated in the United States or does not
or all of the rights of the United States
have a place of business in the United
with respect to any invention or class
States or is subject to the control of a
of inventions which may be made under foreign government;
a contract may be requested prior to (2) When a determination has been
the execution of the contract, or with- made by Government authority which
in 30 days after execution of the con- is authorized by statute or Executive
tract. Waiver of rights to an identified order to conduct foreign intelligence or
invention made and reported under a counter-intelligence activities that the
contract are to be requested under restriction or denial of the requested
§ 1245.105, and may be requested under rights to any inventions made in the
this provision even though a request performance of work under the con-
under § 1245.104 was not made, or if tract is necessary to protect the secu-
made, was not granted. Waiver of for- rity of such activities; or
eign rights under § 1245.106 may be re- (3) Where the Board finds that excep-
quested concurrently with domestic tional circumstances exist, such that
rights under § 1245.104 or § 1245.105, or restriction or denial of the requested
may be made independently. rights will better promote one or more
(c) With respect to inventions which of the following objectives:
may be or are made or conceived in the (i) Promoting the utilization of in-
course of or under contracts for re- ventions arising from federally sup-
search, development or demonstration ported research and development;
work awarded by NASA on behalf of (ii) Encouraging maximum participa-
the Department of Energy (DOE) or in tion of industry in federally-supported
support of a DOE program, on a reim- research and development;
bursable basis pursuant to agreement (iii) Ensuring that inventions are
between DOE and NASA, the waiver used in a manner to promote free com-
policy, regulations, and procedures of petition and enterprise;
DOE will be applied. NASA will nor- (iv) Promoting the commercializa-
mally grant waiver of rights to invention and public availability of inven-
tions made under contracts awarded by tions made in the United States by
NASA on behalf of, or in support of, United States industry and labor; and
programs funded by another Govern- (v) Ensuring that the Government re-
tains sufficient rights in federally sup-
ment agency, unless the funding agen-
ported inventions to meet the needs of
cy recommends and justifies denial of
the Government and protect the public
the waiver. See §§ 1245.110(c) and
against nonuse or unreasonable use of
1245.111(b).
inventions.
[52 FR 43748, Nov. 16, 1987, as amended at 80 (c)(1) An advance waiver, when grant-
FR 19197, Apr. 10, 2015] ed, will be subject to the reservations
163
§ 1245.105 14 CFR Ch. V (1–1–21 Edition)
set forth in § 1245.107. Normally, the sequent application do not substan-

reservations of § 1245.107(a), License to tially change the scope of the reported
the Government, and § 1245.107(b), invention.
March-in rights, will apply. However, (d) When a petition for waiver is sub-
should one or more of the situations mitted under paragraph (b) of this sec-
set forth in paragraphs (b)(1) through tion, prior to contract execution, it
(b)(3), of this section exist, rather than will be processed expeditiously so that
denying the advance waiver request, a decision on the petition may be
the Board may recommend granting to reached prior to execution of the con-
the contractor only part of the re- tract. However, if there is insufficient
quested rights, to the extent necessary time or insufficient information is pre-
to address the particular situation, sented, or for other reasons which do
consistent with the policy and goals of not permit a recommendation to be
§ 1245.103. In that event, the waiver made without unduly delaying execu-
grant will be subject to additional res- tion of the contract, the Board will in-
ervations as provided for in § 1245.107(c). form the contracting officer that no
(2) To meet the National Aeronautics
recommendation can be made prior to
and Space Act standard of ‘‘any inven-
contract execution and the reasons
tion or class of inventions,’’ for ad-
therefor. The contracting officer will
vance waivers, the petition shall iden-
then notify the petitioner of the
tify the invention(s) and/or class(es) of
Board’s action.
inventions that the Contractor believes
will be made under the contract and for (e) A waiver granted pursuant to a
which waiver of rights is being re- petition submitted under this section
quested. Therefore, the petition must shall extend to any contract changes,
be directed to a specific invention(s) or modifications, or supplemental agree-
to inventions directed to a particular ments, so long as the purpose of the
process, machine, manufacture, or contract or the scope of work to be per-
composition of matter, or to a nar- formed is not substantially changed.
rowly drawn, focused area(s) of tech- [52 FR 43748, Nov. 16, 1987, as amended at 80
nology. FR 19198, Apr. 10, 2015]
(3) An advance waiver, when granted,
will apply only to inventions reported § 1245.105 Waiver after reporting in-
to NASA under the applicable terms of ventions.
the contract and a designation made (a) The provisions of this section
within 6 months of the time of report- apply to petitions for waiver of domes-
ing (or a reasonable time thereafter
tic rights to identified inventions
permitted for good cause shown) that
which have been reported to NASA and
the contractor elects title to the inven-
to which a waiver of rights has not
tion and intends to file or has filed a
been granted pursuant to § 1245.104.
U.S. patent application. Such election
will be made by notification in writing (b)(1) When an individual identified
to the patent representative designated invention has been reported to NASA
in the contract. Title to all other in- under the applicable terms of the con-
ventions made under the contract are tract and waiver of rights has not been
subject to section 20135(b)(1) of the Na- granted under § 1245.104, the Board nor-
tional Aeronautics and Space Act, 51 mally will recommend grant of a re-
U.S.C. 20135(b)(1). The granting of the quest for waiver of domestic rights to
advance waiver does not otherwise re- such invention if the request is re-
lieve a contractor of any of the inven- ceived within 8 months of first disclo-
tion identification or reporting re- sure to NASA (or such longer period
quirements set forth in the applicable that the Board may permit for good
patent rights clause in the contract. cause shown), unless the Board finds
(4) The advance waiver shall extend that one or more of the situations set
to the invention claimed in any patent forth in § 1245.104(b)(3)(i) through (v)
application filed on the reported inven- exist. When granted, the waiver will be
tion, including any subsequent divi- subject to the reservations set forth in
sional or continuation application § 1245.107 in the same manner as dis-
thereof, provided the claims of the sub- cussed in § 1245.104(c)(1).
164
(2) The waiver shall extend to the in- of an irrevocable, nonexclusive, non-
vention claimed in the patent applica- transferable, royalty-free license for
tion filed on the reported invention, in- the practice of the invention through-
cluding any subsequent divisional or out the world by or on behalf of the
continuation application thereof, pro- United States or any foreign govern-
vided the claims of the subsequent ap- ment pursuant to any treaty or agree-
plication do not substantially change ment with the United States.
the scope of the reported invention. (b) March-in rights. For any invention
for which waiver of rights has been
§ 1245.106 Waiver of foreign rights. granted under this subpart, NASA has
(a) The Board will consider the waiv- the same right as set forth in 35 U.S.C.
er of foreign rights in any designated 203 and 210, with the procedures set
country concurrently with the waiver forth in § 1245.117 and 37 CFR 401.6, to
of domestic rights when so requested require the contractor, an assignee, or
under § 1245.104 or § 1245.105. exclusive licensee of the invention to
(b) The Board will also consider a grant a nonexclusive, partially exclu-
separate request for foreign rights for sive, or exclusive license in any field of
an individual identified invention in use to a responsible applicant or appli-
any designated country if a request cants, upon terms that are reasonable
was not made pursuant to paragraph under the circumstances, and if the
(a) of this section, or for countries not contractor, assignee, or exclusive li-
designated pursuant to paragraph (a) of censee refuses such a request, NASA
this section. has the right to grant such a license
(c) The Board will normally rec- itself if NASA determines that:
ommend the waiver of foreign rights be (1) Such action is necessary because
granted under paragraph (a) or para- the contractor or assignee has not
graph (b) of this section in any des- taken, or is not expected to take with-
ignated country unless: in a reasonable time, effective steps to
(1) The Board finds that exceptional achieve practical application of the in-
circumstances exist, such that restric- vention in such field of use;
tion or denial of the requested foreign (2) Such action is necessary to allevi-
rights will better promote one or more ate health or safety needs which are
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-
165
§ 1245.108 14 CFR Ch. V (1–1–21 Edition)
use or terrestrial-use limitations, or shall have the right to appeal, in ac-

additions to the march-in rights. cordance with applicable regulations in
[52 FR 43748, Nov. 16, 1987, as amended at 80 37 CFR part 404, any decision con-
FR 19199, Apr. 10, 2015] cerning the revocation or modification
of its license.
§ 1245.108 License to contractor.
[52 FR 43748, Nov. 16, 1987, as amended at 80
(a) Each contractor reporting an in- FR 19199, Apr. 10, 2015]
vention is granted a revocable, non-
exclusive, royalty-free license in each § 1245.109 Assignment of title to NASA.
patent application filed in any country
(a) The instrument of waiver set
on the invention and in any resulting
forth in § 1245.115(c) shall be voided by
patent in which the Government ac-
quires title. The license extends to the NASA with respect to the domestic
contractor’s domestic subsidiaries and title to any invention for which a pat-
affiliates, if any, within the corporate ent application has not been filed with-
structure of which the contractor is a in 1 year (or a reasonable time there-
party and includes the right to grant after for good cause shown) from notifi-
sublicenses of the same scope to the ex- cation to NASA of election of title, as
tent the contractor was legally obli- required by § 1245.104(c)(2), for an ad-
gated to do so at the time the contract vanced waiver pursuant to § 1245.104, or
was awarded. The license and right is within 1 year from the granting of a
transferable only with the approval of waiver for an individual invention
the Administrator except when trans- granted pursuant to § 1245.105.
ferred to the successor of that part of (b) The instrument of waiver set
the contractor’s business to which the forth in § 1245.115(c) shall be voided by
invention pertains. NASA with respect to title in any for-
(b) The contractor’s domestic license eign country for which waiver has been
may be revoked or modified by the Ad- granted pursuant to § 1245.106, if a pat-
ministrator to the extent necessary to ent application has not been filed in
achieve expeditious practical applica- that country (or in the European Pat-
tion of the invention pursuant to an ent Office or under the Patent Coopera-
application for an exclusive license tion Treaty and that country des-
submitted in accordance with the Li- ignated) within either 10 months (or a
censing of Government-Owned Inven- reasonable time thereafter for good
tions (37 CFR part 404). This license cause shown) from the date a cor-
will not be revoked in that field of use responding U.S. patent application has
and/or the geographical areas in which been filed or 6 months (or a reasonable
the contractor has achieved practical
time thereafter for good cause shown)
application and continues to make the
from the date a license is granted by
benefits of the invention available to
the Commissioner of Patents and
the public on reasonable terms. The li-
Trademarks to file foreign patent ap-
cense in any foreign country may be
plications where such filing has been
revoked or modified at the discretion
of the Administrator to the extent the prohibited by a Secrecy Order.
contractor, its licensees, or its domes- (c) In any country in which the waiv-
tic subsidiaries or affiliates have failed er recipient decides not to continue
to achieve practical application in that prosecution of any application, to pay
foreign country. maintenance fees on, or defend in reex-
(c) Before revocation or modification amination or opposition proceedings on
of the license, the contractor will be a patent on a waived invention, the
provided a written notice of the Ad- waiver recipient shall notify the patent
ministrator’s intention to revoke or representative within sufficient time
modify the license, and the contractor for NASA to continue prosecution, pay
will be allowed 30 days (or any other the maintenance fee or defend the reex-
time as may be allowed by the Admin- amination or opposition, and upon
istrator for good cause shown by the written request, convey title to NASA
contractor) after the notice to show and execute all papers necessary for
cause why the license should not be re- NASA to proceed with the appropriate
voked or modified. The contractor action.
166
§ 1245.110 Content of petitions. awarded by NASA on behalf of the De-

(a) Each request for waiver of domes- partment of Energy under § 1245.103(c)
tic or foreign rights under § 1245.104, shall follow the procedures and form
§ 1245.105, or § 1245.106 shall be by peti- prescribed by and shall be acted on by
tion to the Administrator and shall in- that agency. Petitions under contracts
clude: awarded by NASA on behalf of other
(1) An identification of the peti- agencies will be coordinated with the
tioner, its place of business, and ad- agency before action is taken by the
dress; Board.
(2) If the petitioner is represented by [52 FR 43748, Nov. 16, 1987, as amended at 80
counsel, the name, address, and tele- FR 19199, Apr. 10, 2015]
phone number of the counsel;
(3) A citation to the section § 1245.111 Submission of petitions.
(§ 1245.104, § 1245.105, or § 1245.106) under (a) Petitions for advance waiver of
which the petition is submitted, the domestic rights under § 1245.104 or for
nature and extent of the rights re- advance waiver of foreign rights under
quested, and a positive statement that § 1245.106 presented prior to contract
waiver of rights under the cited section execution, must be submitted to the
is being requested; contracting officer. Any petition sub-
(4) If the petitioner is an employee mitted by a prospective contractor and
inventor of the contractor, a statement selected for negotiation of a contract
from the contractor that the con- will be processed and forwarded to the
tractor does not object to this petition. Board for consideration. All other peti-
(5) Information identifying the pro- tions will be submitted to the patent
posed contract or resulting contract, if representative designated in the con-
any; tract for processing prior to forwarding
(6) A designation of the country or to the Board.
countries, the United States of Amer- (b) A copy of any waiver petitions
ica and/or foreign, in which waiver of submitted under § 1245.103(c) should be
title is requested; forwarded to the appropriate NASA
(7) A copy of the invention disclosure field installation patent counsel, if not
if the request is for an individual iden- supplied earlier, for (1) transmittal to
tified invention (under § 1245.105); the Department of Energy for proc-
(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- (1) When it proposes to recommend to
tractor believes will be made under the the Administrator that the petition be:
contract and for which waiver of rights (i) Granted in an extent different
is being requested, in accordance with from that requested; or
§ 1245.104(c)(2). (ii) Denied.
(c) No specific forms need be used. (2) Of the reasons for the rec-
Requests for advanced waiver should, ommended action adverse to or dif-
preferably, be included with the pro- ferent from the waiver of rights re-
posal, but in any event in advance of quested by the petitioner.
negotiations. (b) Request for reconsideration and
(d) Petitions for waiver under contracts statements required. (1) If, under para-
funded by another agency. The content graph (a) of this section, the Board no-
of the petitions for waiver of title to tifies the petitioner that the Board
inventions made under contracts proposes to recommend action adverse
167
§ 1245.113 14 CFR Ch. V (1–1–21 Edition)
to or different from the waiver re- Any person present at the hearing may
quested, the petitioner may, within the make a statement for the record.
period as the Board may set, but not (2) A transcript or equivalent record
less than 15 days from the notification, of the proceeding shall be arranged for
request reconsideration by the Board. by the Board. The petitioner shall sub-
(2) If reconsideration has been remit for the record a copy of any exhibit
quested within the prescribed time, the or visual aid utilized during the hear-
petitioner shall, within 30 days from ing.
the date of the request for reconsider-
ation, or within any other time as the § 1245.114 Findings and recommenda-
Board may set, file its statement set- tions of the Board.
ting forth the points, authorities, argu- (a) Findings of the Board. The Board
ments, and any additional material on shall consider the petition, the NASA
which it relies. contract, if relevant, the goals cited in
(3) Upon filing of the reconsideration § 1245.103(a), the effect of the waiver on
statement by the petitioner, the peti- the objectives of the related NASA pro-
tion will be assigned for reconsider- grams, and any other available facts
ation by the Board upon the contents and information presented to the Board
of the petition, the record, and the re- by an interested party. The Board shall
consideration statement submitted by document its findings.
the petitioner. (b) Recommendation of the Board. (1)
(4) The Board, after its reconsider- Except as provided in § 1245.104(d), after
ation, will promptly notify the peti- making the findings of fact, the Board
tioner of its proposed recommendation shall formulate its proposed rec-
to the Administrator. If the Board’s ommendation to the Administrator as
proposed action is adverse to, or dif- to the grant of waiver as requested, the
ferent from, the waiver requested, the grant of waiver upon terms other than
petitioner may request an oral hearing as requested, or denial of waiver.
within the time as the Board has set. (2) If the Board proposes to rec-
ommend, initially or upon reconsider-
[52 FR 43748, Nov. 16, 1987, as amended at 80 ation or after oral hearing, that the pe-
FR 19199, Apr. 10, 2015] tition be granted in the extent re-
quested or, in other cases, where the
§ 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.
168
(c) If the waiver is granted by the Ad- foreign, to which the Government is
ministrator, the petitioner shall be entitled.
sent for execution, an instrument of (d) Patent filing and issuance informa-
waiver confirmatory of the conditions tion. The waiver recipient shall furnish
and reservations of the waiver grant. to either the Chairperson or the patent
The petitioner shall promptly return representative, the filing date, serial
the executed copy of the instrument of number and title, and upon request, a
waiver to the Chairperson. copy of any domestic or foreign patent
application including an English lan-
§ 1245.116 Miscellaneous provisions.
guage version if filed in a language
(a) Filing of patent applications and re- other than English, and a copy of the
imbursement of costs. In order to protect patent or patent number and issue
the interests of the Government and date, for any waived invention.
the petitioner in inventions, a peti- (e) Transfer of rights. The waiver re-
tioner may file United States patent cipient shall notify the Chairperson
applications for such inventions prior prior to any transfer of principal rights
to the Administrator’s determination in any waived invention to any party.
on a petition for waiver. If an applica- Such transfer shall be subject to all
tion on an identified invention is filed rights reserved by the Government,
during the pendency of the petition, or
and all obligations of the waiver recipi-
within 60 days prior to the receipt of a
ent, as set forth in this subpart.
petition, NASA will reimburse the peti-
tioner for any reasonable costs of the (f) Utilization reports. (1) The waiver
filing and patent prosecution that may recipient shall provide to the Chair-
have occurred, provided: person upon request, and no more fre-
(1) Similar patent filing and prosecu- quently than annually, reports on the
tion costs are not normally reimbursed utilization of a waived invention or on
to the petitioner as direct or indirect efforts at obtaining such utilization
costs chargeable to the Government being made by the waiver recipient or
contracts; its licensees or assigns. Such reports
(2) The petition is ultimately denied shall include information regarding the
with respect to domestic rights, or status of the development, date of first
with respect to foreign and domestic commercial sale or use, and such other
rights, if both are requested, and data and information as the Chair-
(3) Prior to reimbursement, peti- person may reasonably specify. No uti-
tioner assigns the application to the lization reports need be submitted
United States of America as rep- after the term of the patent.
resented by the Administrator of the (2) Such reports on the utilization of
National Aeronautics and Space Ad- a waived invention, as well as informa-
ministration. tion on the utilization or efforts at ob-
(b) Statement of Government rights. taining utilization obtained as part of
The waiver recipient shall include, a march-in proceeding under § 1245.117,
within the specification of any United shall be treated by NASA as commer-
States patent application and any pat- cial and financial information obtained
ent issuing thereon for a waived inven- from a person and privileged and con-
tion, the following statement: fidential and not subject to disclosure
The invention described herein was under 5 U.S.C. 552.
made in the performance of work under (g) Communications. Unless otherwise
NASA Contract No. lll, and is subject specifically set forth in this subpart,
to the provisions of Section 20135 of the all communications relating to waived
inventions, and all information and
U.S.C. Chapter 201).
documents required to be submitted to
(c) License to the Government. The
NASA in this subpart, shall be fur-
waiver recipient shall return to NASA
nished to the patent representative
a duly executed and approved license to
the Government (which will be pre-
pared by the Government) fully con-
firming of all the rights, domestic and
169
§ 1245.117 14 CFR Ch. V (1–1–21 Edition)
designated in the contract under which close any such information obtained
the waived invention was made. during a march-in proceeding to per-
(Recordkeeping and reporting requirements sons outside the Government except
contained in paragraph (f) were approved by when such release is authorized by the
the Office of Management and Budget under waiver recipient (assignee or licensee).
control number 2700–0050) (e) The preparation of written find-
[52 FR 43748, Nov. 16, 1987, as amended at 80 ings of fact and recommended deter-
FR 19199, Apr. 10, 2015] mination by the Chairperson of the
NASA BCA and the determination by
§ 1245.117 March-in and waiver rev-
ocation procedures. the Administrator, or designee, of
NASA shall be in accordance with 37
(a) The exercise of march-in proce- CFR 401.6.
dures shall be in conformance with 35
(f) NASA may, at any time, termi-
U.S.C. 203 and the applicable provisions
nate a march-in proceeding if it is sat-
of 37 CFR 401.6, entitled ‘‘Exercise of
march-in rights for inventions made by isfied that it does not wish to exercise
nonprofit organizations and small busi- march-in rights.
ness firms.’’ [52 FR 43748, Nov. 16, 1987, as amended at 80
(b) Whenever NASA receives informa- FR 19199, Apr. 10, 2015]
tion that it believes might warrant the
exercise of march-in rights, before ini- § 1245.118 Record of decisions.
tiating any march-in proceeding, it
The findings of fact and rec-
shall notify the waiver recipient in
ommendations made to the Adminis-
writing of the information and request
informal written or oral comments trator by the Board with respect to
from the waiver recipient as well as in- each petition for waiver shall be re-
formation relevant to the matter. In corded by the Board and be available to
the absence of any comments from the the public.
waiver recipient within 30 days, NASA
may, at its discretion, proceed with the Subpart 2—Claims for Patent and
procedures set forth in 37 CFR 401.6. If Copyright Infringement
a comment is received within 30 days,
or later if NASA has not initiated the
AUTHORITY: 51 U.S.C. 20112–20113; 22 U.S.C.
procedures, then NASA shall, within 60 2356; 35 U.S.C. 181–188 and 286; and 28 U.S.C.
days after it receives the comment, ei- 1498.
ther initiate the procedures or notify
the waiver recipient, in writing, that it SOURCE: 77 FR 14687, Mar. 13, 2012, unless
will not pursue march-in rights on the otherwise noted.
basis of the available information.
(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
the march-in proceeding, including a privately owned rights in patented in-
fact-finding hearing that involves tes- ventions or copyrighted works is as-
timony or evidence relating to the uti- serted against NASA, all necessary
lization or efforts at obtaining utiliza- steps shall be taken to investigate and
tion that are being made by the waiver to administratively settle, deny, or
recipient, its assignee, or licensees otherwise dispose of such claim prior
shall be closed to the public, including to suit against the United States. The
potential licensees. In accordance with General Counsel, or designee, is au-
35 U.S.C. 202(c)(5), NASA shall not dis- thorized to investigate, settle, deny, or
170
otherwise dispose of all claims of pat- the time of filing a claim to permit
ent and copyright infringement, pursu- rapid processing and resolution of the
ant to the above-cited statutory au- claim.
thority. (1) A copy of the asserted patent(s)
and identification of all claims of the
§ 1245.202 Contents of communication patent(s) alleged to be infringed.
initiating claim. (2) Identification of all procurements
(a) Requirements for claim. A patent or known to the claimants that involve
copyright infringement claim for com- the accused item(s) or process(es), in-
pensation, asserted against the United cluding the identity of the vendor(s) or
States as represented by NASA under contractor(s) and the Government ac-
any of the applicable statutes cited quisition activity or activities.
above, must be actually communicated (3) A detailed identification and de-
to and received by an organization, of- scription of the accused article(s) or
fice, or within a NASA Center. Claims process(es) used or acquired by the
must be in writing and must include Government, particularly where the ar-
the following: ticle(s) or process(es) relate to a com-
(1) An allegation of infringement. ponent(s) or subcomponent(s) of an
(2) A request for compensation, ei- item acquired, and an element-by-ele-
ther expressed or implied. ment comparison of representative
(3) A citation to the patent(s) or claim(s) with the accused article(s) or
copyright(s) alleged to be infringed. process(es). If available, the identifica-
(4) In the case of a patent infringe- tion and description should include
ment claim, a sufficient designation to documentation and drawings to illus-
permit identification of the accused trate the accused article(s) or proc-
subject matter (e.g. article(s) or process(es) in sufficient detail to enable de-
ess(es)) alleged to infringe the pat- termining whether the claim(s) of the
ent(s), giving the commercial designa- asserted patent(s) read on the accused
tion, if known to the claimant, or, in article(s) or process(es).
the case of a copyright infringement (4) Names and addresses of all past
claim, the accused subject matter (e.g. and present licensees under the pat-
act(s) or work(s)) alleged to infringe ent(s) and copies of all license agree-
the copyright. ments and releases involving the pat-
(5) In the case of a patent infringe- ent(s). In addition, an identification of
ment claim, a designation of at least all assignees of the patent(s).
one claim of each patent alleged to be (5) A list of all persons to whom no-
infringed or, in the case of a copyright tices of infringement have been sent,
infringement claim, a copy of each including all departments and agencies
work alleged to be infringed. of the Government, and a statement of
(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 claimant’s be- lidity of the patent(s).
lief that the patent(s) or copyright(s) is (7) A description of Government em-
being infringed. ployment or military service, if any, by
(b) Additional information for patent the inventor(s) or patent owner(s) in-
infringement claims. In addition to the cluding a statement from the inven-
information listed in paragraph (a) of tor(s) or patent owner(s) certifying
this section, the following material and whether the invention claimed in the
information generally are necessary in patents was conceived or reduced to
the course of processing a claim of pat- practice, in part or in whole, during
ent infringement. Claimants are en- Government employment and whether
couraged to furnish this information at such inventor(s) or owner(s) occupied
171
§ 1245.203 14 CFR Ch. V (1–1–21 Edition)
any position from which such inven- in writing by the Agency Counsel for
tor(s) or owner(s) was capable of order- Intellectual Property:
ing, influencing, or inducing use of the (1) That the claim for infringement
invention by the Government. has not been satisfactorily presented;
(8) A list of all contract(s) between and
the Government and inventor(s), pat- (2) Of the elements necessary to es-
ent owner(s), or anyone in privity with tablish a claim.
the patent owner(s), under which work (b) A communication, in which no in-
relating to the patented subject matter fringement is alleged in accordance
was performed. with § 1245.202(a), such as a mere proffer
(9) Evidence of title to the asserted of a license, shall not be considered a
patent(s) or other right to make the claim for infringement.
claim.
§ 1245.204 Indirect notice of infringe-
(10) A copy of the United States Pat- ment.
ent and Trademark Office (USPTO) file
history of each patent, if it is available A communication by a patent or
to the claimant. Indicate whether the copyright owner to addressees other
patent has been the subject of any in- than those specified in § 1245.202(a),
terference proceedings, certification of such as NASA contractors, including
correction request, reexamination, or contractors operating Government-
owned facilities, alleging that acts of
reissue proceedings at the USPTO, or
infringement have occurred in the per-
lapsed for failure to pay any mainte-
formance of a Government contract,
nance fee. In addition, the status of all
grant, or other arrangement, shall not
corresponding foreign patents and pat-
be considered a claim within the mean-
ent applications and full copies of the
ing of § 1245.202(a) until such commu-
same.
nication meets the requirements speci-
(11) Pertinent prior art known to the fied therein.
claimant not contained in the USPTO
file, for example, publications and for- § 1245.205 Processing of administra-
eign prior art. In addition to the fore- tive claims.
going, if claimant can provide a state- (a) Filing and forwarding of claims. All
ment that the investigation may be communications regarding claims
limited to the specifically identified should be addressed to: Agency Counsel
accused article(s) or process(es) or to a for Intellectual Property, Office of the
specific acquisition (e.g. identified con- General Counsel, National Aeronautics
tract(s)), it may speed disposition of and Space Administration, Wash-
the claim. Claimants are also encour- ington, DC 20546–0001. 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 claimant’s 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.
172
(c) Termination of claims. If, while an the principal rights, NASA will file
administrative claim for patent or patent applications in countries other
copyright infringement is pending than the United States on inventions
against NASA, the claimant brings suit selected in accordance with the cri-
for patent or copyright infringement teria set forth in § 1245.303.
against the United States in the Court
of Federal Claims based on the same FR 42029, July 16, 2015]
facts or transactions as the adminis-
trative claim, the administrative claim § 1245.302 Inventions by NASA employ-
shall thereupon be automatically dis- ees.
missed, with no further action being
(a) The foreign rights of NASA and of
required of NASA.
the NASA employee making an inven-
tion are determinable in accordance
Subpart 3—NASA Foreign Patent with Executive Orders 9865 and 10096
Program and Government Patent Board Admin-
istrative Order No. 6 issued pursuant
AUTHORITY: 51 U.S.C. 20135(g) and E.O. 9865, thereto.
12 FR 3907, 3 CFR, 1943–1948 Comp., p. 651, and (b) Where NASA acquires an assign-
E.O. 10096, 15 FR 389, 3 CFR, 1949–1953 Comp., ment of the domestic rights in an in-
p. 292.
vention made by a NASA employee,
SOURCE: 30 FR 1844, Feb. 10, 1965, unless NASA will also obtain an option to ac-
otherwise noted. quire the foreign rights, including the
right to file foreign patent applications
§ 1245.300 Scope of subpart.
on the invention.
This subpart establishes policy, cri- (c) Where NASA is entitled to only a
teria, and procedures concerning the governmental license in the invention,
NASA Foreign Patent Program. the principal foreign rights in the in-
vention are retained by the employee
§ 1245.301 Inventions under NASA con-
tracts. unless he agrees in writing to assign
such rights to NASA.
(a) Pursuant to § 1245.113, NASA has
facilitated the filing of foreign patent § 1245.303 Criteria.
applications by contractors by pro-
The following categories of inven-
viding for the granting of a waiver of
tions will be considered for the filing of
title to a contractor to any identified
patent applications by NASA in coun-
invention in countries other than the
United States in the event the Admin- tries other than the United States:
istrator of NASA does not desire to file (a) Inventions which may be utilized
a patent application covering the in- abroad in governmental programs of
vention in such countries. However, the United States.
any such waiver is subject to the res- (b) Inventions which may be ex-
ervation by the Administrator of the ploited abroad in the public interest by
license required to be retained by license to U.S. nationals or others.
NASA under 51 U.S.C. 20135(g) of the (c) Inventions which may be utilized
National Aeronautics and Space Act, in applications type satellites, such as
as amended. communications and meteorological
(b) Conversely, where the principal satellites.
rights in an invention made under a (d) Inventions considered to be basic
NASA contract remain in the con- discoveries or of major significance in
tractor by virtue of waiver, an art.
§ 1245.19(a)(5) provides that the con- (e) Inventions in fields which directly
tractor, upon written request, will con- concern the public health or public
vey to the Administrator of NASA the welfare.
entire right, title, and interest in the
invention in any foreign country in § 1245.304 Procedures.
which the contractor has elected not to (a) The patent counsel at each NASA
file a patent application. field installation will review all inven-
(c) With respect to inventions in tion disclosures at the time of dock-
which NASA has acquired and retained eting and will expedite the processing
173
Pt. 1250 14 CFR Ch. V (1–1–21 Edition)
and preparation of a U.S. patent appli- SOURCE: 30 FR 301, Jan. 9, 1965, unless oth-
cation, if justified, on those inventions erwise noted.
which appear to fall within the criteria
set forth in § 1245.303. The patent coun- § 1250.100 Purpose.
sel will make a recommendation as to The purpose of this part is to effec-
whether or not foreign patent coverage tuate the provisions of Title VI of the
appears justified at the time of assign- Civil Rights Act of 1964 (hereafter re-
ing a priority evaluation to a disclosed ferred to as ‘‘the Act’’) to the end that
invention. no person in the United States shall,
(b) Preparation and filing of patent on the ground of race, color or national
applications in foreign countries will origin, be excluded from participation
be subject to approval of the Assistant in, be denied the benefits of, or be oth-
General Counsel for Patent Matters,
erwise subjected to discrimination
NASA Headquarters.
under any program or activity receiv-
(c) The Office of Assistant General
ing Federal financial assistance from
Counsel for Patent Matters will budget
for and administer the filing of all pat- the National Aeronautics and Space
ent applications in countries other Administration, hereinafter referred to
than the United States. as NASA.
(d) Coordination with other inter-
ested NASA offices will be undertaken
by the Assistant General Counsel for (a) Covered programs. (1) This part ap-
Patent Matters. plies to any program for which Federal
financial assistance is authorized under
Subparts 4–5 [Reserved] a law administered by NASA, including
the types of Federal financial assist-
PART 1250—NONDISCRIMINATION ance listed in appendix A to this part.
IN FEDERALLY-ASSISTED PRO- The fact that a type of Federal assist-
ance is not listed in appendix A shall
GRAMS OF NASA—EFFEC-
not mean, if Title VI of the Act is oth-
TUATION OF TITLE VI OF THE erwise applicable, that a program is
CIVIL RIGHTS ACT OF 1964 not covered. Other types of Federal fi-
nancial assistance under statutes now
Sec.
1250.100 Purpose.
in force or hereafter enacted may be
1250.101 Applicability. added to appendix A by notice pub-
1250.102 Definitions. lished in the FEDERAL REGISTER.
1250.103 Discrimination prohibited. (2) This part applies to money paid,
1250.103–1 General. property transferred, or other Federal
1250.103–2 Specific discriminatory acts pro- financial assistance extended after the
hibited.
effective date of this part pursuant to
1250.103–3 Employment practices.
1250.103–4 Illustrative applications. an application approved prior to such
1250.103–5 Special benefits. effective date.
1250.103–6 Medical emergencies. (b) Excluded activities. This part does
1250.104 Assurances. not apply to (1) any Federal financial
1250–105 Compliance information. assistance by way of insurance or guar-
1250.106 Conduct of investigations.
anty contracts, (2) money paid, prop-
1250.107 Procedure for effecting compliance.
1250.108 Hearings. erty transferred, or other assistance
1250.109 Decisions and notices. extended before the effective date of
1250.110 Judicial review. this part, except as provided in para-
1250.111 Effect on other regulations; forms graph (a) of this section, (3) any assist-
and instructions. ance to any individual who is the ulti-
1250.112 Relationship with other officials.
mate beneficiary, (4) any employment
APPENDIX A TO PART 1250—NASA FEDERAL practice, under any such program, of
FINANCIAL ASSISTANCE TO WHICH THIS
PART APPLIES
any employer, employment agency, or
labor organization, except as provided
AUTHORITY: Sec. 602, 78 Stat. 252, 42 U.S.C. in § 1250.103–3, (5) contracts not covered
2000d–1; and the laws listed in appendix A to
this part.
174
in the types of Federal financial assist- ity to perform the functions assigned
ance listed in appendix A, or (6) ad- to the Principal Compliance Officer by
vances, V-loans, and other financial as- this part.
sistance made incident to NASA pro- (h) Program or activity and program
curements not covered in the types of mean all of the operations of any enti-
Federal financial assistance listed in ty described in paragraphs (h)(1)
appendix A. through (4) of this section, any part of
[30 FR 301, Jan. 9, 1965, as amended at 68 FR which is extended Federal financial as-
51350, Aug. 26, 2003] sistance:
(1)(i) A department, agency, special
§ 1250.102 Definitions. purpose district, or other instrumen-
As used in this part— tality of a State or of a local govern-
(a) Administrator means the Adminis- ment; or
trator of the NASA. (ii) The entity of such State or local
(b) Applicable means one who submits government that distributes such as-
an application, request, proposal, or sistance and each such department or
plan required to be approved by a re- agency (and each other State or local
sponsible NASA official, or by a pri- government entity) to which the as-
mary recipient, as a condition to eligi- sistance is extended, in the case of as-
bility for Federal financial assistance; sistance to a State or local govern-
and the term application means such an ment;
application, request, proposal or plan. (2)(i) A college, university, or other
(c) Facility includes all or any portion postsecondary institution, or a public
of structures, equipment, or other real system of higher education; or
or personal property or interests there- (ii) A local educational agency (as de-
in, and the provision of facilities in- fined in 20 U.S.C. 7801), system of voca-
cludes the construction, expansion, tional education, or other school sys-
renovation, remodeling, alteration or tem;
acquisition of facilities. (3)(i) An entire corporation, partner-
(d) Federal financial assistance in- ship, or other private organization, or
cludes (1) grants and loans of Federal an entire sole proprietorship—
funds, (2) the grant or donation of Fed- (A) If assistance is extended to such
eral property and interests in property, corporation, partnership, private orga-
(3) the detail of Federal personnel, (4) nization, or sole proprietorship as a
the sale and lease of, and the permis- whole; or
sion to use (on other than a casual or (B) Which is principally engaged in
transient basis), Federal property or the business of providing education,
any interest in such property without health care, housing, social services, or
consideration or at a nominal consider- parks and recreation; or
ation, or at a consideration which is re- (ii) The entire plant or other com-
duced for the purpose of assisting the parable, geographically separate facil-
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
175
§ 1250.103 14 CFR Ch. V (1–1–21 Edition)
term does not include any ultimate race, color, or national origin; or with
beneficiary. the purpose or effect of defeating or
(j) Responsible NASA official means: substantially impairing the accom-
(1) The heads of Offices at NASA plishment of the objectives of the Act
Headquarters responsible for making or this regulation.
grants, and contracts of the kind listed (4) Subject an individual to segrega-
in appendix A; and tion or separate treatment in any mat-
(2) Each Director of a field installa- ter related to his receipt of any service,
tion which makes or administers financial aid, or other benefit under
grants and contracts of the kind listed the program;
in appendix A, or any officer to whom (5) Restrict an individual in any way
he has delegated authority to act within the enjoyment of any advantage or
in the areas of responsibility assigned privilege enjoyed by others receiving
to him under this part. any service, financial aid, or other ben-
(k) United States means the States of efit under the program;
the United States, the District of Co- (6) Treat an individual differently
lumbia, Puerto Rico, the Virgin Is- from others in determining whether he
lands, American Samoa, Guam, Wake satisfies any admission, enrollment,
Island, the Canal Zone, and the terri- quota, eligibility, membership or other
tories and possessions of the United requirement or condition which indi-
States, and the term State means any viduals must meet in order to be pro-
one of the foregoing. vided any service, financial aid, or
[30 FR 301, Jan. 9, 1965, as amended at 38 FR other benefit provided under the pro-
17936, July 5, 1973; 68 FR 51350, Aug. 26, 2003] gram;
(7) Deny an individual an opportunity
§ 1250.103 Discrimination prohibited. to participate in the program through
the provision of services or otherwise
§ 1250.103–1 General. or afford him an opportunity to do so
No person in the United States shall, which is different from that afforded
on the ground of race, color or national others under the program (including
origin be excluded from participation the opportunity to participate in the
in, be denied the benefits of, or be oth- program as an employee but only to
erwise subjected to discrimination the extent set forth in § 1250.103–3).
under any program to which this part (b) A recipient, in determining the
applies. types of services, financial aid, or other
benefits, or facilities which will be pro-
§ 1250.103–2 Specific discriminatory vided under any such program, or the
acts prohibited. class of individuals to whom, or the sit-
(a) A recipient to which this part ap- uations in which, such services, finan-
plies may not, directly or through con- cial aid, other benefits, or facilities
tractual or other arrangements, on will be provided under any such pro-
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
176
National Aeronautics and Space Admin. § 1250.103–4
deemed to include any service, finan- work experience which contributes to

cial aid, or other benefit provided in or the education or training of such indi-
through a facility provided with the viduals.
aid of Federal financial assistance. (b) Employment opportunities pro-
(d) A recipient may not take action vided in connection with any of the
that is calculated to bring about indi- types of Federal financial assistance
rectly what this part forbids it to ac- listed in appendix A, which opportuni-
complish directly. ties are limited, or for which pref-
(e) The enumeration of specific forms erence is given, to students, fellows, or
of prohibited discrimination in this other persons in training for the same
section does not limit the generality of or related employments, are programs
the prohibition in § 1250.103–1. This reg- of the kind described in paragraph
ulation does not prohibit the consider- (a)(1) and (2) of this section.
ation of race, color, or national origin (c) The requirements applicable to
if the purpose and effect are to remove construction employment under any
or overcome the consequences of prac- such program shall be those specified
tices or impediments which have re- in or pursuant to Executive Order 11246
stricted the availability of, or partici- or any Executive order which super-
pation in, the program or activity re- sedes it.
ceiving Federal financial assistance, on
(d) Where a primary objective of the
the grounds of race, color, or national
Federal financial assistance is not to
origin. Where previous discriminatory
provide employment, but discrimina-
practices or usage tends, on the
tion on the grounds of race, color, or
grounds of race, color, or national ori-
national origin in the employment
gin, to exclude individuals from par-
practices of the recipient or other per-
ticipation in, to deny them the benefits
sons subject to the regulation tends, on
of, or to subject them to discrimina-
tion under any program or activity to the grounds of race, color, or national
which this regulation applies the appli- origin, to exclude individuals from par-
cant or recipient has an obligation to ticipation in, to deny them the benefits
take reasonable action to remove or of, or to subject them to discrimina-
overcome the consequences of the prior tion under any program to which this
discriminatory practice or usage, and regulation applies, the provisions of
to accomplish the purpose of the Act. paragraph (a) of this section shall
apply to the employment practices of
[30 FR 301, Jan. 9, 1965, as amended at 38 FR the recipient or other persons subject
17936, July 5, 1973; 68 FR 51350, Aug. 26, 2003] to the regulation, to the extent nec-
essary to assure equality of oppor-
§ 1250.103–3 Employment practices.
tunity to, and nondiscriminatory
(a) Where a primary objective of the treatment of, beneficiaries.
Federal financial assistance to a pro-
gram to which this part applies is to [30 FR 301, Jan. 9, 1965, as amended at 38 FR
provide employment, a recipient may 17936, July 5, 1973; 68 FR 51350, Aug. 26, 2003]
not directly or through contractual or
§ 1250.103–4 Illustrative applications.
other arrangements subject an indi-
vidual to discrimination on the ground (a) In training grant services dis-
of race, color, or national origin in its crimination is forbidden in the selec-
employment practices under such pro- tion or eligibility of individuals to be
gram (including recruitment or re- trained and in their treatment by the
cruitment advertising, employment, grantee during their training. In any
layoff or termination, upgrading, de- case where selection is made from a
motion, or transfer, rates of pay or predetermined group, such as the stu-
other forms of compensation, and use dents in an institution, the group must
of facilities), including programs where have been selected without discrimina-
a primary objective of the Federal fi- tion.
nancial assistance is (1) to assist such (b) In a research or training grant to
individuals through employment to a university for activities to be con-
meet expenses incident to the com- ducted in a graduate school, discrimi-
mencement or continuation of their nation in the admission and treatment
education or training, or (2) to provide of students in the graduate school is
177
§ 1250.103–5 14 CFR Ch. V (1–1–21 Edition)
prohibited and the prohibition extends sity is not adequately serving members
to the entire university. of a particular racial or nationality
(c) Discrimination in the treatment group, it may establish special recruit-
of students or other trainees includes ment policies to make its program bet-
the prohibition of discrimination ter known and more readily available
among the students or trainees in the to such group, and take other steps to
availability or use of any academic, provide that group with more adequate
dormitory, eating, recreational, or service.
other facilities of the grantee or other
[30 FR 301, Jan. 9, 1965, as amended at 38 FR
recipient.
17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003]
(d) In a research or training grant,
discrimination is prohibited with re- § 1250.103–5 Special benefits.
spect to the availability of any edu-
cational activity and any provision of An individual shall not be deemed
medical or other services and any fi- subjected to discrimination by reason
nancial aid to individuals incident to of his exclusion from the benefits lim-
the grant. ited by Federal law to individuals of a
(e) Upon transfers of real or personal particular race, color, or national ori-
property for research or educational gin different from his.
uses, discrimination is forbidden to the [30 FR 301, Jan. 9, 1965, as amended at 68 FR
same extent as in the case of grants for 51350, Aug. 26, 2003]
the construction of facilities or the
provision of equipment for like pur- § 1250.103–6 Medical emergencies.
poses.
(f) In some situations even though Notwithstanding the provisions of
past discriminatory practices have §§ 1250.103 to 1250.103–5, a recipient of
been abandoned, the consequences of Federal financial assistance shall not
such practices continue to impede the be deemed to have failed to comply
full availability of a benefit. If the ef- with § 1250.103–1, if immediate provision
forts required of the applicant or re- of a service or other benefit to an indi-
cipient under § 1250.105 to provide infor- vidual is necessary to prevent his death
mation as to the availability of the or serious impairment of his health,
program or activity, and the rights of and such service or other benefit can-
beneficiaries under this regulation, not be provided except by or through a
have failed to overcome these con- medical institution which refuses or
sequences, it will become necessary for fails to comply with § 1250.103–1.
such applicant or recipient to take ad-
ditional steps to make the benefits § 1250.104 Assurances.
fully available to racial and nation- (a) General requirement. Every appli-
ality groups previously subjected to cation for Federal financial assistance
discrimination. This action might take to which this part applies, and every
the form, for example, of special ar- application for Federal financial assist-
rangements for obtaining referrals or ance to provide a facility shall, as a
making selections which will insure condition to its approval and the ex-
that groups previously subjected to dis- tension of any Federal financial assist-
crimination are adequately served. ance pursuant to the application, con-
(g) Even though an applicant or retain, be accompanied by, or identify
cipient has never used discriminatory and make reference to, an assurance
policies, the services and benefits of that the program will be conducted or
the program or activity it administers the facility operated in compliance
may not in fact be equally available to with all requirements imposed by or
some racial or nationality groups. In pursuant to this part. If the assurance
such circumstances an applicant or re- is not made a part of the application,
cipient may properly give special con- the application shall identify the as-
sideration to race, color, or national surance which is applicable to the ap-
origin to make the benefits of its pro- plication. One assurance shall suffice
gram more widely available to such for all applications of an applicant if
groups, not then being adequately the assurance complies with the condi-
served. For example, where a univer- tions made applicable by this part to
178
each such application for Federal fi- facilities for the provision of research,
nancial assistance. Every assurance training, or educational services, as-
shall include provisions which give the surances will be required that services
United States a right to seek its judi- will be provided without discrimina-
cial enforcement. tion, to the same extent that discrimi-
(b) Duration of assurances. The period nation would be forbidden as a condi-
of time to be covered by the assurances tion of grants for the support of such
required under this § 1250.104 shall be as services. Thus, as a condition of grants
follows: for the construction of academic, re-
(1) Real property. In the case of an ap- search or other facilities at institu-
plication for Federal financial assist- tions of higher education, assurances
ance for providing real property or
will be required that there will be no
structures thereon, the assurance shall
discrimination in the admission or
obligate the recipient, or in the case of
a subsequent transfer, the transferee, treatment of students. Also, see para-
for the period during which the real graph (c) of this section for the require-
property or structures are used for a ment as to the applicability of the as-
purpose for which the Federal financial surance to the applicant’s organiza-
assistance is extended or for another tion.
purpose involving the provision of (e) Instrument effecting or recording
similar services or benefits. transfers of real property. The instru-
(2) Personal property. In the case of an ment effecting or recording the trans-
application for Federal financial assist- fer, shall contain a covenant running
ance for providing personal property, with the land assuring nondiscrimina-
the assurance shall obligate the recipi- tion for the period during which the
ent for the period during which he re- real property is used for a purpose for
tains ownership or possession of the which the Federal financial assistance
property. is extended or for another purpose in-
(3) Other kinds of Federal financial as- volving the provision of similar serv-
sistance. In the case of an application ices or benefits. Where no transfer of
for any other kind of Federal financial property is involved, but property is
assistance, the assurance shall obligate improved with Federal financial assist-
the recipient for the period during ance, the recipient shall agree to in-
which Federal financial assistance is
clude such a covenant in any subse-
extended pursuant to the application.
quent transfer of such property. Where
(c) Assurances for research, training, or
the property is obtained from the Fed-
educational programs. (1) In the case of
application by an institution of higher eral Government, such covenant may
education or any other organization for also include a condition coupled with a
Federal financial assistance for a pro- right to be reserved by NASA to revert
gram or activity which involves par- title to the property in the event of a
ticipation by students, fellows or train- breach of the covenant where, in the
ees, including but not limited to assist- discretion of the responsible NASA of-
ance for research, training, or the pro- ficial, such a condition and right of re-
vision of facilities, the assurance re- verter is appropriate to the statute
quired by this § 1250.104 shall extend to under which the real property is ob-
admission practices and to all other tained and to the nature of the grant
practices relating to the treatment of and the grantee.
students or other participants. (f) Assurances for transfer of surplus
(2) The assurances from such an ap- real property. Transfers of surplus prop-
plicant shall be applicable to the entire erty are subject to regulations issued
organization of the applicant. by the Administrator of General Serv-
(d) Assurances for construction of facili- ices (41 CFR 101–6.2).
ties. In the case of assistance for the (g) Form of assurances. The respon-
construction of a facility, or part sible NASA officials shall specify the
thereof, the assurance shall extend to
form of assurances required by this
the entire facility and to facilities op-
§ 1250.104 and the extent to which like
erated in connection therewith. In
grants to assist in the construction of
179
§ 1250.105 14 CFR Ch. V (1–1–21 Edition)
assurances will be required by sub- son and that agency, institution or per-
grantees, contractors and subcontrac- son shall fail or refuse to furnish this
tors, transferees, successors in inter- information, the recipient shall so cer-
est, and other participants in the pro- tify in its report and shall set forth
gram. what efforts it has made to obtain the
(h) Requests for proposals. Any request information.
for proposals issued by NASA which re- (d) Information to beneficiaries and
lates to covered financial assistance participants. Each recipient shall make
listed in appendix A shall have set available to participants, beneficiaries,
forth therein or have attached thereto and other interested persons such in-
the assurance prescribed in accordance formation regarding the provisions of
with paragraph (g) of this section, and this part and its applicability to the
shall require that the proposer either program for which the recipient re-
include the assurance as a part of his ceives Federal financial assistance, and
signed proposal or identify and refer to make such information available to
an assurance already signed and sub- them in such manner, as the Principal
mitted by the proposer. Compliance Officer finds necessary to
[30 FR 301, Jan. 9, 1965, as amended at 38 FR
apprise such persons of the protection
17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003] against discrimination assured them
by the Act and this part.
§ 1250.105 Compliance information. [30 FR 301, Jan. 9, 1965, as amended at 68 FR
(a) Cooperation and assistance. Each 51350, Aug. 26, 2003]
responsible NASA official shall to the
fullest extent practicable seek the co- § 1250.106 Conduct of investigations.
operation of recipients in obtaining (a) Periodic compliance reviews. The re-
compliance with this part and shall sponsible NASA official or his designee
provide assistance and guidance to re- shall from time to time review the
cipients to help them comply volun- practices of recipients to determine
tarily with this part. whether they are complying with this
(b) Compliance reports. Each recipient part.
shall keep such records and submit to (b) Complaints. Any person who be-
the Principal Compliance Officer or his lieves himself or any specific class of
designee timely, complete and accurate individuals to be subjected to discrimi-
compliance reports at such times, and nation prohibited by this part may by
in such form and containing such infor- himself or by a representative file with
mation, as the Principal Compliance the Principal Compliance Officer or his
Officer or his designee may determine designee a written complaint. A com-
to be necessary to enable him to ascer- plaint must be filed not later than 90
tain whether the recipient has com- days from the date of the alleged dis-
plied or is complying with this part. In crimination, unless the time for filing
the case in which a primary recipient is extended by the Principal Compli-
extends Federal financial assistance to ance Officer or his designee.
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. whether the recipient has failed to
Where any information required of a comply with this part.
recipient is in the exclusive possession (d) Resolution of matters. (1) If an in-
of any other agency, institution or per- vestigation pursuant to paragraph (c)
180
of this section indicates a failure to otherwise fails or refuses to comply

comply with this part, the Principal with a requirement imposed by or pur-
Compliance Officer or his designee will suant to that section, Federal financial
so inform the recipient and the matter assistance may be refused in accord-
will be resolved by informal means ance with the procedures of paragraph
whenever possible. If it has been deter- (c) of this section. NASA shall not be
mined that the matter cannot be re- obligated to provide assistance in such
solved by informal means, action will a case during the pendency of the ad-
be taken as provided for in § 1250.107. ministrative proceedings under such
(2) If an investigation does not war- subsection except that NASA shall con-
rant action pursuant to paragraph tinue assistance during the pendency of
(d)(1) of this section, the responsible such proceedings where such assistance
NASA official or his designee will so is due and payable pursuant to an ap-
inform the recipient and the complain- plication therefor approved prior to the
ant, if any, in writing. effective date of this part.
(e) Intimidatory or retaliatory acts pro- (c) Termination of or refusal to grant or
hibited. No recipient or other person to continue Federal financial assistance.
shall intimidate, threaten, coerce, or No order suspending, terminating or
discriminate against any individual for refusing to grant or continue Federal
the purpose of interfering with any financial assistance shall become effec-
right or privilege secured by section 601 tive until (1) the responsible NASA of-
of the Act or this part, or because he ficial has advised the applicant or re-
has made a complaint, testified, as- cipient of his failure to comply and has
sisted, or participated in any manner determined that compliance cannot be
in an investigation, proceeding, or secured by voluntary means, (2) there
hearing under this part. The identity of has been an express finding on the
complainants shall be kept confiden- record, after opportunity for hearing,
tial except to the extent necessary to of a failure by the applicant or recipi-
carry out the purposes of this part, in- ent to comply with a requirement im-
cluding the conduct of any investiga- posed by or pursuant to this part, (3)
tion, hearing, or judicial proceeding the action has been approved by the
arising thereunder. Administrator pursuant to § 1250.109(e),
and (4) the expiration of 30 days after
§ 1250.107 Procedure for effecting com- the Administrator has filed with the
pliance. committee of the House and the com-
(a) General. If there appears to be a mittee of the Senate having legislative
failure or threatened failure to comply jurisdiction over the program involved,
with this part, and if the noncompli- a full written report of the cir-
ance or threatened noncompliance can- cumstances and the grounds for such
not be corrected by informal means, action. Any action to suspend or termi-
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
181
§ 1250.108 14 CFR Ch. V (1–1–21 Edition)
of at least 10 days from the mailing of cretion, before a hearing examiner des-
such notice to the recipient or other ignated in conformity with 5 U.S.C.
person. During this period of at least 10 3105 and 3344 (section 11 of the Adminis-
days additional efforts shall be made to trative Procedure Act).
persuade the recipient or other person (c) Right to counsel. In all proceedings
to comply with this part and to take under this section, the applicant or re-
such corrective action as may be ap- cipient and NASA shall have the right
propriate. to be represented by counsel.
[30 FR 301, Jan. 9, 1965, as amended at 38 FR (d) Procedures, evidence, and record. (1)
17937, July 5, 1973] The hearing, decision, and any admin-
istrative review thereof shall be con-
§ 1250.108 Hearings. ducted in conformity with 5 U.S.C. 554–
(a) Opportunity for hearing. Whenever 557 (section 5–8 of the Administrative
an opportunity for a hearing is re- Procedure Act), and in accordance with
quired by § 1250.107(c), reasonable no- such rules of procedure as are proper
tice shall be given by registered or cer- (and not inconsistent with this section)
tified mail, return receipt requested, to relating to the conduct of the hearing,
the affected applicant or recipient. giving of notices subsequent to those
This notice shall advise the applicant provided for in paragraph (a) of this
or recipient of the action proposed to section, taking of testimony, exhibits,
be taken, the specific provision under arguments, and briefs, requests for
which the proposed action against it is findings, and other related matters.
to be taken, and the matters of fact or Both NASA and the applicant or recipi-
law asserted as the basis for this ac- ent shall be entitled to introduce all
tion, and either (1) fix a date not less relevant evidence on the issues as stat-
than 20 days after the date of such no- ed in the notice for hearing or as deter-
tice within which the applicant or re- mined by the officer conducting the
cipient may request of the Principal hearing at the outset of or during the
Compliance Officer that the matter be hearing.
scheduled for hearing or (2) advise the (2) Technical rules of evidence shall
applicant or recipient that the matter not apply to hearings conducted pursu-
in question has been set down for hear- ant to this part, but rules or principles
ing at a stated place and time. The designed to assure production of the
time and place so fixed shall be reason- most credible evidence available and to
able and shall be subject to change for subject testimony to test by cross-ex-
cause. The complainant, if any, shall amination shall be applied where rea-
be advised of the time and place of the sonably necessary by the officer con-
hearing. An applicant or recipient may ducting the hearing. The hearing offi-
waive a hearing and submit written in- cer may exclude irrelevant, immate-
formation and argument for the record. rial, or unduly repetitious evidence. All
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,
182
or non-compliance with this part and ing, the applicant or recipient shall be
the regulations of one or more other given reasonable opportunity to file
Federal departments or agencies issued with him briefs or other written state-
under Title VI of the Act, the Adminis- ments of its contentions, and a copy of
trator may, by agreement with such the final decision of the Principal Com-
other departments or agencies where pliance Officer shall be given in writing
applicable, provide for the conduct of to the applicant or recipient and to the
consolidated or joint hearings, and for complainant, if any.
the application to such hearings of (c) Decisions on record where a hearing
rules of procedures not inconsistent is waived. Whenever a hearing is waived
with the part. Final decisions in such pursuant to § 1250.108, a decision shall
cases, insofar as this part is concerned, be made by the Principal Compliance
shall be made in accordance with Officer on the record and a copy of such
§ 1250.109. decision shall be given in writing to
[30 FR 301, Jan. 9, 1965, as amended at 38 FR the applicant or recipient, and to the
17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003] complainant, if any.
(d) Rulings required. Each decision of
§ 1250.109 Decisions and notices. a hearing officer or the Principal Com-
(a) Decision by person other than the pliance Officer shall set forth his rul-
NASA Principal Compliance Officer. If ing on each finding, conclusion, or ex-
the hearing is held by a hearing exam- ception presented, and shall identify
iner, such hearing examiner shall ei- the requirement or requirements im-
ther make an initial decision, if so au- posed by or pursuant to this part with
thorized, or certify the entire record which it is found that the applicant or
including his recommended findings recipient has failed to comply.
and proposed decision to the Principal (e) Approval by administrator. Any
Compliance Officer for a final decision, final decision of the NASA Principal
and a copy of such initial decision or Compliance Officer which provides for
certification shall be mailed to the ap- the suspension or termination of, or
plicant or recipient. Where the initial the refusal to grant or continue Fed-
decision is made by the hearing exam- eral financial assistance, or the imposi-
iner, the applicant or recipient may, tion of any other sanction available
within 30 days of the mailing of such under this part or the Act, shall
notice of initial decision, file with the promptly be transmitted to the Admin-
Principal Compliance Officer his excep- istrator, who may approve such deci-
tions to the initial decision with his sion, may vacate it, or remit or miti-
reasons therefor. In the absence of ex- gate any sanction imposed.
ceptions, the Principal Compliance Of- (f) Content of orders. The final deci-
ficer may on his own motion, within 45 sion may provide for suspension or ter-
days after the initial decision, serve on mination of, or refusal to grant or con-
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.
183
§ 1250.110 14 CFR Ch. V (1–1–21 Edition)
(g) Post termination proceedings. (1) An against individuals on the ground of

applicant or recipient adversely af- race, color, or national origin under
fected by an order issued under para- any program to which this part applies,
graph (f) of this section shall be re- and which authorize the suspension or
stored to full eligibility to receive Fed- termination of or refusal to grant or to
eral financial assistance if it satisfies continue Federal financial assistance
the terms and conditions of that order to any applicant for or recipient of
for such eligibility or if it brings itself such assistance for failure to comply
into compliance with this regulation with such requirements, are hereby su-
and provides reasonable assurance that perseded to the extent that such dis-
it will fully comply with this regula- crimination is prohibited by this part,
tion. except that nothing in this part shall
(2) Any applicant or recipient ad- be deemed to relieve any person of any
versely affected by an order entered obligation assumed or imposed under
pursuant to paragraph (f) of this sec- any such superseded regulation, order,
tion may at any time request the Prin- instruction, or like direction prior to
cipal Compliance Officer to restore the effective date of this Instruction.
fully the eligibility to receive Federal Nothing in this part, however, shall be
financial assistance. Any such request deemed to supersede any of the fol-
shall be supported by information lowing (including future amendments
showing that the applicant or recipient thereof): (1) Executive Orders 10925 and
has met the requirements of paragraph 11246 and regulations or instructions
(g)(1) of this section. If the Principal issued thereunder, or (2) any other reg-
Compliance Officer determines that ulations or instructions, insofar as
those requirements have been satisfied, such other regulations or instructions
he shall restore such eligibility. prohibit discrimination on the ground
(3) If the Principal Compliance Offi- of race, color, or national origin in any
cer denies any such request, the appli- program or situation to which this part
cant or recipient may submit a request is inapplicable, or prohibit discrimina-
for a hearing in writing, specifying why tion on any other ground.
it believes such official to have been in (b) Forms and instructions. Each re-
error. It shall thereupon be given an sponsible NASA official shall issue and
expeditious hearing, with a decision on promptly make available to interested
the record, in accordance with rules of persons forms and detailed instructions
procedure issued by the Principal Com- and procedures for effectuating this
pliance Officer. The applicant or recipi- part as applied to financial assistance
ent will be restored to such eligibility to which this part applies and for
if it proves at such a hearing that it which he is responsible.
satisfied the requirements of paragraph (c) Supervision and coordination. The
(g)(1) of this section. While proceedings Administrator may assign to officials
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; cation of Title VI and this part to simi-
forms and instructions. 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 sponsibility under this subsection shall
184
have the same effect as though such ac- 1251.109 Effect of State or local law or other
tion has been taken by the responsible requirements and effect of employment
official of this agency. opportunities.
1251.110 Direct threat.
[30 FR 301, Jan. 9, 1965, as amended at 38 FR 1251.111 Reasonable accommodation.
17937, July 5, 1973; 68 FR 51350, Aug. 26, 2003] 1251.112 Communications.
1251.113 Illegal Use of drugs.
§ 1250.112 Relationship with other offi-
cials. Subpart 1251.2—Employment Practices
NASA officials, in performing the
functions assigned to them by this 1251.200 Discrimination prohibited.
1251.201 Reasonable accommodation.
part, are responsible for recognizing
1251.202 Employment criteria.
the delegations of authority and re-
1251.203 Preemployment inquiries.
sponsibility of other NASA officials
and for seeing the actions taken or in- Subpart 1251.3—Accessibility
structions issued by them are properly
coordinated with the offices and divi- 1251.300 Discrimination prohibited.
sions having joint interests. 1251.301 Existing facilities.
1251.302 New construction.
APPENDIX A TO PART 1250—NASA FED-
ERAL FINANCIAL ASSISTANCE TO Subpart 1251.4—Procedures
WHICH THIS PART APPLIES
1251.400 Compliance Procedures.
1. Grants made under the authority of Pub.
L. 85–934, approved September 6, 1958 (42 Subpart 1251.5—Enforcement of Non-
U.S.C. 1891–1893). discrimination on the Basis of Disability
2. Contracts with nonprofit institutions of in Programs or Activities Conducted
higher education or with nonprofit organiza- by the National Aeronautics and
tions whose primary purpose is the conduct Space Administration
of scientific research, wherein title to equip-
ment purchased with funds under such con- 1251.501 Purpose.
tracts may be vested in such institutions or 1251.502 Application.
organizations under the authority of section 1251.503 Definitions.
2 of Pub. L. 85–934, approved September 6, 1251.504–1251.509 [Reserved]
1938 (42 U.S.C. 1892).
1251.510 Self-evaluation.
3. Training grants made under the author-
1251.511 Notice.
ity of the National Aeronautics and Space
Act of 1958, as amended (42 U.S.C. 2451–2460, 1251.512–1251.529 [Reserved]
2472–2473). 1251.530 General prohibitions against dis-
4. Facilities grants made under authority crimination.
in annual NASA authorization and appro- 1251.531–1251.539 [Reserved]
priation acts. 1251.540 Employment.
1251.541–1251.548 [Reserved]
[30 FR 301, Jan. 9, 1965, as amended at 38 FR 1251.549 Program accessibility: Discrimina-
17936, July 5, 1973] tion prohibited.
1251.550 Program accessibility: Existing fa-
PART 1251—NONDISCRIMINATION cilities.
ON BASIS OF DISABILITY 1251.551 Program accessibility: New con-
struction and alterations.
Subpart 1251.1—General Provisions 1251.552–1251.559 [Reserved]
1251.560 Communications.
Sec. 1251.561–1251.569 [Reserved]
1251.100 Purpose and broad coverage. 1251.570 Compliance procedures.
1251.101 Application. 1251.571–1251.579 [Reserved]
1251.102 Definitions. 1251.580 Direct threat.
1251.103 Discrimination prohibited. 1251.581 Reasonable accommodation.
1251.104 Assurances required. 1251.582 Illegal use of drugs
1251.105 Remedial action, voluntary action, 1251.583–1251.999 [Reserved]
and self-evaluation.
1251.106 Designation of responsible em- AUTHORITY: Sec. 504 (29 U.S.C. 794)
ployee and adoption of grievance proce- SOURCE: 51 FR 26862, July 28, 1986, unless
dures. otherwise noted.
1251.107 Notice.
1251.108 Administrative requirements for EDITORIAL NOTE: Nomenclature changes to
small recipients. part 1251 appear at 81 FR 3709, Jan. 22, 2016.
185
§ 1251.100 14 CFR Ch. V (1–1–21 Edition)
Subpart 1251.1—General a NASA official or by a recipient, as a

Provisions condition to becoming a recipient.
(d) Associate Administrator means the
§ 1251.100 Purpose and broad cov- Associate Administrator for Diversity
erage. and Equal Opportunity Programs for
(a) Purpose. This part effectuates sec- NASA.
tion 504 of the Rehabilitation Act of (e) Auxiliary aids and services means
1973, which is designed to eliminate dis- services or devices that enable persons
crimination on the basis of disability with sensory, manual, or speech dis-
in any program or activity receiving abilities to have an equal opportunity
Federal financial assistance. to participate in, and enjoy the bene-
(b) Broad scope of coverage. Consistent fits of, programs or activities con-
with the Americans with Disabilities ducted by the recipient. Auxiliary aids
Act Amendments Act of 2008’s purpose and services include:
(ADA Amendments Act) of reinstating (1) Qualified interpreters onsite or
a broad scope of protection under the through video remote interpreting
ADA and section 504, the definition of (VRI) services; notetakers; real-time
‘‘disability’’ applicable to this part computer-aided transcription services;
shall be construed broadly in favor of written materials; exchange of written
expansive coverage to the maximum notes; telephone handset amplifiers; as-
extent permitted by the terms of this sistive listening devices; assistive lis-
part. The primary object of attention tening systems; telephones compatible
in cases brought under this part should with hearing aids; closed caption de-
be whether entities covered under sec- coders; open and closed captioning, in-
tion 504 have complied with their obli- cluding real-time captioning; voice,
gations and whether discrimination text, and video-based telecommuni-
has occurred, not whether the indications products and systems, includ-
vidual meets the definition of dis- ing text telephones (TTYs),
ability. The question of whether an in- videophones, and captioned telephones,
dividual meets the definition of dis- or equally effective telecommuni-
ability under this part should not de- cations devices; videotext displays; ac-
mand extensive analysis. cessible electronic and information
[81 FR 3709, Jan. 22, 2016] technology; or other effective methods
of making aurally delivered informa-
§ 1251.101 Application. tion available to individuals who are
This part applies to each recipient of deaf or hard of hearing;
Federal financial assistance from the (2) Qualified readers; taped texts;
National Aeronautics and Space Ad- audio recordings; Brailled materials
ministration and to each program or and displays; screen reader software;
activity that receives such assistance. magnification software; optical read-
[51 FR 26862, July 28, 1986, as amended at 68 ers; secondary auditory programs
FR 51351, Aug. 26, 2003] (SAP); large print materials; accessible
electronic and information technology;
§ 1251.102 Definitions or other effective methods of making
As used in this part, the term: visually delivered materials available
(a) 2004 ADAAG means the Americans to individuals who are blind or have
with Disabilities Act (ADA) Accessi- low vision;
bility Guidelines for Buildings and Fa- (3) Acquisition or modification of
cilities requirements set forth in ap- equipment or devices; and
pendices B and D to 36 CFR part 1191 (4) Other similar services and ac-
(2009). tions.
(b) 2010 Standards means the 2010 ADA (f) Direct threat means a significant
Standards for Accessible Design, which risk to the health or safety of others
consist of the 2004 ADAAG and the re- that cannot be eliminated by a change
quirements contained in 28 CFR 35.151. to policies, practices or procedures, or
(c) Applicant for assistance means one by the provision of auxiliary aids or
who submits an application, request, or services as provided in § 1251.110 of this
plan required to be approved either by part.
186
(g) Disability means the definition tality of a State or of a local govern-

given that term in the Department of ment; or
Justice’s regulation implementing title (ii) The entity of such State or local
II of the ADA at 28 CFR part 35. government that distributes such as-
(h) Drug means a controlled sub- sistance and each such department or
stance as defined in schedules I agency (and each other State or local
through V of section 202 of the Con- government entity) to which the as-
trolled Substances Act (21 U.S.C. 812). sistance is extended, in the case of as-
(i) Facility means all or any portion sistance to a State or local govern-
of buildings, structures, equipment, ment;
roads, walks, parking lots, or other (2)(i) A college, university, or other
real or personal property or interest in postsecondary institution, or a public
such property. system of higher education; or
(j) Federal financial assistance means
(ii) A local educational agency (as de-
any grant, loan, contract (other than a
fined in 20 U.S.C. 7801), system of voca-
procurement contract or a contract of
tional education, or other school sys-
insurance or guaranty), or any other
arrangement by which the agency pro- tem;
vides or otherwise makes available as- (3)(i) An entire corporation, partner-
sistance in the form of: ship, or other private organization, or
(1) Funds; an entire sole proprietorship—
(2) Services of Federal personnel; or (A) If assistance is extended to such
(3) Real and personal property or any corporation, partnership, private orga-
interest in or use of such property, in- nization, or sole proprietorship as a
cluding: whole; or
(i) Transfers or leases of such prop- (B) Which is principally engaged in
erty for less than fair market value or the business of providing education,
for reduced consideration; and health care, housing, social services, or
(ii) Proceeds from a subsequent parks and recreation; or
transfer or lease of such property if the (ii) The entire plant or other com-
Federal share of its fair market value parable, geographically separate facil-
is not returned to the Federal Govern- ity to which Federal financial assist-
ment. ance is extended, in the case of any
(k) Illegal use of drugs means the use other corporation, partnership, private
of one or more drugs, the possession or organization, or sole proprietorship; or
distribution of which is unlawful under (4) Any other entity which is estab-
the Controlled Substances Act (21 lished by two or more of the entities
U.S.C. 812). The term illegal use of drugs described in paragraph (m)(1), (2), or (3)
does not include the use of a drug of this section.
taken under supervision by a licensed
(n) Qualified individual with a dis-
health care professional, or other uses
ability means:
authorized by the Controlled Sub-
stances Act or other provisions of Fed- (1) With respect to any aid, benefit,
eral law. or service, provided under a program or
(l) Individual with a disability means activity subject to this part, an indi-
any individual who has a disability as vidual with a disability who, with or
defined in 28 CFR part 35. The term without reasonable accommodations in
‘‘individual with a disability’’ does not rules policies, or procedures, the re-
include an individual who is currently moval of architectural, communica-
engaging in the illegal use of drugs, tion, or transportation barriers, or the
when the recipient acts on the basis of provision auxiliary aids or services,
such use. meets the essential eligibility require-
(m) Program or activity means all of ments for participation in, or receipt
the operations of any entity described from, that aid, benefit, or service, and
in paragraphs (m)(1) through (4) of this (2) With respect to employment, the
section, any part of which is extended definition given that term in the Equal
Federal financial assistance: Employment Opportunity Commis-
(1)(i) A department, agency, special sion’s regulation at 29 CFR part 1630,
purpose district, or other instrumen- implementing Title I of the Americans
187
§ 1251.103 14 CFR Ch. V (1–1–21 Edition)
with Disabilities Act of 1990, which reg- disability by providing significant as-
ulation is made applicable to this part sistance to an agency, organization, or
by § 1251.2. person that discriminates on the basis
(o) Recipient means any state or its of disability in providing any aid, ben-
political subdivision, any instrumen- efit, or service to beneficiaries of the
tality of a state or its political subdivi- recipient’s program or activity;
sion, any public or private agency, in- (vi) Deny a qualified individual with
stitution, organization, or other enti- a disability the opportunity to partici-
ty, or any person to which Federal fi- pate as a member of planning or advi-
nancial assistance is extended directly sory boards; or
or through another recipient, including (vii) Otherwise limit a qualified indi-
any successor, assignee, or transferee vidual with a disability in the enjoy-
of a recipient, but excluding the ulti- ment of any right, privilege, advan-
mate beneficiary of the assistance. tage, or opportunity enjoyed by others
(p) Section 504 means section 504 of receiving an aid, benefit, or service.
the Act. (2) For purposes of this part, aids,
(q) The Act means the Rehabilitation benefits, and services, to be equally ef-
Act of 1973, Pub. L. 93–112, as amended, fective, are not required to produce the
29 U.S.C. 794 et seq. identical result or level of achievement
[81 FR 3709, Jan. 22, 2016] for individuals with disabilities and in-
dividuals without disabilities, but must
§ 1251.103 Discrimination prohibited. afford individuals with disabilities
(a) General. No qualified individual equal opportunity to obtain the same
with a disability shall, on the basis of result, to gain the same benefit, or to
disability, be excluded from participa- reach the same level of achievement, in
tion in, be denied the benefits of, or the most integrated setting appro-
otherwise be subjected to discrimina- priate to the person’s needs.
tion under any program or activity (3) Recipients shall take appropriate
which receives Federal financial assist- steps to ensure that no individual with
ance. disability is denied the benefits of, ex-
(b) Discriminatory actions prohibited. cluded from participation in, or other-
(1) A recipient, in providing any aid, wise subjected to discrimination in any
benefits, or services, may not, directly program or activity receiving Federal
or through contractual, licensing, or financial assistance because of the ab-
other arrangements, on the basis of sence of auxiliary aids for individuals
disability: with impaired sensory, manual, or
(i) Deny a qualified individual with a speaking skills.
disability the opportunity to partici- (4) Despite the existence of separate
pate in or benefit from the aid, benefit, or different aid, benefits, or services
or service; provided in accordance with this part,
(ii) Afford a qualified individual with a recipient may not deny a qualified in-
a disability an opportunity to partici- dividual with a disability the oppor-
pate in or benefit from aid, benefit, or tunity to participate in such programs
service that is not equal to that af- or activities that are not separate or
forded others; different.
(iii) Provide a qualified individual (5) A recipient may not, directly or
with a disability with an aid, benefit, through contractual or other arrange-
or service that is not as effective as ments, utilize criteria or methods of
that provided to others; administration:
(iv) Provide different or separate aid, (i) That have the effect of subjecting
benefits, or services to individuals with qualified individuals with disabilities
disabilities or to any class of individ- to discrimination of the basis of dis-
uals with disabilities unless such ac- ability;
tion is necessary to provide qualified (ii) That have the purpose or effect of
individuals with disabilities with aid, defeating or substantially impairing
benefits, or services that are as effec- accomplishment of the objectives of
tive as those provided to others; the recipient’s program or activity
(v) Aid or perpetuate discrimination with respect to individuals with dis-
against a qualified individual with a abilities; or
188
(iii) That perpetuate the discrimina- (b) Duration of obligation. (1) In the
tion of another recipient if both recipi- case of Federal financial assistance ex-
ents are subject to common adminis- tended in the form of real property or
trative control or are agencies of the to provide real property or structures
same State. on the property, the assurance will ob-
(6) In determining the site or loca- ligate the recipient or, in the case of a
tion of a facility, an applicant for as- subsequent transfer, the transferee, for
sistance or a recipient may not make the period during which the real prop-
selections: erty or structures are used for the pur-
(i) That have the effect of excluding pose for which Federal financial assist-
individuals with disabilities from, de- ance is extended or for another purpose
nying them the benefits of, or other- involving the provision of similar serv-
wise subjecting them to discrimination ices or benefits.
under any program or activity that re- (2) In the case of Federal financial as-
ceives Federal financial assistance; or sistance extended to provide personal
(ii) That have the purpose or effect of property, the assurance will obligate
defeating or substantially impairing the recipient for the period during
the accomplishment of the objectives which it retains ownership or posses-
of the program or activity with respect sion of the property.
to individuals with disabilities. (3) In all other cases, the assurance
(7) As used in this section, the aid, will obligate the recipient for the pe-
benefit, or service provided under a riod during which Federal financial as-
program or activity receiving Federal sistance is extended.
financial assistance includes any aid, (c) Covenants. (1) Where Federal fi-
benefit, or service provided in or nancial assistance is provided in the
through a facility that has been conform of real property or interest in the
structed, expanded, altered, leased or property from NASA, the instrument
rented, or otherwise acquired, in whole effecting or recording this transfer
or in part, with Federal financial as- shall contain a covenant running with
sistance. the land to assure nondiscrimination
(8) Recipients shall take appropriate for the period during which the real
steps to ensure that communications property is used for a purpose for which
with their applicants, employees, and the Federal financial assistance is ex-
beneficiaries are available to persons tended or for another purpose involving
with impaired vision and hearing. the provision of similar services or
(c) Aid, benefits, or services limited by benefits.
Federal law. The exclusion of individ- (2) Where no transfer of property is
uals without disabilities from aid, ben- involved but property is purchased or
efits, or services limited by Federal improved with Federal financial assist-
statute of Executive order to individ- ance, the recipient shall agree to in-
uals with disabilities from aid, bene- clude the covenant described in para-
fits, or services limited by Federal graph (c)(3) of this section in the in-
statute or Executive order to a dif- strument effecting or recording any
ferent class of individuals with disabil- subsequent transfer of the property.
ities is not prohibited by this part. (3) Where Federal financial assist-
ance is provided in the form of real
[51 FR 26862, July 28, 1986, as amended at 68 property or interest in the property
FR 51351, Aug. 26, 2003] from NASA, the covenant shall also in-
clude a condition coupled with a right
§ 1251.104 Assurances required. to be reserved by NASA to revert title
(a) Assurances. An applicant for Fed- to the property in the event of a breach
eral financial assistance to which this of the covenant. If a transferee of real
part applies shall submit an assurance, property proposes to mortgage or oth-
on a form specified by the Associate erwise encumber the real property as
Administrator, that the program or ac- security for financing construction of
tivity will be operated in compliance new, or improvement of existing facili-
with this part. An applicant may incor- ties on the property for the purposes
porate these assurances by reference in for which the property was transferred,
subsequent applications to NASA. the Associate Administrator may, upon
189
§ 1251.105 14 CFR Ch. V (1–1–21 Edition)
request of the transferee and if nec- (c) Self-evaluation. (1) A recipient

essary to accomplish such financing shall, within 1 year of the effective
and upon such conditions as he or she date of this part; or within 1 year of
deems appropriate, agree to forbear the first becoming a recipient:
exercise of such right to revert title for (i) Evaluate, with the assistance of
so long as the lien of such mortgage or interested persons, including individ-
other encumbrance remains effective. uals with disabilities or organizations
representing individuals with disabil-
FR 51351, Aug. 26, 2003; 81 FR 3711, Jan. 22,
ities, its current policies and practices
2016] and the effects thereof that do not or
may not meet the requirements of this
§ 1251.105 Remedial action, voluntary part;
action, and self-evaluation. (ii) Modify, after consultation with
interested persons, including individ-
(a) Remedial action. (1) If the Asso-
uals with disabilities or organizations
ciate Administrator finds that a recipi-
representing individuals with disabil-
ent has discriminated against persons
ities, any policies and practices that do
on the basis of disability in violation of
not meet the requirements of this part;
section 504 or this part, the recipient
and
shall take such remedial action as the
(iii) Take, after consultation with in-
Associate Administrator deems nec-
terested persons, including individuals
essary to overcome the effects to the
with disabilities or organizations rep-
discrimination.
resenting individuals with disabilities,
(2) Where a recipient is found to have appropriate remedial steps to elimi-
discriminated against persons on the nate the effects of any discrimination
basis of disability in violation of sec- that resulted from adherence to these
tion 504 or this part and where another policies and practices.
recipient exercises control over the re- (2) A recipient that employs 15 or
cipient that has discriminated, the As- more persons shall, for at least 3 years,
sociate Administrator, where appro- follow completion of the evaluation re-
priate, may require either or both required under paragraph (c)(1) of this
cipients to take remedial action. section, maintain on file, make avail-
(3) The Associate Administrator may, able for public inspection, and provide
where necessary to overcome the ef- to the Associate Administrator upon
fects of discrimination in violation of request:
section 504 or this part, require a re- (i) A list of the interested persons
cipient to take remedial action: consulted;
(i) With respect to individuals with (ii) A description of areas examined
disabilities who are no longer partici- and any problems identified; and
pants in the recipient’s program or ac- (iii) A description of any modifica-
tivity but who were participants in the tions made and of any remedial steps
program or activity when such dis- taken.
crimination occurred; or
(ii) With respect to individuals with FR 51351, Aug. 26, 2003; 81 FR 3711, Jan. 22,
disabilities who would have been par- 2016]
ticipants in the program or activity
had the discrimination not occurred; or § 1251.106 Designation of responsible
(iii) With respect to individuals with employee and adoption of grievance
disabilities presently in the program or procedures.
activity, but not receiving full benefits (a) Designation of responsible employee.
or equal and integrated treatment A recipient that employs 15 or more
within the program or activity. persons shall designate at least one
(b) Voluntary action. A recipient may person to coordinate its efforts to com-
take steps, in addition to any action ply with this part.
that is required by this part, to over- (b) Adoption of grievance procedures. A
come the effects of conditions that re- recipient that employs 15 or more per-
sulted in limited participation in the sons shall adopt grievance procedures
recipient’s program or activity by that incorporate appropriate due proc-
qualified individuals with disabilities. ess standards and that provide for the
190
prompt and equitable resolution of § 1251.108 Administrative require-

complaints alleging any action prohib- ments for small recipients.
ited by this part. Such procedures need
The Associate Administrator may re-
not to be established with respect to
quire any recipient with fewer than 15
complaints from applicants for employ-
ment or from applicants for admission employees, or any class of such recipi-
to postsecondary educational institu- ents, to comply with §§ 1251.106 and
tions. 1251.107, in whole or in part, when the
Associate Administrator finds a viola-
§ 1251.107 Notice. tion of this part or finds that such
(a) A recipient that employs 15 or compliance will not significantly im-
more persons shall take appropriate pair the ability of the recipient or class
initial and continuing steps to notify of recipients to provide benefits or
participants, beneficiaries, applicants, services.
and employees, including those with vi-
sion or hearing disabilities, and unions FR 3711, Jan. 22, 2016]
or professional organizations holding
collective bargaining or professional § 1251.109 Effect of State or local law
agreements with the recipient that it or other requirements and effect of
does not discriminate on the basis of employment opportunities.
disability in violation of section 504
and this part. The notification shall (a) The obligation to comply with
state, where appropriate, that the re- this part is not obviated or alleviated
cipient does not discriminate in admis- by the existence of any state or local
sion or access to, or treatment or em- law or other requirement that, on the
ployment in, its programs or activities. basis of disability, imposes prohibi-
The notification shall also include an tions or limits upon the eligibility of
identification of the responsible em- qualified individuals with disabilities
ployee designated pursuant to to receive services or to practice any
§ 1251.106(a). A recipient shall make the occupation or profession.
initial notification required by this (b) The obligation to comply with
paragraph within 90 days of the effec- this part is not obviated or alleviated
tive date of this part. Methods of ini- because employment opportunities in
tial and continuing notification may any occupation or profession are or
include the posting of notices, trans- may be more limited for individuals
mission via electronic mail or text with disabilities than for individuals
message, publication on the recipient’s without disabilities.
internet Web site, or in newspapers and
magazines, placement of notices in re- § 1251.110 Direct threat.
cipient’s publication, and distribution
of memoranda or other written com- (a) This part does not require a re-
munications. cipient to permit an individual to par-
(b) If a recipient publishes or uses re- ticipate in or benefit from the services,
cruitment materials or publications programs, or activities of that recipi-
containing general information that it ent when that individual poses a direct
makes available to participants, bene- threat to the health or safety of others.
ficiaries, applicants, or employees, it (b) In determining whether an indi-
shall include in those materials or pub- vidual poses a direct threat to the
lications a statement of the policy de- health or safety of others, a recipient
scribed in paragraph (a) of this section. must make an individualized assess-
A recipient may meet the requirement ment, based on reasonable judgment
of this section and this paragraph ei- that relies on current medical knowl-
ther by including appropriate inserts in edge or on the best available objective
existing materials and publications or evidence, to ascertain: The nature, du-
by revising and reprinting the mate- ration, and severity of the risk; the
rials and publications. probability that the potential injury
[51 FR 26862, July 28, 1986, as amended at 68 will actually occur; and whether rea-
FR 51351, Aug. 26, 2003; 81 FR 3711, Jan. 22, sonable accommodations in policies,
2016]
191
§ 1251.111 14 CFR Ch. V (1–1–21 Edition)
practices, or procedures or the provi- those circumstances where the recipi-

sion of auxiliary aids or services will ent believes that the proposed action
mitigate the risk. would fundamentally alter the program
or activity or would result in undue fi-
[81 FR 3711, Jan. 22, 2016]
nancial and administrative burdens,
§ 1251.111 Reasonable accommodation. the recipient has the burden of proving
that compliance with § 1251.112 would
A recipient shall make reasonable ac- result in such alteration or burdens.
commodations in policies, practices, or The decision that compliance would re-
procedures when such accommodations sult in such alteration or burdens must
are necessary to avoid discrimination be made by the chief executive officer
on the basis of disability, unless the re- of the recipient or his or her designee
cipient can demonstrate that making after considering all of the recipient’s
the accommodations would fundamen- resources available for use in the fund-
tally alter the nature of the service, ing and operation of the conducted pro-
program, or activity or result in an gram or activity and must be accom-
undue financial and administrative panied by a written statement of the
burden. reasons for reaching that conclusion. If
[81 FR 3711, Jan. 22, 2016] an action required to comply with this
section would result in such an alter-
§ 1251.112 Communications. ation or such burdens, the recipient
(a) A recipient shall take appropriate shall take any other action that would
steps to ensure that communications not result in such an alteration or such
with applicants, participants, bene- burdens but would nevertheless ensure
ficiaries, members of the public, and that, to the maximum extent possible,
companions with disabilities, are as ef- individuals with disabilities receive the
fective as communications with others. benefits and services of the program or
(b)(1) A recipient shall furnish appro- activity.
priate auxiliary aids or services where [81 FR 3711, Jan. 22, 2016]
necessary to afford qualified individ-
uals with disabilities, including appli- § 1251.113 Illegal Use of Drugs
cants, participants, beneficiaries, and (a) General. (1) Except as provided in
members of the public, an equal oppor- paragraph (b) of this section, this part
tunity to participate in, and enjoy the does not prohibit discrimination
benefits of, a program or activity of against an individual based on that in-
the recipient. dividual’s current illegal use of drugs.
(i) In determining what type of auxil- (2) A recipient shall not discriminate
iary aid or service is necessary, the re- on the basis of illegal use of drugs
cipient shall give primary consider- against an individual who is not engag-
ation to the requests of the individual ing in current illegal use of drugs and
with a disability. who—
(ii) The recipient need not provide in- (i) Has successfully completed a su-
dividually prescribed devices, readers pervised drug rehabilitation program
for personal use or study, or other de- or has otherwise been rehabilitated
vices of a personal nature. successfully;
(2) Where the recipient commu- (ii) Is participating in a supervised
nicates with applicants and bene- rehabilitation program; or
ficiaries by telephone, telecommuni- (iii) Is erroneously regarded as engag-
cation devices for deaf persons (TTY’s) ing in such use.
or equally effective telecommunication (b) Health and drug rehabilitation serv-
systems shall be used to communicate ices. (1) A recipient shall not deny
with persons who are deaf or hard of health services, or services provided in
hearing or have speech impairments. connection with drug rehabilitation, to
(c) This section does not require the an individual on the basis of that indi-
recipient to take any action that it can vidual’s current illegal use of drugs, if
demonstrate would result in a funda- the individual is otherwise entitled to
mental alteration in the nature of a such services.
program or activity or in undue finan- (2) A drug rehabilitation or treat-
cial and administrative burdens. In ment program may deny participation
192
to individuals who engage in illegal use (b) Reasonable accommodation may

of drugs while they are in the program. include:
(c) Drug testing. (1) This part does not (1) Making facilities used by employ-
prohibit a recipient from adopting or ees readily accessible to and usable by
administering reasonable policies or individuals with disabilities; and
procedures, including but not limited (2) Job restructuring, part-time or
to drug testing, designed to ensure that modified work schedules, acquisition
an individual who formerly engaged in or modification of equipment or de-
the illegal use of drugs is not now en- vices, the provision of readers or inter-
gaging in current illegal use of drugs. preters, and other similar actions.
(2) Nothing in this paragraph (c) shall (c) In determining pursuant to para-
be construed to encourage, prohibit, re- graph (a) of this section whether an ac-
strict, or authorize the conduct of test- commodation would impose an undue
ing for the illegal use of drugs. hardship on the operation of a recipi-
ent’s programor activity, factors to be
[81 FR 3711, Jan. 22, 2016]
considered include:
(1) The overall size of the recipient’s
Subpart 1251.2—Employment program or activity with respect to
Practices number of employees, number and type
of facilities, and size of budget;
§ 1251.200 Discrimination prohibited. (2) The type of the recipient’s oper-
(a) General. No qualified individual ation, including the composition and
shall, on the basis of disability, be sub- structure of the recipient’s workforce;
jected to discrimination in employ- and
ment under any program or activity to (3) The nature and cost of the accom-
which this part applies. modation needed.
(b) Employment discrimination stand- (d) A recipient may not deny any em-
ards. The standards used to determine ployment opportunity to a qualified
whether paragraph (a) of this section applicant or employee with a disability
has been violated shall be the stand- if the basis for the denial is the need to
ards applied under Title I of the Ameri- make reasonable accommodation to
cans with Disabilities Act of 1990 (42 the physical or mental limitations of
U.S.C. 12111 et seq.) and, as such sec- the employee or applicant.
tions relate to employment, the provi-
sions of sections 501 through 504 and 510 FR 51351, Aug. 26, 2003]
of the Americans with Disabilities Act
of 1990 (42 U.S.C. 12201–12204 and 12210), § 1251.202 Employment criteria.
as amended by the ADA Amendments
Act of 2008 (Pub. L. 110–325), as such (a) A recipient may not make use of
standards are implemented in the any employment test or other selection
Equal Employment Opportunity Com- criterion that screens out or tends to
mission’s regulation at 29 CFR part screen out individuals with disabilities
1630. The procedures to be used to de- or any class of individuals with disabil-
termine whether paragraph (a) of this ities unless:
section has been violated shall be the (1) The test score or other selection
procedures set forth in § 1251.400 of this criterion, as used by the recipient, is
part. shown to be job-related for the position
in question; and
[81 FR 3712, Jan. 22, 2016] (2) Alternative job-related tests of
criteria that do not screen out or tend
§ 1251.201 Reasonable accommodation. to screen out as many individuals with
(a) A recipient shall make reasonable disabilities are not shown by the Asso-
accommodation to the known physical ciate Administrator to be available.
or mental limitations of an otherwise (b) A recipient shall select and ad-
qualified applicant or employee with minister tests concerning employment
disabilities unless the recipient can so as best to ensure that, when admin-
demonstrate that the accommodation istered to an applicant or employee
would impose an undue hardship on the who has a disability that impairs sen-
operation of its program or activity. sory, manual, or speaking skills, the
193
§ 1251.203 14 CFR Ch. V (1–1–21 Edition)
test results accurately reflect the ap- medical examination conducted prior
plicant’s or employee’s job skills, apti- to the employee’s entrance on duty,
tude, or whatever other factor the test provided that:
purports to measure, rather than re- (1) All entering employees are sub-
flecting the applicant’s or employee’s jected to such an examination regard-
impaired sensory, manual, or speaking less of disability; and
skills (except where those skills are (2) The results of such an examina-
the factors that the test purports to tion are used only in accordance with
measure). the requirements of this part.
(d) Information obtained in accord-
FR 3712, Jan. 22, 2016] ance with this section as to the med-
ical condition or history of the appli-
§ 1251.203 Preemployment inquiries. cant shall be collected and maintained
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 individuals with dis-
as to whether the applicant is a indi-
abilities and regarding necessary ac-
vidual with a disabilityor as to the na-
commodations;
ture or severity of a disability. A re-
(2) First aid and safety personnel
cipient may, however, make pre-
may be informed, where appropriate, if
employment inquiry into an appli-
the condition might require emergency
cant’s ability to perform job-related
functions. treatment; and
(3) Government officials inves-
(b) When a recipient is taking reme-
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 1251.3—Accessibility
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 individual with a dis-
ing affirmative action pursuant to sec- ability shall, because a recipient’s fa-
tion 504 of the Act, the recipient may cilities are inaccessible to or unusable
invite applicants for employment to in- by individuals with disabilities, be de-
dicate whether and to what extent they nied the benefits of, be excluded from
are handicapped, provided that: participation in, or otherwise be sub-
(1) The recipient states clearly on jected to discrimination under any pro-
any written questionnaire used for this gram or activity to which this part ap-
purpose or makes clear orally if no plies.
written questionnaire is used that the
information requested is intended for § 1251.301 Existing facilities.
use solely in connection with its reme- (a) Accessibility. A recipient shall op-
dial action obligations or its voluntary erate each program or activity to
of affirmative action efforts; and which his part applies so that when
(2) The recipient states clearly that each part is viewed in its entirety it is
the information is being requested on a readily accessible to individuals with
voluntary basis, that it will be kept disabilities. This paragraph does not
confidential as provided in paragraph require a recipient to make each of its
(d) of this section, that refusal to pro- existing facilities or every part of a fa-
vide it will not subject the applicant or cility accessible to and usable by indi-
employee to any adverse treatment, viduals with disabilities.
and that it will be used only in accord- (b) Methods. A recipient may comply
ance with this part. with the requirement of paragraph (a)
(c) Nothing in this section shall proof this section through such means as
hibit a recipient from conditioning an redesign of equipment; reassignment of
offer of employment on the results of a classes or other services to accessible
194
buildings; assignment of aides to bene- identify steps that will be taken during
ficiaries; home visits; delivery of each year of the transition period; and
health, welfare, or other social services (4) Indicate the person responsible for
at alternate accessible sites; alteration implementation of the plan.
of existing facilities and construction (e) Safe harbor. For the purposes of
of new facilities in conformance with complying with this section, elements
the requirements of § 1251.302; or any that have not been altered in existing
other methods that result in making facilities on or after January 23, 2017,
its program or activity accessible to and that comply with the cor-
individuals with disabilities. A recipi- responding technical and scoping speci-
ent is not required to make structural fications for those elements in the Uni-
changes in existing facilities where form Federal Accessibility Standards
other methods are effective in achiev- (UFAS), Appendix A to 41 CFR part
ing compliance with paragraph (a) of 101–19.6, 49 FR 31528, app. A (Aug. 7,
this section. In choosing among avail- 1984), are not required to be modified to
able methods for meeting the require- be brought into compliance with the
ment of paragraph (a) of this section, a requirements set forth in the 2010
recipient shall give priority to those Standards.
methods that serve to individuals with (f) Notice of location of accessible facili-
disabilities in the most integrated set- ties—(1) General. The recipient shall
ting appropriate. adopt and implement procedures to en-
sure that interested individuals, in-
(c) Time period. A recipient shall com-
cluding individuals with vision or hear-
ply with the requirement of paragraph
ing disabilities, can obtain information
(a) of this section within 60 days of the
as to the existence and location of
effective date of this part except that services, activities, and facilities that
where structural changes in facilities are accessible to and usable by individ-
are necessary, such changes shall be uals with disabilities.
made within 3 years of the effective (2) Signs at primary entrances. The re-
date of this part, but in any event as cipient shall provide signs at a primary
expeditiously as possible. entrance to each of its inaccessible fa-
(d) Transition plan. In the event that cilities, directing users to an accessible
structural changes to facilities are nec- facility or a location at which they can
essary to meet the requirement of obtain information about accessible fa-
paragraph (a) of this section, a recipi- cilities. The international symbol for
ent shall develop, within 6 months of accessibility shall be used at each ac-
the effective date of this part, a transi- cessible entrance to a facility.
tion plan setting forth the steps nec-
essary to complete such changes. The
FR 51351, Aug. 26, 2003; 81 FR 3712, Jan. 22,
plan shall be developed with the assist- 2016]
ance of interested persons, including
individuals with disabilities or organi- § 1251.302 New construction.
zations representing individuals with (a) Design and construction. Each fa-
disabilities. A copy of the transition cility or part of a facility constructed
plan shall be made available for public by, on behalf of, or for the use of a re-
inspection. The plan shall, at a min- cipient shall be designed and con-
imum: structed in such manner that the facil-
(1) Identify physical obstacles in the ity or part of the facility is readily ac-
recipient’s facilities that limit the accessible to and usable by individuals
cessibility of its program or activity to with disabilities.
individuals with disabilities; (b) Alteration. Each facility or part of
(2) Describe in detail the methods a facility which is altered by, on behalf
that will be used to make the facilities of, or for the use of a recipient after
accessible; the effective date of this part in a man-
(3) Specify the schedule for taking ner that affects or could affect the
the steps necessary to achieve full ac- usability of the facility or part of the
cessibility under paragraph (a) of this facility shall, to the maximum extent
section and, if the time period of the feasible, be altered in such manner
transition plan is longer than 1 year, that the altered portion of the facility
195
§ 1251.302 14 CFR Ch. V (1–1–21 Edition)
is readily accessible to and usable by construction or alterations occurs

individuals with disabilities. prior to January 23, 2017, then such new
(c) Accessibility standards and compli- construction and alterations must
ance dates—(1) Applicable accessibility comply with either the Uniform Fed-
standards. (i) New construction and al- eral Accessibility Standards or the 2010
terations undertaken prior to the com- Standards.
pliance dates specified in paragraph (B) New construction and alterations
(c)(2) of this section must comply with in which the last application for a
either UFAS or the 2010 Standards. building permit or permit extension for
(ii) New construction and alterations such construction or alterations is cer-
on or after the compliance dates speci- tified to be complete by a state, coun-
fied in paragraph (c)(2) of this section ty, or local government (or, in those
must comply with the 2010 Standards. jurisdictions where the government
(iii) New construction and alter- does not certify completion of applica-
ations of buildings or facilities under- tions, if the date when the last applica-
taken in compliance with the 2010 tion for a building permit or permit ex-
Standards shall comply with the re- tension is received by the state, coun-
quirements for a ‘‘public building or fa-
ty, or local government) is on or after
cility’’ as defined in the 2010 Standards
January 23, 2017, or if no permit is re-
regardless of whether the recipient is a
quired, if the start of physical con-
public or private entity.
struction or alterations occurs on or
(iv) Departures from particular re-
after January 23, 2017, then such new
quirements of either standard by the
construction and alterations shall com-
use of other methods shall be per-
ply with the 2010 Standards.
mitted when it is clearly evident that
equivalent access to the facility or part (ii) New construction and alterations
of the facility is thereby provided. by recipients that are public entities.
(2) Compliance dates—(i) New Construc- (A) If physical construction or alter-
tion and alterations by recipients that are ations commence prior to January 23,
private entities. (A) New construction 2017, then such new construction and
and alterations in which the last appli- alterations must comply with either
cation for a building permit or permit UFAS or the 2010 Standards.
extension for such construction or al- (C) If physical construction or alter-
terations is certified to be complete by ations commence on or after January
a state, county, or local government 23, 2017, then such new construction
(or, in those jurisdictions where the and alterations shall comply with the
government does not certify comple- 2010 Standards.
tion of applications, if the date when (3) For the purposes of this section,
the last application for a building per- ceremonial groundbreaking or razing
mit or permit extension is received by of structures prior to site preparation
the state, county, or local government) will not be considered to commence or
is prior to January 23, 2017, or if no per- start physical construction or alter-
mit is required, if the start of physical ations.
TABLE OF APPLICABLE STANDARDS FOR COMPLYING WITH 14 CFR 1251.302(C)
Compliance dates for new Applicable standards for complying
construction and alterations with 14 CFR 1251.302(c)
Prior to January 23, 2017 ......... UFAS or the scoping and technical requirements for a ‘‘public building or facility’’ in the 2010
Standards.
On or after January 23, 2017 ... Scoping and technical requirements for a ‘‘public building or facility’’ in the 2010 Standards.
(4)[Reserved] bility to the public or beneficiaries or

(5) For purposes of this section, sec- result in the employment or residence
tion 4.1.6(1)(g) of UFAS shall be inter- therein of persons with physical dis-
preted to exempt from the require- abilities.
ments of UFAS only mechanical rooms (6) This section does not require re-
and other spaces that, because of their cipients to make building alterations
intended use, will not require accessi-
196
that have little likelihood of being ac- § 1251.503 Definitions.

complished without removing or alter- As used in this part, the term:
ing a load-bearing structural member. (a) Assistant Attorney General means
[51 FR 26862, July 28, 1986, as amended at 55 the Assistant Attorney General, Civil
FR 52138, 52140, Dec. 19, 1990; 81 FR 3712, Jan. Rights Division, United States Depart-
22, 2016] ment of Justice.
(b) Auxiliary aids and services means
Subpart 1251.4—Procedures services or devices that enable persons
with sensory, manual, or speech dis-
§ 1251.400 Compliance Procedures. abilities to have an equal opportunity
(a) The investigative, compliance, to participate in, and enjoy the bene-
and enforcement procedural provisions fits of, programs or activities con-
of Title VI of the Civil Rights Act of ducted by the agency. Auxiliary aids
1964 (42 U.S.C. 2000d) are hereby adopt- and services include:
ed and apply to this section 504 regula- (1) Qualified interpreters onsite or
tion. These procedures are found at through Video Remote Interpreting
§§ 1250.105 through 1250.110 of this chap- (VRI) services; notetakers; real-time
ter. computer-aided transcription services;
(b) The Agency shall ensure that written materials; exchange of written
complaints alleging violations of sec- notes; telephone handset amplifiers; as-
tion 504 with respect to employment sistive listening devices; assistive lis-
are processed according to the proce- tening systems; telephones compatible
dures established by the EEOC in 29 with hearing aids; closed caption de-
CFR part 1640 and the United States coders; open and closed captioning, in-
DOJ at 28 CFR part 37. cluding real-time captioning; voice,
text, and video-based telecommuni-
[81 FR 3713, Jan. 22, 2016] cations products and systems, includ-
ing text telephones (TTYs),
Subpart 1251.5—Enforcement of videophones, and captioned telephones,
Nondiscrimination on the or equally effective telecommuni-
Basis of Disability in Programs cations devices; videotext displays; ac-
or Activities Conducted by cessible electronic and information
technology; or other effective methods
the National Aeronautics and of making aurally delivered informa-
Space Administration tion available to individuals who are
deaf or hard of hearing;
SOURCE: 53 FR 25882, 25885, July 8, 1988, un- (2) Qualified readers; taped texts;
less otherwise noted. audio recordings; Brailled materials
and displays; screen reader software;
§ 1251.501 Purpose.
magnification software; optical read-
The purpose of this regulation is to ers; secondary auditory programs
effectuate section 119 of the Rehabili- (SAP); large print materials; accessible
tation, Comprehensive Services, and electronic and information technology;
Developmental Disabilities Amend- or other effective methods of making
ments of 1978, which amended section visually delivered materials available
504 of the Rehabilitation Act of 1973 to to individuals who are blind or have
prohibit discrimination on the basis of low vision;
disability in programs or activities (3) Acquisition or modification of
conducted by Executive agencies or the equipment or devices; and
United States Postal Service. (4) Other similar services and ac-
tions.
§ 1251.502 Application. (c) Complete complaint means a writ-
This regulation (§§ 1251.501–1251.570) ten statement that contains the com-
applies to all programs or activities plainant’s name and address and de-
conducted by the agency, except for scribes the agency’s alleged discrimi-
programs or activities conducted out- natory action in sufficient detail to in-
side the United States that do not inform the agency of the nature and date
volve individuals with disabilities in of the alleged violation of section 504.
the United States. It shall be signed by the complainant
197
§§ 1251.504–1251.509 14 CFR Ch. V (1–1–21 Edition)
or by someone authorized to do so on 93–112, 87 Stat. 394 (29 U.S.C. 794)), as

his or her behalf. Complaints filed on amended.
behalf of classes or third parties shall [81 FR 3713, Jan. 22, 2016]
describe or identify (by name, if pos-
sible) the alleged victims of discrimi- §§ 1251.504–1251.509 [Reserved]
nation.
(d) Direct threat means a significant § 1251.510 Self-evaluation.
risk to the health or safety of others (a) The agency shall, by September 6,
that cannot be eliminated by a change 1989, evaluate its current policies and
to policies, practices or procedures, or practices, and the effects thereof, that
by the provision of auxiliary aids or do not or may not meet the require-
services as provided in § 1251.110 of this ments of this regulation and, to the ex-
part. tent modification of any such policies
(e) Disability means the definition and practices is required, the agency
given that term in the Department of shall proceed to make the necessary
Justice’s regulation implementing title modifications.
II of the ADA at 28 CFR part 35. (b) The agency shall provide an op-
(f) Drug means a controlled substance portunity to interested persons, includ-
as defined in schedules I through V of ing individuals with disabilities or or-
section 202 of the Controlled Sub- ganizations representing individuals
stances Act (21 U.S.C. 812). with disabilities, to participate in the
(g) Facility means all or any portion self-evaluation process by submitting
of buildings, structures, equipment, comments (both oral and written).
roads, walks, parking lots, rolling (c) The agency shall, for at least
stock or other conveyances, or other three years following completion of the
real or personal property. self-evaluation, maintain on file and
(h) Historic preservation programs make available for public inspection:
means programs conducted by the (1) A description of areas examined
agency that have preservation of his- and any problems identified; and
toric properties as a primary purpose. (2) A description of any modifications
(i) Historic properties means those made.
properties that are listed or eligible for
§ 1251.511 Notice.
listing in the National Register of His-
toric Places or properties designated as The agency shall make available to
historic under a statute of the appro- employees, applicants, participants,
priate state or local government body. beneficiaries, and other interested per-
(j) Illegal use of drugs means the use sons such information regarding the
of one or more drugs, the possession or provisions of this regulation and its ap-
distribution of which is unlawful under plicability to the programs or activi-
the Controlled Substances Act (21 ties conducted by the agency, and
U.S.C. 812). The term ‘‘illegal use of make such information available to
drugs’’ does not include the use of a them in such manner as the head of the
drug taken under supervision by a li- agency finds necessary to apprise such
persons of the protections against dis-
censed health care professional, or
crimination assured them by section
other uses authorized by the Controlled
504 and this regulation.
Substances Act or other provisions of
Federal law. §§ 1251.512–1251.529 [Reserved]
(k) Individual with a disability means
any person who meets the definition of § 1251.530 General prohibitions
‘‘disability’’ under 28 CFR part 35. against discrimination.
(l) Qualified individual with a dis- (a) No qualified individual with dis-
ability means any person who meets abilities shall, on the basis of dis-
the definition of ‘‘qualified individual ability, be excluded from participation
with a disability’’ under § 1251.102(i) of in, be denied the benefits of, or other-
this part. wise be subjected to discrimination
(m) Section 504 means section 504 of under any program or activity con-
the Rehabilitation Act of 1973 (Pub. L. ducted by the agency.
198
(b)(1) The agency, in providing any (4) The agency may not, in deter-
aid, benefit, or service, may not, di- mining the site or location of a facil-
rectly or through contractual, licens- ity, make selections the purpose or ef-
ing, or other arrangements, on the fect of which would—
basis of disability— (i) Exclude individuals with disabil-
(i) Deny a qualified individual with ities from, deny them the benefits of,
disabilities the opportunity to partici- or otherwise subject them to discrimi-
pate in or benefit from the aid, benefit, nation under any program or activity
or service; conducted by the agency; or
(ii) Afford a qualified individual with (ii) Defeat or substantially impair
disabilities an opportunity to partici- the accomplishment of the objectives
pate in or benefit from the aid, benefit, of a program or activity with respect
or service that is not equal to that af- to individuals with disabilities.
forded others; (5) The agency, in the selection of
(iii) Provide a qualified individual procurement contractors, may not use
with disabilities with an aid, benefit, criteria that subject qualified individ-
or service that is not as effective in af- uals with disabilities to discrimination
fording equal opportunity to obtain the on the basis of disability.
same result, to gain the same benefit, (6) The agency may not administer a
or to reach the same level of achieve- licensing or certification program in a
ment as that provided to others; manner that subjects qualified individ-
(iv) Provide different or separate aid, uals with disabilities to discrimination
benefits, or services to individuals with on the basis of disability, nor may the
disabilities or to any class of individ- agency establish requirements for the
uals with disabilities than is provided programs or activities of licensees or
to others unless such action is nec- certified entities that subject qualified
essary to provide qualified individuals individuals with disabilities to dis-
with disabilities with aid, benefits, or crimination on the basis of disability.
services that are as effective as those However, the programs or activities of
provided to others; entities that are licensed or certified
by the agency are not, themselves, cov-
(v) Deny a qualified individual with
ered by this regulation.
disabilities the opportunity to partici-
(c) The exclusion of individuals with-
pate as a member of planning or advi-
out disabilities from the benefits of a
sory boards;
program limited by Federal statute or
(vi) Otherwise limit a qualified indi- Executive order to individuals with dis-
vidual with disabilities in the enjoy- abilities or the exclusion of a specific
ment of any right, privilege, advan- class of individuals with disabilities
tage, or opportunity enjoyed by others from a program limited by Federal
receiving the aid, benefit, or service. statute or Executive order to a dif-
(2) The agency may not deny a quali- ferent class of individuals with disabil-
fied individual with disabilities the op- ities is not prohibited by this regula-
portunity to participate in programs or tion.
activities that are not separate or dif- (d) The agency shall administer pro-
ferent, despite the existence of permis- grams and activities in the most inte-
sibly separate or different programs or grated setting appropriate to the needs
activities. of qualified individuals with disabil-
(3) The agency may not, directly or ities.
through contractual or other arrange-
ments, utilize criteria or methods of §§ 1251.531–1251.539 [Reserved]
administration the purpose or effect of
which would— § 1251.540 Employment.
(i) Subject qualified individuals with (a) General. No qualified individual
disabilities to discrimination on the shall, on the basis of disability, be sub-
basis of disability; or jected to discrimination in employ-
(ii) Defeat or substantially impair ac- ment under any program or activity to
complishment of the objectives of a which this part applies.
program or activity with respect to in- (b) Employment discrimination stand-
dividuals with disabilities. ards. The standards used to determine
199
§§ 1251.541–1251.548 14 CFR Ch. V (1–1–21 Edition)
whether paragraph (a) of this section trative burdens, the agency has the
has been violated shall be the stand- burden of proving that compliance with
ards applied under Title I of the Ameri- § 1251.550(a) would result in such alter-
cans with Disabilities Act of 1990 (42 ation or burdens. The decision that
U.S.C. 12,111 et seq.) and, as such sec- compliance would result in such alter-
tions relate to employment, the provi- ation or burdens must be made by the
sions of sections 501 through 504 and 510 agency head or his or her designee
of the Americans with Disabilities Act after considering all agency resources
of 1990 (42 U.S.C. 12201–12204 and 12210), available for use in the funding and op-
as amended by the ADA Amendments eration of the conducted program or
Act of 2008 (Pub. L. 110–325), as such activity, and must be accompanied by
standards are implemented in the a written statement of the reasons for
Equal Employment Opportunity Com- reaching that conclusion. If an action
mission’s regulation at 29 CFR part would result in such an alteration or
1630, as amended. such burdens, the agency shall take
[81 FR 3713, Jan. 22, 2016]
any other action that would not result
in such an alteration or such burdens
§§ 1251.541–1251.548 [Reserved] but would nevertheless ensure that in-
dividuals with disabilities receive the
§ 1251.549 Program accessibility: Dis- benefits and services of the program or
crimination prohibited. activity.
Except as otherwise provided in (b) Methods—(1) General. The agency
§ 1251.550, no qualified individual with may comply with the requirements of
disabilities shall, because the agency’s this section through such means as re-
facilities are inaccessible to or unus- design of equipment, reassignment of
able by individuals with disabilities, be services to accessible buildings, assign-
denied the benefits of, be excluded from ment of aides to beneficiaries, home
participation in, or otherwise be sub- visits, delivery of services at alternate
jected to discrimination under any pro- accessible sites, alteration of existing
gram or activity conducted by the facilities and construction of new fa-
agency. cilities, use of accessible rolling stock,
or any other methods that result in
§ 1251.550 Program accessibility: Exist- making its programs or activities read-
ing facilities. ily accessible to and usable by individ-
(a) General. The agency shall operate uals with disabilities. The agency is
each program or activity so that the not required to make structural
program or activity, when viewed in its changes in existing facilities where
entirety, is readily accessible to and other methods are effective in achiev-
usable by individuals with disabilities. ing compliance with this section. The
This paragraph does not— agency, in making alterations to exist-
(1) Necessarily require the agency to ing buildings, shall meet accessibility
make each of its existing facilities ac- requirements to the extent compelled
cessible to and usable by individuals by the Architectural Barriers Act of
with disabilities; 1968, as amended (42 U.S.C. 4151–4157),
(2) In the case of historic preserva- and any regulations implementing it.
tion programs, require the Agency to In choosing among available methods
take any action that would threaten or for meeting the requirements of this
destroy the historic significance of his- section, the agency shall give priority
toric properties. to those methods that offer programs
(3) Require the agency to take any and activities to qualified individuals
action that it can demonstrate would with disabilities in the most integrated
result in a fundamental alteration in setting appropriate.
the nature of a program or activity or (2) Historic preservation programs. In
in undue financial and administrative meeting the requirements of
burdens. In those circumstances where § 1251.550(a) in historic preservation
agency personnel believe that the pro- programs, the agency shall give pri-
posed action would fundamentally ority to methods that provide physical
alter the program or activity or would access to individuals with disabilities.
result in undue financial and adminis- In cases where a physical alteration to
200
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 Each building or part of a building
accessibility include— 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 shall be designed, constructed, or al-
historic property that cannot other- tered so as to be readily accessible to
wise be made accessible; and usable by individuals with disabil-
(ii) Assigning persons to guide indi- ities. The definitions, requirements,
viduals with disabilities into or and standards of the Architectural Bar-
through portions of historic properties riers Act (42 U.S.C. 4151–4157), as estab-
that cannot otherwise be made acces- lished in 41 CFR part 102–76, subpart C,
sible; or apply to buildings covered by this sec-
(iii) Adopting other innovative meth- tion.
ods.
(c) Time period for compliance. The [81 FR 3714, Jan. 22, 2016]
agency shall comply with the obliga-
tions established under this section by §§ 1251.552–1251.559 [Reserved]
November 7, 1988, except that where
structural changes in facilities are un- § 1251.560 Communications.
dertaken, such changes shall be made (a) The agency shall take appropriate
by September 6, 1991, but in any event steps to ensure effective communica-
as expeditiously as possible. tion with applicants, participants, per-
(d) Transition plan. In the event that sonnel of other Federal entities, and
structural changes to facilities will be members of the public.
undertaken to achieve program acces- (1) The agency shall furnish appro-
sibility, the agency shall develop, by priate auxiliary aids where necessary
March 6, 1989, a transition plan setting to afford an individual with disabilities
forth the steps necessary to complete an equal opportunity to participate in,
such changes. The agency shall provide and enjoy the benefits of, a program or
an opportunity to interested persons, activity conducted by the agency.
including individuals with disabilities (i) In determining what type of auxil-
or organizations representing individ- iary aid is necessary, the agency shall
uals with disabilities, to participate in give primary consideration to the re-
the development of the transition plan quests of the individual with disabil-
by submitting comments (both oral ities.
and written). A copy of the transition (ii) The agency need not provide indi-
plan shall be made available for public vidually prescribed devices, readers for
inspection. The plan shall, at a min- personal use or study, or other devices
imum— of a personal nature.
(1) Identify physical obstacles in the (2) Where the agency communicates
agency’s facilities that limit the acces- with applicants and beneficiaries by
sibility of its programs or activities to telephone, telecommunication devices
individuals with disabilities; for deaf persons (TDD’s) or equally ef-
(2) Describe in detail the methods fective telecommunication systems
that will be used to make the facilities shall be used to communicate with per-
accessible; sons with impaired hearing.
(3) Specify the schedule for taking (b) The agency shall ensure that in-
the steps necessary to achieve compli- terested persons, including persons
ance with this section and, if the time with impaired vision or hearing, can
period of the transition plan is longer obtain information as to the existence
than one year, identify steps that will and location of accessible services, ac-
be taken during each year of the tran- tivities, and facilities.
sition period; and
(c) The agency shall provide signage
(4) Indicate the official responsible at a primary entrance to each of its in-
for implementation of the plan. accessible facilities, directing users to
[53 FR 25882, 25885, July 8, 1988, as amended a location at which they can obtain in-
at 81 FR 3713, Jan. 22, 2016] formation about accessible facilities.
201
§§ 1251.561–1251.569 14 CFR Ch. V (1–1–21 Edition)
The international symbol for accessi- and Equal Opportunity, NASA Head-
bility shall be used at each primary en- quarters, 300 E Street SW., Wash-
trance of an accessible facility. ington, DC 20546.
(d) This section does not require the (d) The agency shall accept and in-
agency to take any action that it can vestigate all complete complaints for
demonstrate would result in a funda- which it has jurisdiction. All complete
mental alteration in the nature of a complaints must be filed within 180
program or activity or in undue finan- days of the alleged act of discrimina-
cial and administrative burdens. In tion. The agency may extend this time
those circumstances where agency per- period for good cause.
sonnel believe that the proposed action (e) If the agency receives a complaint
would fundamentally alter the program over which it does not have jurisdic-
or activity or would result in undue fi- tion, it shall promptly notify the com-
nancial and administrative burdens, plainant and shall make reasonable ef-
the agency has the burden of proving forts to refer the complaint to the ap-
that compliance with § 1251.560 would propriate Government entity.
result in such alteration or burdens. (f) The agency shall notify the Archi-
The decision that compliance would re- tectural and Transportation Barriers
sult in such alteration or burdens must Compliance Board upon receipt of any
be made by the agency head or his or complaint alleging that a building or
her designee after considering all agen- facility that is subject to the Architec-
cy resources available for use in the tural Barriers Act of 1968, as amended
funding and operation of the conducted (42 U.S.C. 4151–4157), is not readily ac-
program or activity and must be accessible to and usable by individuals
companied by a written statement of with disabilities.
the reasons for reaching that conclu- (g) Within 180 days of the receipt of a
sion. If an action required to comply complete complaint for which it has ju-
with this section would result in such risdiction, the agency shall notify the
an alteration or such burdens, the complainant of the results of the inves-
agency shall take any other action tigation in a letter containing—
that would not result in such an alter-
(1) Findings of fact and conclusions
ation or such burdens but would never-
of law;
theless ensure that, to the maximum
(2) A description of a remedy for each
extent possible, individuals with dis-
violation found; and
abilities receive the benefits and serv-
ices of the program or activity. (3) A notice of the right to appeal.
(h) Appeals of the findings of fact and
§§ 1251.561–1251.569 [Reserved] conclusions of law or remedies must be
filed by the complainant within 90 days
§ 1251.570 Compliance procedures. of receipt from the agency of the letter
(a) Except as provided in paragraph required by § 1251.570(g). The agency
(b) of this section, this section applies may extend this time for good cause.
to all allegations of discrimination on (i) Timely appeals shall be accepted
the basis of disability in programs and and processed by the head of the agen-
activities conducted by the agency. cy.
(b) The Agency shall process com- (j) The head of the agency shall no-
plaints alleging violations of section tify the complainant of the results of
504 of the Rehabilitation Act with re- the appeal within 60 days of the receipt
spect to employment according to the of the request. If the head of the agen-
procedures established by the Equal cy determines that additional informa-
Employment Opportunity Commission tion is needed from the complainant,
in 29 CFR part 1640 pursuant to section he or she shall have 60 days from the
501 of the Rehabilitation Act of 1973 (29 date of receipt of the additional infor-
U.S.C. 791). mation to make his or her determina-
(c) The Associate Administrator for tion on the appeal.
Diversity and Equal Opportunity shall (k) The time limits cited in para-
be responsible for coordinating imple- graphs (g) and (j) of this section may be
mentation of this section. Complaints extended with the permission of the
may be sent to the Office of Diversity Assistant Attorney General.
202
(l) The agency may delegate its au- ing in current illegal use of drugs and
thority for conducting complaint in- who—
vestigations to other Federal agencies, (i) Has successfully completed a su-
except that the authority for making pervised drug rehabilitation program
the final determination may not be or has otherwise been rehabilitated
delegated to another agency. successfully;
[53 FR 25882, 25885, July 8, 1989, as amended (ii) Is participating in a supervised
at 81 FR 3714, Jan. 22, 2016] rehabilitation program; or
(iii) Is erroneously regarded as engag-
§§ 1251.571–1251.579 [Reserved] ing in such use.
(b) Health and drug rehabilitation serv-
§ 1251.580 Direct threat. ices. (1) The Agency shall not deny
(a) This part does not require the health services, or services provided in
Agency to permit an individual to par- connection with drug rehabilitation, to
ticipate in or benefit from the services, an individual on the basis of that indi-
programs, or activities of that recipi- vidual’s current illegal use of drugs, if
ent when that individual poses a direct the individual is otherwise entitled to
threat to the health or safety of others. such services.
(b) In determining whether an indi- (2) A drug rehabilitation or treat-
vidual poses a direct threat to the ment program may deny participation
health or safety of others, the Agency to individuals who engage in illegal use
must make an individualized assess- of drugs while they are in the program.
ment, based on reasonable judgment (c) Drug testing. (1) This part does not
that relies on current medical knowl- prohibit the Agency from adopting or
edge or on the best available objective administering reasonable policies or
evidence, to ascertain: The nature, du- procedures, including but not limited
ration, and severity of the risk; the to drug testing, designed to ensure that
probability that the potential injury an individual who formerly engaged in
will actually occur; and whether rea- the illegal use of drugs is not now en-
sonable accommodations in policies, gaging in current illegal use of drugs.
practices, or procedures or the provi- (2) Nothing in this paragraph (c) shall
sion of auxiliary aids or services will be construed to encourage, prohibit, re-
mitigate the risk. strict, or authorize the conducting of
[81 FR 3714, Jan. 22, 2016]
testing for the illegal use of drugs.
[81 FR 3714, Jan. 22, 2016]
§ 1251.581 Reasonable accommodation.
The Agency shall make reasonable §§ 1251.583–1251.999 [Reserved]
accommodations in policies, practices,
or procedures when such accommoda- PART 1252—NONDISCRIMINATION
tions are necessary to avoid discrimi- ON THE BASIS OF AGE IN PRO-
nation on the basis of disability, unless GRAMS OR ACTIVITIES RECEIV-
the Agency can demonstrate that mak- ING FEDERAL FINANCIAL ASSIST-
ing the accommodations would fun-
damentally alter the nature of the
ANCE
service, program, or activity or result
Subpart 1252.1—General
in an undue financial and administra-
tive burden. Sec.
1252.100 What is the purpose of NASA’s age
[81 FR 3714, Jan. 22, 2016] discrimination regulations?
1252.102 To what programs or activities do
§ 1251.582 Illegal use of drugs these regulations apply?
(a) General. (1) Except as provided in 1252.103 Definitions.
paragraph (b) of this section, this part
does not prohibit discrimination Subpart 1252.2—Standards for Determining
against an individual based on that in- Age Discrimination
dividual’s current illegal use of drugs. 1252.200 Rules against age discrimination.
(2) The Agency shall not discriminate 1252.201 Exceptions to the rules against age
on the basis of illegal use of drugs discrimination.
against an individual who is not engag- 1252.202 Burden of proof.
203
§ 1252.100 14 CFR Ch. V (1–1–21 Edition)
1252.203 Special benefits for children and requirements of the Act and the gov-
the elderly. ernmentwide regulations.
Subpart 1252.3—Responsibilities of [50 FR 13311, Apr. 4, 1985, as amended at 68
Recipients FR 51352, Aug. 26, 2003]
1252.300 General responsibilities of recipi- § 1252.102 To what programs or activi-

ents. ties do these regulations apply?
1252.301 Notice to subrecipients. (a) These regulations apply to each
1252.302 Assurance of compliance and recipi- NASA recipient and to each program or
ent assessment of age distinctions. activity operated by the recipient
1252.303 Information requirements. which receives Federal financial assist-
ance provided by NASA.
Subpart 1252.4—Investigation, Conciliation,
(b) The Age Discrimination Act of
and Enforcement Procedures
1975 does not apply to:
1252.400 Compliance reviews. (1) An age distinction contained in
1252.401 Complaints. that part of a Federal, State, or local
1252.402 Mediation. statute or ordinance adopted by an
1252.403 Investigation. elected body which:
1252.404 Prohibition against intimidation or (i) Provides any benefits or assist-
retaliation. ance to persons based on age; or
1252.405 Compliance procedure. (ii) Establishes criteria for participa-
1252.406 Hearings. tion in age-related terms; or
1252.407 Notices, decisions, and post-termi- (iii) Describes intended beneficiaries
nation proceedings. or target groups in age-related terms.
1252.408 Remedial action by recipients. (2) Any employment practice of any
1252.409 Alternate funds disbursal proce- employer, employment agency, labor
dure.
organization, or any labor-manage-
1252.410 Exhaustion of administrative rem-
ment joint apprenticeship training pro-
edies.
1252.411 Age distinctions.
gram, except for any program or activ-
ity receiving Federal financial assist-
AUTHORITY: Age Discrimination Act of 1975, ance for public service employment
as amended, 42 U.S.C. 6101 et seq. (45 CFR under the Comprehensive Employment
part 90). and Training Act of 1974 (CETA) (29
SOURCE: 50 FR 13311, Apr. 4, 1985, unless U.S.C. 801 et seq.).
otherwise noted.
[50 FR 13311, Apr. 4, 1985, as amended at 68
FR 51352, Aug. 26, 2003]
§ 1252.100 What is the purpose of As used in these regulations, the
NASA’s age discrimination regula- term:
tions?
(a) Act means the Age Discrimination
The purpose of these regulations is to Act of 1975, as amended. (Title III of
set out NASA’s policies and to imple- Pub. L. 94–135.)
ment agencywide or agency procedures (b) Action means any act, activity,
under the Age Discrimination Act of policy, rule, standard, or method of ad-
1975 according to the government-wide ministration; or the use of any policy,
age discrimination regulations at 45 rule, standard, or method of adminis-
CFR part 90. (Published at 44 FR 33768, tration.
June 12, 1979.) The Act and the govern- (c) Age means how old a person is, or
ment-wide regulations prohibit dis- the number of elapsed years from the
crimination on the basis of age in pro- date of a person’s birth.
grams or activities receiving Federal (d) Age distinction means any action
financial assistance. The Act and the using age or an age-related term.
governmentwide regulations permit (e) Age-related term means a word or
federally assisted programs or activi- words which necessarily imply a par-
ties and recipients of Federal funds, to ticular age or range of ages (for exam-
continue to use age distinctions and ple, ‘‘children,’’ ‘‘adult,’’ ‘‘older per-
factors other than age which meet the sons,’’ but not ‘‘student’’).
204
(f) Discrimination means unlawful section, any part of which is extended

treatment based on age. Federal financial assistance:
(g) NASA means the National Aero- (1)(i) A department, agency, special
nautics and Space Administration. purpose district, or other instrumen-
(h) Federal financial assistance means tality of a State or of a local govern-
any grant, entitlement, loan, coopera- ment; or
tive agreement contract (other than a (ii) The entity of such State or local
procurement contract or a contract of government that distributes such as-
insurance or guaranty), or any other sistance and each such department or
arrangement by which the agency pro- agency (and each other State or local
vides or otherwise makes available as- government entity) to which the as-
sistance in the form of: sistance is extended, in the case of as-
(1) Funds; sistance to a State or local govern-
(2) Services of Federal personnel; or ment;
interest in or use of property, includ- (2)(i) A college, university, or other
ing: postsecondary institution, or a public
(i) Transfer or lease of property for system of higher education; or
less than fair market value or for re- (ii) A local educational agency (as de-
duced consideration; and fined in 20 U.S.C. 7801), system of voca-
(ii) Proceeds from a subsequent tional education, or other school sys-
transfer or lease of property if the Fed- tem;
eral share of its fair market value is (3)(i) An entire corporation, partner-
not returned to the Federal Govern- ship, or other private organization, or
ment. an entire sole proprietorship—
(i) FMCS means the Federal Medi- (A) If assistance is extended to such
ation and Conciliation Service. corporation, partnership, private orga-
(j) Recipient means any State or its nization, or sole proprietorship as a
political subdivision, any instrumen- whole; or
tality of a State or its political sub- (B) Which is principally engaged in
division, any public or private agency, the business of providing education,
institution, organization, or other enti- health care, housing, social services, or
ty, or any person to which Federal fi- parks and recreation; or
nancial assistance is extended, directly (ii) The entire plant or other com-
or through another recipient. Recipient parable, geographically separate facil-
includes any successor, assignee, or ity to which Federal financial assist-
transferee, but excludes the ultimate ance is extended, in the case of any
beneficiary of the assistance. other corporation, partnership, private
(k) Administrator means the Adminis- organization, or sole proprietorship; or
trator of the National Aeronautics and (4) Any other entity which is estab-
Space Administration or designee. lished by two or more of the entities
(l) Subrecipient means any of the enti- described in paragraph (n)(1), (2), or (3)
ties in the definition of ‘‘recipient’’ to of this section.
which a recipient extents or passes on
Federal financial assistance. A sub- [50 FR 13311, Apr. 4, 1985, as amended at 68
FR 51351, Aug. 26, 2003]
recipient is generally regarded as a re-
cipient of Federal financial assistance
and has all the duties of a recipient in Subpart 1252.2—Standards 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
205
§ 1252.201 14 CFR Ch. V (1–1–21 Edition)
or activity receiving Federal financial achieve any statutory objective of the

assistance. program or activity; and
(b) Specific rules: A recipient may not, (3) The other characteristic(s) can be
in any program or activity receiving reasonably measured or approximated
Federal financial assistance, directly by the use of age; and
or through contractual, licensing, or (4) The other characteristic(s) are
other arrangements use age distinc- impractical to measure directly on an
tions or take any other actions which individual basis.
have the effect, on the basis of age, of: (c) Reasonable factors other than
(1) Excluding individuals from, deny- age. A recipient is permitted to take an
ing them the benefits of, or subjecting action otherwise prohibited by
them to discrimination under a pro- § 1252.200 which is based on a factor
gram or activity receiving Federal fi- other than age, even though that ac-
nancial assistance; or tion may have a disproportionate effect
(2) Denying or limiting individuals in on persons of different ages. An action
their opportunity to participate in any may be based on a factor other than
program or activity receiving Federal age only if the factor bears a direct and
financial assistance. substantial relationship to the normal
(c) The specific forms of age discrimi- operation of the program or activity or
nation listed in paragraph (b) of this to the achievement of a statutory ob-
section do not necessarily constitute a jective.
complete list.
§ 1252.202 Burden of proof.
§ 1252.201 Exceptions to the rules The burden of proving that an age
against age discrimination. distinction or other action falls within
(a) Definitions. For purposes of this the exceptions outlined in § 1252.201 (b)
section, the terms normal operation and and (c) is on the recipient of Federal fi-
statutory objective shall have the fol- nancial assistance.
lowing meaning:
(1) Normal operation means the oper- § 1252.203 Special benefits for children
ation of a program or activity without and the elderly.
significant changes that would impair If a recipient operating a program or
its ability to meet its objectives. activity provides special benefits to
(2) Statutory objective means any pur- the elderly or to children, such use of
pose of a program or activity expressly age distinctions shall be presumed to
stated in any Federal statute, state be necessary to the normal operation
statute or local statute or ordinance of the program or activity, notwith-
adopted by any elected, general pur- standing the provision of § 1252.10.
pose legislative body. [50 FR 13311, Apr. 4, 1985, as amended at 68
(b) Normal operation or statutory ob- FR 51352, Aug. 26, 2003]
jective of any program or activity. A
recipient is permitted to take an ac-
tion otherwise prohibited by § 1252.200 if
Subpart 1252.3—Responsibilities of
the action reasonably takes into ac- Recipients
count age as a factor necessary to the § 1252.300 General responsibilities of
normal operation of the achievement recipients.
of any statutory objective of a program
or activity. An action reasonably takes Each NASA recipient must ensure
into account age as a factor necessary that its programs or activities comply
to the normal operation or the achieve- with these regulations.
ment of any statutory objective of a [50 FR 13311, Apr. 4, 1985, as amended at 68
program or activity, if: FR 51352, Aug. 26, 2003]
(1) Age is used as a measure of ap-
proximation of one or more other char- § 1252.301 Notice to subrecipients.
acteristics; and Where a recipient passes on Federal
(2) The other characteristic(s) must financial assistance from NASA to sub-
be measured or approximated in order recipients, the recipient shall provide
for the normal operation of the pro- the subrecipient written notice of their
gram or activity to continue, or to obligations under these regulations.
206
§ 1252.302 Assurance of compliance view may be as comprehensive as nec-

and recipient assessment of age dis- essary to determine whether a viola-
tinctions. tion of these regulations has occurred.
(a) Each recipient of Federal finan- (b) If a compliance review or pre-
cial assistance from NASA shall sign a award review indicates a violation of
written assurance as specified by the Act or these regulations, NASA
NASA that it will comply with the Act will attempt to secure the recipient’s
and these regulations. voluntary compliance with the Act. If
(b) Recipient assessment of age distinc- voluntary compliance cannot be
tions. (1) As part of a compliance review achieved, NASA will arrange for en-
under § 91.41, NASA may require a re- forcement as described in § 1252.405.
cipient employing the equivalent of 15
or more employees to complete a writ- § 1252.401 Complaints.
ten self-evaluation, in a manner speci- (a) Any person, individually or as a
fied by the responsible Agency official, member of a class or on behalf of oth-
of any age distinction imposed in its ers, may file a complaint with NASA,
program or activity receiving Federal alleging discrimination prohibited by
financial assistance from NASA to as- the Act or these regulations based on
sess the recipient’s compliance with an action occurring on or after July 1,
the Act. 1979. A complaint must be filed within
(2) Whenever an assessment indicates 180 days from the date the complainant
a violation of the Act and the NASA first had knowledge of the alleged act
regulations, the recipient shall take of discrimination. However, for good
corrective action. cause shown, NASA may extend this
time limit.
§ 1252.303 Information requirements. (b) NASA will attempt to facilitate
(a) Keep records in a form that con- the filing of complaints wherever pos-
tains information which NASA deter- sible, including taking the following
mines may be necessary to ascertain measures:
whether the recipient is complying (1) Accepting as a sufficient com-
with the Act and these regulations. plaint, any written statement, which
(b) Provide to NASA, upon request, identifies the parties involved and the
information and reports which NASA date the complainant first had knowl-
determines are necessary to ascertain edge of the alleged violation, describes
whether the recipient is complying generally the action or practice com-
with the Act and these regulations. plained of, and assigned by the com-
(c) Permit reasonable access by plainant.
NASA to the books, records, accounts, (2) Freely permitting a complainant
and other recipient facilities and to add information to the complaint to
sources of information to the extent meet the requirements of a sufficient
NASA determines is necessary to as- complaint.
certain whether the recipient is com- (3) Widely disseminating information
plying with the Act and these regula- regarding the obligations of recipients
tions. under the Act and these regulations.
(4) Notifying the complainant and
Subpart 1252.4—Investigation, the recipient of their rights and obliga-
Conciliation, and Enforcement tions under the complaint procedure,
Procedures including the right to have a represent-
ative at all stages of the complaint
§ 1252.400 Compliance reviews. procedure.
(a) NASA may conduct compliance (5) Notifying the complainant and
reviews and pre-award reviews of re- the recipient (or their representatives)
cipients or use other similar proce- of their right to contact NASA for in-
dures that will permit it to investigate formation and assistance regarding the
and correct violations of the Act and complaint resolution process.
these regulations. NASA may conduct (c) NASA will return to the com-
these reviews even in the absence of a plainant any complaint outside the ju-
complaint against a recipient. The re- risdiction of these regulations, and will
207
§ 1252.402 14 CFR Ch. V (1–1–21 Edition)
state the reason(s) why it is outside (g) The mediator shall return unre-
the jurisdiction of these regulations. solved complaints to NASA.
§ 1252.402 Mediation. § 1252.403 Investigation.

(a) Referral of complaints for medi- (a) Informal inquiry. (1) NASA will in-
ation. NASA will refer to the Federal vestigate complaints that are unre-
Mediation and Conciliation Service all solved after mediation or are reopened
complaints that: because of a violation of a mediation
(1) Fall within the jurisdiction of the agreement.
Act and these regulations; and (2) As part of the initial inquiry,
(2) Contain all information necessary NASA will use informal fact finding
for further processing. methods, including joint or separate
(b) Both the complainant and the re- discussions with the complainant and
cipient shall participate in the medi- recipient to establish the facts, and, if
ation process to the extent necessary possible, settle the complaint on terms
to reach an agreement or make an in- that are mutually agreeable to the par-
formed judgment that an agreement is ties. NASA may seek the assistance of
not possible. There must be at least any involved State agency.
one meeting with the mediator before
(3) NASA will put any agreement in
NASA will accept a judgment that an
agreement is not possible. However, writing and have it signed by the par-
the recipient and the complainant need ties and an authorized official at
not meet with the mediator at the NASA.
same time. (4) The settlement shall not affect
(c) If the complainant and the recipi- the operation of any other enforcement
ent reach an agreement, the mediator effort of NASA, including compliance
shall prepare a written statement of reviews and investigation of other com-
the agreement and have the complain- plaints which may involve the recipi-
ant and recipient sign it. The mediator ent.
shall send a copy of the agreement to (5) The settlement is not a finding of
NASA. NASA will take no further ac- discrimination against a recipient.
tion on the complaint unless the com- (b) Formal investigation. If NASA can-
plainant or the recipient fails to com- not resolve the complaint through in-
ply with the agreement. However, formal means it will develop formal
NASA retains the right to monitor the findings through further investigations
recipient’s compliance with the agree- of the complaint. If the investigation
ment. indicates a violation of these regula-
(d) The mediator shall protect the tions, NASA will attempt to obtain
confidentiality of all information ob- voluntary compliance. If NASA cannot
tained in the course of the mediation obtain voluntary compliance, it will
process. No mediator shall testify in begin enforcement as described in
any adjudicative proceeding, produce § 1252.405.
any document, or otherwise disclose
any information obtained in the course [50 FR 13311, Apr. 4, 1985, as amended at 68
of the mediation process without prior FR 51352, Aug. 26, 2003]
approval of the head of the mediation
agency. § 1252.404 Prohibition against intimi-
dation or retaliation.
(e) NASA will use the mediation
process for a maximum of 60 days after A recipient may not engage in acts of
receiving a complaint. intimidation or retaliation against any
(f) Mediation ends if: person who:
(1) 60 days elapse from the time (a) Attempts to assert a right pro-
NASA receives the complaint; or tected by the Act or these regulations;
(2) Prior to the end of that 60-day pe- or
riod, an agreement is reached; or (b) Cooperates in any mediation, in-
(3) Prior to the end of that 60-day pe- quiry, hearing, or other part of NASA’s
riod, the mediator determines that an investigation, conciliation, and en-
agreement cannot be reached. forcement process.
208
§ 1252.405 Compliance procedure. (1) New Federal financial assistance

from NASA includes all assistance for
(a) NASA may enforce the Act and
these regulations through: which NASA requires an application or
(1) Termination of a recipient’s Fed- approval, including renewal or continu-
eral financial assistance from NASA ation of existing activities during the
under the program or activity involved deferral period. New Federal financial
where the recipient has violated the assistance from NASA does not include
Act or these regulations. The deter- assistance approved prior to the begin-
mination of the recipient’s violation ning of a hearing under § 1252.405(a)(1).
may be made only after a recipient has (2) NASA will not begin a deferral
had an opportunity for a hearing on the until the recipient has received a no-
record before an administrative law tice of an opportunity for a hearing
judge. Therefore, cases which are set- under § 1252.405(a)(1). NASA will not
tled in mediation, or prior to a hearing, continue a deferral for more than 60
will not involve termination of a re- days unless a hearing has begun within
cipient’s Federal financial assistance that time or the time for beginning the
from NASA. hearing has been extended by mutual
(2) Any other means authorized by consent of the recipient and the Ad-
law including but not limited to: ministrator. NASA will not continue a
(i) Referral to the Department of Jus- deferral for more than 30 days after the
tice for proceedings to enforce any close of the hearing, unless the hearing
rights of the United States or obliga- results in a finding against the recipi-
tions of the recipient created by the ent.
Act or these regulations.
(ii) Use of any requirement of or re- [50 FR 13311, Apr. 4, 1985, as amended at 68
ferral to any Federal, State, or local FR 51352, Aug. 26, 2003]
government agency that will have the
effect of correcting a violation of the § 1252.406 Hearings.
Act or these regulations. The procedural provisions for those
(b) NASA will limit any termination hearings required by § 1252.405 are con-
under § 1252.405(a)(1) to the particular tained in 14 CFR 1250.108.
program or activity NASA finds in vio-
lations of these regulations. NASA will § 1252.407 Notices, decisions, and post-
not base any part of a termination on termination proceedings.
a finding with respect to any program All notices, decisions, and post-ter-
or activity of the recipient which does mination proceedings, insofar as NASA
not receive Federal financial assist- is concerned, shall be made in accord-
ance from NASA. ance with 14 CFR 1250.109.
(c) NASA will take no action under
paragraph (a) until: § 1252.408 Remedial action by recipi-
(1) The Administrator has advised ents.
the recipient of its failure to comply
(a) Where NASA finds a recipient has
with the Act and these regulations and
has determined that voluntary compli- discriminated on the basis of age, the
ance cannot be obtained. recipient shall take any remedial ac-
(2) 30 days have elapsed after the Ad- tion that NASA may require to over-
ministrator has sent a written report come the effects of the discrimination.
of the circumstances and grounds of If another recipient exercises control
the action to the committees of Con- over the recipient that has discrimi-
gress having legislative jurisdiction nated, NASA may require both recipi-
over the program or activity involved. ents to take remedial action.
The Administrator will file a report (b) Even in the absence of discrimina-
whenever any action is taken under tion, a recipient may take affirmative
paragraph (a) of this section. action to overcome the effects of condi-
(d) NASA also may defer granting tions that resulted in limited partici-
new Federal financial assistance from pation in the recipients program or ac-
NASA to a recipient when a hearing tivity on the basis of age.
under § 1252.405(a)(1) is initiated.
209
§ 1252.409 14 CFR Ch. V (1–1–21 Edition)
§ 1252.409 Alternate funds disbursal whether or not attorney’s fees are de-
procedure. manded in the event the complainant
(a) When NASA withholds funds from prevails; and
a recipient under these regulations, the (v) That the complainant may not
Administrator may disburse the with- bring an action if the same alleged vio-
held funds directly to an alternate relation of the Act by the same recipient
cipient. is the subject of a pending action in
(b) The Administrator will require any court of the United States.
any alternate recipient to dem-
onstrate: § 1252.411 Age distinctions.
(1) The ability to comply with these There are no Federal statutes or reg-
regulations; and ulations containing age distinctions
(2) The ability to achieve the goals of which affect financial assistance ad-
the Federal statute authorizing the ministered by the agency.
Federal financial assistance.
[50 FR 13311, Apr. 4, 1985, as amended at 68 PART 1253—NONDISCRIMINATION
FR 51352, Aug. 26, 2003]
ON THE BASIS OF SEX IN EDU-
§ 1252.410 Exhaustion of administra- CATION PROGRAMS OR ACTIVI-
tive remedies. TIES RECEIVING FEDERAL FINAN-
(a) A complainant may file a civil ac- CIAL ASSISTANCE
tion following the exhaustion of admin-
istrative remedies under the Act. Ad- Subpart A—Introduction
ministrative remedies are exhausted if:
(1) 180 days have elapsed since the Sec.
complainant filed the complaint and 1253.100 Purpose and effective date.
NASA has made no finding with regard 1253.105 Definitions.
to the complaint; or 1253.110 Remedial and affirmative action
(2) NASA issues any findings in favor and self-evaluation.
of the recipient. 1253.115 Assurance required.
(b) If NASA fails to make a finding 1253.120 Transfers of property.
within 180 days or issues a finding in 1253.125 Effect of other requirements.
favor of the recipient, NASA will: 1253.130 Effect of employment opportuni-
(1) Promptly advise the complainant ties.
of this fact; and 1253.135 Designation of responsible em-
ployee and adoption of grievance proce-
(2) Advise the complainant of his or
dures.
her right to bring a civil action for in-
1253.140 Dissemination of policy.
junctive relief; and
(3) Inform the complainant: Subpart B—Coverage
(i) That the complainant may bring a
civil action only in a United States dis- 1253.200 Application.
trict court for the district in which the 1253.205 Educational institutions and other
recipient is located or transacts busi- entities controlled by religious organiza-
ness; tions.
(ii) That a complainant prevailing in 1253.210 Military and merchant marine edu-
a civil action has the right to be cational institutions.
awarded the costs of the action, includ- 1253.215 Membership practices of certain or-
ing reasonable attorney’s fees, but that ganizations.
the complainant must demand these 1253.220 Admissions.
1253.225 Educational institutions eligible to
costs in the complaint.
submit transition plans.
(iii) That before commencing the ac-
1253.230 Transition plans.
tion the complainant shall give 30 days
1253.235 Statutory amendments.
notice by registered mail to the Ad-
ministrator, the Attorney General of Subpart C—Discrimination on the Basis of
the United States, and Sex in Admission and Recruitment Pro-
(iv) That the notice must state: the hibited
alleged violation of the act; the relief
requested; the court in which the com- 1253.300 Admission.
plainant is bringing the action; and, 1253.305 Preference in admission.
210
1253.310 Recruitment. activity is offered or sponsored by an
educational institution as defined in
Subpart D—Discrimination on the Basis of these Title IX regulations. The effec-
Sex in Education Programs or Activities tive date of these Title IX regulations
Prohibited shall be September 29, 2000.
1253.400 Education programs or activities.
1253.405 Housing. § 1253.105 Definitions.
1253.410 Comparable facilities. As used in these Title IX regulations,
1253.415 Access to course offerings.
1253.420 Access to schools operated by the term:
LEAs. Administratively separate unit means a
1253.425 Counseling and use of appraisal and school, department, or college of an
counseling materials. educational institution (other than a
1253.430 Financial assistance. local educational agency) admission to
1253.435 Employment assistance to stu- which is independent of admission to
dents.
1253.440 Health and insurance benefits and
any other component of such institu-
services. tion.
1253.445 Marital or parental status. Admission means selection for part-
1253.450 Athletics. time, full-time, special, associate,
1253.455 Textbooks and curricular material. transfer, exchange, or any other enroll-
ment, membership, or matriculation in
Subpart E—Discrimination on the Basis of or at an education program or activity
Sex in Employment in Education Pro- operated by a recipient.
grams or Activities Prohibited
Applicant means one who submits an
1253.500 Employment. application, request, or plan required
1253.505 Employment criteria. to be approved by an official of the
1253.510 Recruitment. Federal agency that awards Federal fi-
1253.515 Compensation. nancial assistance, or by a recipient, as
1253.520 Job classification and structure.
1253.525 Fringe benefits.
a condition to becoming a recipient.
1253.530 Marital or parental status. Designated agency official means Asso-
1253.535 Effect of state or local law or other ciate Administrator for Equal Oppor-
requirements. tunity Programs.
1253.540 Advertising. Educational institution means a local
1253.545 Pre-employment inquiries. educational agency (LEA) as defined by
1253.550 Sex as a bona fide occupational
qualification.
20 U.S.C. 8801(18), a preschool, a private
elementary or secondary school, or an
Subpart F—Procedures applicant or recipient that is an insti-
tution of graduate higher education, an
1253.600 Notice of covered programs. institution of undergraduate higher
1253.605 Enforcement procedures.
education, an institution of profes-
AUTHORITY: 20 U.S.C. 1681, 1682, 1683, 1685, sional education, or an institution of
1686, 1687, 1688. vocational education, as defined in this
SOURCE: 65 FR 52865, 52876, Aug. 30, 2000, un- section.
less otherwise noted. Federal financial assistance means any
of the following, when authorized or
Subpart A—Introduction extended under a law administered by
the Federal agency that awards such
§ 1253.100 Purpose and effective date. assistance:
The purpose of these Title IX regula- (1) A grant or loan of Federal finan-
tions is to effectuate Title IX of the cial assistance, including funds made
Education Amendments of 1972, as available for:
amended (except sections 904 and 906 of (i) The acquisition, construction, ren-
those Amendments) (20 U.S.C. 1681, ovation, restoration, or repair of a
1682, 1683, 1685, 1686, 1687, 1688), which is building or facility or any portion
designed to eliminate (with certain ex- thereof; and
ceptions) discrimination on the basis of (ii) Scholarships, loans, grants,
sex in any education program or activ- wages, or other funds extended to any
ity receiving Federal financial assist- entity for payment to or on behalf of
ance, whether or not such program or students admitted to that entity, or
211
§ 1253.105 14 CFR Ch. V (1–1–21 Edition)
extended directly to such students for level study beyond the high school
payment to that entity. level, leading to a diploma or an asso-
(2) A grant of Federal real or per- ciate degree, or wholly or principally
sonal property or any interest therein, creditable toward a baccalaureate de-
including surplus property, and the gree; or
proceeds of the sale or transfer of such (2) An institution offering academic
property, if the Federal share of the study leading to a baccalaureate de-
fair market value of the property is gree; or
not, upon such sale or transfer, prop- (3) An agency or body that certifies
erly accounted for to the Federal Gov-
credentials or offers degrees, but that
ernment.
may or may not offer academic study.
(3) Provision of the services of Fed-
eral personnel. Institution of vocational education
(4) Sale or lease of Federal property means a school or institution (except
or any interest therein at nominal con- an institution of professional or grad-
sideration, or at consideration reduced uate or undergraduate higher edu-
for the purpose of assisting the recipi- cation) that has as its primary purpose
ent or in recognition of public interest preparation of students to pursue a
to be served thereby, or permission to technical, skilled, or semiskilled occu-
use Federal property or any interest pation or trade, or to pursue study in a
therein without consideration. technical field, whether or not the
(5) Any other contract, agreement, or school or institution offers certificates,
arrangement that has as one of its pur- diplomas, or degrees and whether or
poses the provision of assistance to any not it offers full-time study.
education program or activity, except Recipient means any State or polit-
a contract of insurance or guaranty. ical subdivision thereof, or any instru-
Institution of graduate higher edu- mentality of a State or political sub-
cation means an institution that: division thereof, any public or private
(1) Offers academic study beyond the agency, institution, or organization, or
bachelor of arts or bachelor of science other entity, or any person, to whom
degree, whether or not leading to a cer-
Federal financial assistance is ex-
tificate of any higher degree in the lib-
tended directly or through another re-
eral arts and sciences;
cipient and that operates an education
(2) Awards any degree in a profes-
sional field beyond the first profes- program or activity that receives such
sional degree (regardless of whether assistance, including any subunit, suc-
the first professional degree in such cessor, assignee, or transferee thereof.
field is awarded by an institution of Student means a person who has
undergraduate higher education or pro- gained admission.
fessional education); or Title IX means Title IX of the Edu-
(3) Awards no degree and offers no cation Amendments of 1972, Public Law
further academic study, but operates 92–318, 86 Stat. 235, 373 (codified as
ordinarily for the purpose of facili- amended at 20 U.S.C. 1681–1688) (except
tating research by persons who have sections 904 and 906 thereof), as amend-
received the highest graduate degree in ed by section 3 of Public Law 93–568, 88
any field of study. Stat. 1855, by section 412 of the Edu-
Institution of professional education cation Amendments of 1976, Public Law
means an institution (except any insti- 94–482, 90 Stat. 2234, and by Section 3 of
tution of undergraduate higher edu- Public Law 100–259, 102 Stat. 28, 28–29
cation) that offers a program of aca- (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687,
demic study that leads to a first profes- 1688).
sional degree in a field for which there
Title IX regulations means the provi-
is a national specialized accrediting
sions set forth at §§ 1253.100 through
agency recognized by the Secretary of
Education. 1253.605.
Institution of undergraduate higher Transition plan means a plan subject
education means: to the approval of the Secretary of
(1) An institution offering at least Education pursuant to section 901(a)(2)
two but less than four years of college- of the Education Amendments of 1972,
212
20 U.S.C. 1681(a)(2), under which an edu- resulted from adherence to these poli-
cational institution operates in mak- cies and practices.
ing the transition from being an edu- (d) Availability of self-evaluation and
cational institution that admits only related materials. Recipients shall main-
students of one sex to being one that tain on file for at least three years fol-
admits students of both sexes without lowing completion of the evaluation re-
discrimination. quired under paragraph (c) of this sec-
tion, and shall provide to the des-
§ 1253.110 Remedial and affirmative ignated agency official upon request, a
action and self-evaluation. description of any modifications made
(a) Remedial action. If the designated pursuant to paragraph (c)(2) of this sec-
agency official finds that a recipient tion and of any remedial steps taken
has discriminated against persons on pursuant to paragraph (c)(3) of this sec-
the basis of sex in an education pro- tion.
gram or activity, such recipient shall
take such remedial action as the des- § 1253.115 Assurance required.
ignated agency official deems nec- (a) General. Either at the application
essary to overcome the effects of such stage or the award stage, Federal agen-
discrimination. cies must ensure that applications for
(b) Affirmative action. In the absence Federal financial assistance or awards
of a finding of discrimination on the of Federal financial assistance contain,
basis of sex in an education program or be accompanied by, or be covered by a
activity, a recipient may take affirma- specifically identified assurance from
tive action consistent with law to over- the applicant or recipient, satisfactory
come the effects of conditions that re- to the designated agency official, that
sulted in limited participation therein each education program or activity op-
by persons of a particular sex. Nothing erated by the applicant or recipient
in these Title IX regulations shall be and to which these Title IX regulations
interpreted to alter any affirmative ac- apply will be operated in compliance
tion obligations that a recipient may with these Title IX regulations. An as-
have under Executive Order 11246, 3 surance of compliance with these Title
CFR, 1964–1965 Comp., p. 339; as amend- IX regulations shall not be satisfactory
ed by Executive Order 11375, 3 CFR, to the designated agency official if the
1966–1970 Comp., p. 684; as amended by applicant or recipient to whom such as-
Executive Order 11478, 3 CFR, 1966–1970 surance applies fails to commit itself
Comp., p. 803; as amended by Executive to take whatever remedial action is
Order 12086, 3 CFR, 1978 Comp., p. 230; necessary in accordance with
as amended by Executive Order 12107, 3 § 1253.110(a) to eliminate existing dis-
CFR, 1978 Comp., p. 264. crimination on the basis of sex or to
(c) Self-evaluation. Each recipient eliminate the effects of past discrimi-
education institution shall, within one nation whether occurring prior to or
year of September 29, 2000: subsequent to the submission to the
(1) Evaluate, in terms of the require- designated agency official of such as-
ments of these Title IX regulations, its surance.
current policies and practices and the (b) Duration of obligation. (1) In the
effects thereof concerning admission of case of Federal financial assistance ex-
students, treatment of students, and tended to provide real property or
employment of both academic and non- structures thereon, such assurance
academic personnel working in connec- shall obligate the recipient or, in the
tion with the recipient’s education pro- case of a subsequent transfer, the
gram or activity; transferee, for the period during which
(2) Modify any of these policies and the real property or structures are used
practices that do not or may not meet to provide an education program or ac-
the requirements of these Title IX reg- tivity.
ulations; and (2) In the case of Federal financial as-
(3) Take appropriate remedial steps sistance extended to provide personal
to eliminate the effects of any dis- property, such assurance shall obligate
crimination that resulted or may have the recipient for the period during
213
§ 1253.120 14 CFR Ch. V (1–1–21 Edition)
which it retains ownership or posses- (29 U.S.C. 206); and any other Act of
sion of the property. Congress or Federal regulation.
(3) In all other cases such assurance (b) Effect of State or local law or other
shall obligate the recipient for the pe- requirements. The obligation to comply
riod during which Federal financial as- with these Title IX regulations is not
sistance is extended. obviated or alleviated by any State or
(c) Form. (1) The assurances required local law or other requirement that
by paragraph (a) of this section, which would render any applicant or student
may be included as part of a document ineligible, or limit the eligibility of
that addresses other assurances or obli- any applicant or student, on the basis
gations, shall include that the appli- of sex, to practice any occupation or
cant or recipient will comply with all profession.
applicable Federal statutes relating to (c) Effect of rules or regulations of pri-
nondiscrimination. These include but vate organizations. The obligation to
are not limited to: Title IX of the Edu- comply with these Title IX regulations
cation Amendments of 1972, as amend- is not obviated or alleviated by any
ed (20 U.S.C. 1681–1683, 1685–1688). rule or regulation of any organization,
(2) The designated agency official club, athletic or other league, or asso-
will specify the extent to which such ciation that would render any appli-
assurances will be required of the ap- cant or student ineligible to partici-
plicant’s or recipient’s subgrantees, pate or limit the eligibility or partici-
contractors, subcontractors, trans- pation of any applicant or student, on
ferees, or successors in interest. the basis of sex, in any education pro-
gram or activity operated by a recipi-
§ 1253.120 Transfers of property. ent and that receives Federal financial
If a recipient sells or otherwise trans- assistance.
fers property financed in whole or in
part with Federal financial assistance § 1253.130 Effect of employment oppor-
to a transferee that operates any edu- tunities.
cation program or activity, and the The obligation to comply with these
Federal share of the fair market value Title IX regulations is not obviated or
of the property is not upon such sale or alleviated because employment oppor-
transfer properly accounted for to the tunities in any occupation or profes-
Federal Government, both the trans- sion are or may be more limited for
feror and the transferee shall be members of one sex than for members
deemed to be recipients, subject to the of the other sex.
provisions of §§ 1253.205 through
1253.235(a). § 1253.135 Designation of responsible
employee and adoption of grievance
§ 1253.125 Effect of other require- procedures.
ments. (a) Designation of responsible employee.
(a) Effect of other Federal provisions. Each recipient shall designate at least
The obligations imposed by these Title one employee to coordinate its efforts
IX regulations are independent of, and to comply with and carry out its re-
do not alter, obligations not to dis- sponsibilities under these Title IX reg-
criminate on the basis of sex imposed ulations, including any investigation of
by Executive Order 11246, 3 CFR, 1964– any complaint communicated to such
1965 Comp., p. 339; as amended by Exec- recipient alleging its noncompliance
utive Order 11375, 3 CFR, 1966–1970 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, 1966–1970 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
214
and equitable resolution of student and of the policy described in paragraph (a)
employee complaints alleging any ac- of this section in each announcement,
tion that would be prohibited by these bulletin, catalog, or application form
Title IX regulations. that it makes available to any person
of a type, described in paragraph (a) of
§ 1253.140 Dissemination of policy. this section, or which is otherwise used
(a) Notification of policy. (1) Each re- in connection with the recruitment of
cipient shall implement specific and students or employees.
continuing steps to notify applicants (2) A recipient shall not use or dis-
for admission and employment, stu- tribute a publication of the type de-
dents and parents of elementary and scribed in paragraph (b)(1) of this sec-
secondary school students, employees, tion that suggests, by text or illustra-
sources of referral of applicants for ad- tion, that such recipient treats appli-
mission and employment, and all cants, students, or employees dif-
unions or professional organizations ferently on the basis of sex except as
holding collective bargaining or profes- such treatment is permitted by these
sional agreements with the recipient, Title IX regulations.
that it does not discriminate on the (c) Distribution. Each recipient shall
basis of sex in the educational pro- distribute without discrimination on
grams or activities that it operates, the basis of sex each publication de-
and that it is required by Title IX and scribed in paragraph (b)(1) of this sec-
these Title IX regulations not to dis- tion, and shall apprise each of its ad-
criminate in such a manner. Such noti- mission and employment recruitment
fication shall contain such informa- representatives of the policy of non-
tion, and be made in such manner, as discrimination described in paragraph
the designated agency official finds (a) of this section, and shall require
necessary to apprise such persons of such representatives to adhere to such
the protections against discrimination policy.
assured them by Title IX and these
Title IX regulations, but shall state at Subpart B—Coverage
least that the requirement not to dis-
criminate in education programs or ac- § 1253.200 Application.
tivities extends to employment there- Except as provided in §§ 1253.205
in, and to admission thereto unless through 1253.235(a), these Title IX regu-
§§ 1253.300 through 1253.310 do not apply lations apply to every recipient and to
to the recipient, and that inquiries each education program or activity op-
concerning the application of Title IX erated by such recipient that receives
and these Title IX regulations to such Federal financial assistance.
recipient may be referred to the em-
ployee designated pursuant to § 1253.205 Educational institutions and
§ 1253.135, or to the designated agency other entities controlled by reli-
official. gious organizations.
(2) Each recipient shall make the ini- (a) Exemption. These Title IX regula-
tial notification required by paragraph tions do not apply to any operation of
(a)(1) of this section within 90 days of an educational institution or other en-
September 29, 2000 or of the date these tity that is controlled by a religious
Title IX regulations first apply to such organization to the extent that appli-
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 these Title IX regulations that conflict
215
§ 1253.210 14 CFR Ch. V (1–1–21 Edition)
with a specific tenet of the religious or- §§ 1253.300 through 1253.310 apply shall
ganization. not discriminate on the basis of sex in
admission or recruitment in violation
§ 1253.210 Military and merchant ma- of §§ 1253.300 through 1253.310.
rine educational institutions. (d) Educational institutions. Except as
These Title IX regulations do not provided in paragraph (e) of this sec-
apply to an educational institution tion as to recipients that are edu-
whose primary purpose is the training cational institutions, §§ 1253.300
of individuals for a military service of through 1253.310 apply only to institu-
the United States or for the merchant tions of vocational education, profes-
marine. sional education, graduate higher edu-
cation, and public institutions of un-
§ 1253.215 Membership practices of dergraduate higher education.
certain organizations. (e) Public institutions of undergraduate
(a) Social fraternities and sororities. higher education. §§ 1253.300 through
These Title IX regulations do not apply 1253.310 do not apply to any public in-
to the membership practices of social stitution of undergraduate higher edu-
fraternities and sororities that are ex- cation that traditionally and contin-
empt from taxation under section ually from its establishment has had a
501(a) of the Internal Revenue Code of policy of admitting students of only
1954, 26 U.S.C. 501(a), the active mem- one sex.
bership of which consists primarily of
students in attendance at institutions § 1253.225 Educational institutions eli-
of higher education. gible to submit transition plans.
(b) YMCA, YWCA, Girl Scouts, Boy (a) Application. This section applies
Scouts, and Camp Fire Girls. These Title to each educational institution to
IX regulations do not apply to the which §§ 1253.300 through 1253.310 apply
membership practices of the Young that:
Men’s Christian Association (YMCA), (1) Admitted students of only one sex
the Young Women’s Christian Associa- as regular students as of June 23, 1972;
tion (YWCA), the Girl Scouts, the Boy or
Scouts, and Camp Fire Girls. (2) Admitted students of only one sex
(c) Voluntary youth service organiza- as regular students as of June 23, 1965,
tions. These Title IX regulations do not but thereafter admitted, as regular stu-
apply to the membership practices of a dents, students of the sex not admitted
voluntary youth service organization prior to June 23, 1965.
that is exempt from taxation under (b) Provision for transition plans. An
section 501(a) of the Internal Revenue educational institution to which this
Code of 1954, 26 U.S.C. 501(a), and the section applies shall not discriminate
membership of which has been tradi- on the basis of sex in admission or re-
tionally limited to members of one sex cruitment in violation of §§ 1253.300
and principally to persons of less than through 1253.310.
nineteen years of age.
§ 1253.230 Transition plans.
§ 1253.220 Admissions. (a) Submission of plans. An institution
(a) Admissions to educational insti- to which § 1253.225 applies and that is
tutions prior to June 24, 1973, are not composed of more than one administra-
covered by these Title IX regulations. tively separate unit may submit either
(b) Administratively separate units. For a single transition plan applicable to
the purposes only of this section, all such units, or a separate transition
§§ 1253.225 and 1253.230, and §§ 1253.300 plan applicable to each such unit.
through 1253.310, each administratively (b) Content of plans. In order to be ap-
separate unit shall be deemed to be an 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
216
plan is applicable, and the name, ad- tions, addresses statutory amendments
dress, and telephone number of the per- to Title IX.
son to whom questions concerning the (b) These Title IX regulations shall
plan may be addressed. The person who not apply to or preclude:
submits the plan shall be the chief ad- (1) Any program or activity of the
ministrator or president of the institu- American Legion undertaken in con-
tion, or another individual legally au- nection with the organization or oper-
thorized to bind the institution to all ation of any Boys State conference,
actions set forth in the plan. Boys Nation conference, Girls State
(2) State whether the educational in- conference, or Girls Nation conference;
stitution or administratively separate
(2) Any program or activity of a sec-
unit admits students of both sexes as
ondary school or educational institu-
regular students and, if so, when it
tion specifically for:
began to do so.
(3) Identify and describe with respect (i) The promotion of any Boys State
to the educational institution or ad- conference, Boys Nation conference,
ministratively separate unit any obsta- Girls State conference, or Girls Nation
cles to admitting students without dis- conference; or
crimination on the basis of sex. (ii) The selection of students to at-
(4) Describe in detail the steps nec- tend any such conference;
essary to eliminate as soon as prac- (3) Father-son or mother-daughter
ticable each obstacle so identified and activities at an educational institution
indicate the schedule for taking these or in an education program or activity,
steps and the individual directly re- but if such activities are provided for
sponsible for their implementation. students of one sex, opportunities for
(5) Include estimates of the number reasonably comparable activities shall
of students, by sex, expected to apply be provided to students of the other
for, be admitted to, and enter each sex;
class during the period covered by the (4) Any scholarship or other financial
plan. assistance awarded by an institution of
(c) Nondiscrimination. No policy or higher education to an individual be-
practice of a recipient to which cause such individual has received such
§ 1253.225 applies shall result in treat- award in a single-sex pageant based
ment of applicants to or students of upon a combination of factors related
such recipient in violation of §§ 1253.300 to the individual’s personal appear-
through 1253.310 unless such treatment ance, poise, and talent. The pageant,
is necessitated by an obstacle identi- however, must comply with other non-
fied in paragraph (b)(3) of this section discrimination provisions of Federal
and a schedule for eliminating that ob- law.
stacle has been provided as required by
(c) Program or activity or program
paragraph (b)(4) of this section.
means:
(d) Effects of past exclusion. To over-
come the effects of past exclusion of (1) All of the operations of any entity
students on the basis of sex, each edu- described in paragraphs (c)(1)(i)
cational institution to which § 1253.225 through (iv) of this section, any part of
applies shall include in its transition which is extended Federal financial as-
plan, and shall implement, specific sistance:
steps designed to encourage individuals (i)(A) A department, agency, special
of the previously excluded sex to apply purpose district, or other instrumen-
for admission to such institution. Such tality of a State or of a local govern-
steps shall include instituting recruitment; or
ment programs that emphasize the in- (B) The entity of such State or local
stitution’s commitment to enrolling government that distributes such as-
students of the sex previously ex- sistance and each such department or
cluded. agency (and each other State or local
government entity) to which the as-
§ 1253.235 Statutory amendments. sistance is extended, in the case of as-
(a) This section, which applies to all sistance to a State or local govern-
provisions of these Title IX regula- ment;
217
§ 1253.300 14 CFR Ch. V (1–1–21 Edition)
(ii)(A) A college, university, or other (2) Nothing in this section shall be

postsecondary institution, or a public construed to permit a penalty to be im-
system of higher education; or posed on any person or individual be-
(B) A local educational agency (as de- cause such person or individual is seek-
fined in section 8801 of title 20), system ing or has received any benefit or serv-
of vocational education, or other ice related to a legal abortion. Accord-
school system; ingly, subject to paragraph (d)(1) of
(iii)(A) An entire corporation, part- this section, no person shall be ex-
nership, or other private organization, cluded from participation in, be denied
or an entire sole proprietorship— the benefits of, or be subjected to dis-
(1) If assistance is extended to such crimination under any academic, ex-
corporation, partnership, private orga- tracurricular, research, occupational
nization, or sole proprietorship as a training, employment, or other edu-
whole; or cational program or activity operated
(2) Which is principally engaged in by a recipient that receives Federal fi-
the business of providing education, nancial assistance because such indi-
health care, housing, social services, or vidual has sought or received, or is
parks and recreation; or seeking, a legal abortion, or any ben-
(B) The entire plant or other com- efit or service related to a legal abor-
parable, geographically separate facil- tion.
ity to which Federal financial assist-
ance is extended, in the case of any Subpart C—Discrimination on the
other corporation, partnership, private Basis of Sex in Admission and
organization, or sole proprietorship; or Recruitment Prohibited
(iv) Any other entity that is estab-
lished by two or more of the entities § 1253.300 Admission.
described in paragraphs (c)(1)(i), (ii), or
(a) General. No person shall, on the
(iii) of this section.
basis of sex, be denied admission, or be
(2)(i) Program or activity does not in-
subjected to discrimination in admis-
clude any operation of an entity that is
sion, by any recipient to which
controlled by a religious organization
§§ 1253.300 through §§ 1253.310 apply, ex-
if the application of 20 U.S.C. 1681 to
cept as provided in §§ 1253.225 and
such operation would not be consistent
§§ 1253.230.
with the religious tenets of such orga-
nization. (b) Specific prohibitions. (1) In deter-
mining whether a person satisfies any
(ii) For example, all of the operations
policy or criterion for admission, or in
of a college, university, or other post-
making any offer of admission, a re-
secondary institution, including but
not limited to traditional educational cipient to which §§ 1253.300 through
operations, faculty and student hous- 1253.310 apply shall not:
ing, campus shuttle bus service, cam- (i) Give preference to one person over
pus restaurants, the bookstore, and another on the basis of sex, by ranking
other commercial activities are part of applicants separately on such basis, or
a ‘‘program or activity’’ subject to otherwise;
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
218
or criteria that do not have such a dis- be required to undertake additional re-
proportionately adverse effect are cruitment efforts for one sex as reme-
shown to be unavailable. dial action pursuant to § 1253.110(a), and
(c) Prohibitions relating to marital or may choose to undertake such efforts
parental status. In determining whether as affirmative action pursuant to
a person satisfies any policy or cri- § 1253.110(b).
terion for admission, or in making any (b) Recruitment at certain institutions.
offer of admission, a recipient to which A recipient to which §§ 1253.300 through
§§ 1253.300 through 1253.310 apply: 1253.310 apply shall not recruit pri-
(1) Shall not apply any rule con- marily or exclusively at educational
cerning the actual or potential paren- institutions, schools, or entities that
tal, family, or marital status of a stu- admit as students only or predomi-
dent or applicant that treats persons nantly members of one sex, if such ac-
differently on the basis of sex; tions have the effect of discriminating
(2) Shall not discriminate against or
on the basis of sex in violation of
exclude any person on the basis of
§§ 1253.300 through 1253.310.
pregnancy, childbirth, termination of
pregnancy, or recovery therefrom, or
establish or follow any rule or practice Subpart D—Discrimination on the
that so discriminates or excludes; Basis of Sex in Education Pro-
(3) Subject to § 1253.235(d), shall treat grams or Activities Prohibited
disabilities related to pregnancy, child-
birth, termination of pregnancy, or re- § 1253.400 Education programs or ac-
covery therefrom in the same manner tivities.
and under the same policies as any (a) General. Except as provided else-
other temporary disability or physical where in these Title IX regulations, no
condition; and person shall, on the basis of sex, be ex-
(4) Shall not make pre-admission included from participation in, be denied
quiry as to the marital status of an ap- the benefits of, or be subjected to dis-
plicant for admission, including wheth- crimination under any academic, ex-
er such applicant is ‘‘Miss’’ or ‘‘Mrs.’’ tracurricular, research, occupational
A recipient may make pre-admission
training, or other education program
inquiry as to the sex of an applicant for
or activity operated by a recipient that
admission, but only if such inquiry is
receives Federal financial assistance.
made equally of such applicants of both
Sections 1253.400 through 1253.455 do
sexes and if the results of such inquiry
not apply to actions of a recipient in
are not used in connection with dis-
crimination prohibited by these Title connection with admission of its stu-
IX regulations. dents to an education program or ac-
tivity of a recipient to which §§ 1253.300
§ 1253.305 Preference in admission. through 1253.310 do not apply, or an en-
A recipient to which §§ 1253.300 tity, not a recipient, to which §§ 1253.300
through 1253.310 apply shall not give through 1253.310 would not apply if the
preference to applicants for admission, entity were a recipient.
on the basis of attendance at any edu- (b) Specific prohibitions. Except as pro-
cational institution or other school or vided in §§ 1253.400 through 1253.455, in
entity that admits as students only or providing any aid, benefit, or service to
predominantly members of one sex, if a student, a recipient shall not, on the
the giving of such preference has the basis of sex:
effect of discriminating on the basis of (1) Treat one person differently from
sex in violation of §§ 1253.300 through another in determining whether such
1253.310. person satisfies any requirement or
condition for the provision of such aid,
§ 1253.310 Recruitment. benefit, or service;
(a) Nondiscriminatory recruitment. A (2) Provide different aid, benefits, or
recipient to which §§ 1253.300 through services or provide aid, benefits, or
1253.310 apply shall not discriminate on services in a different manner;
the basis of sex in the recruitment and (3) Deny any person any such aid,
admission of students. A recipient may benefit, or service;
219
§ 1253.405 14 CFR Ch. V (1–1–21 Edition)
(4) Subject any person to separate or (i) Shall develop and implement a
different rules of behavior, sanctions, procedure designed to assure itself that
or other treatment; the operator or sponsor of such other
(5) Apply any rule concerning the education program or activity takes no
domicile or residence of a student or action affecting any applicant, student,
applicant, including eligibility for in- or employee of such recipient that
state fees and tuition; these Title IX regulations would pro-
(6) Aid or perpetuate discrimination hibit such recipient from taking; and
against any person by providing sig- (ii) Shall not facilitate, require, per-
nificant assistance to any agency, or- mit, or consider such participation if
ganization, or person that discrimi- such action occurs.
nates on the basis of sex in providing
any aid, benefit, or service to students § 1253.405 Housing.
or employees; (a) Generally. A recipient shall not,
(7) Otherwise limit any person in the on the basis of sex, apply different
enjoyment of any right, privilege, ad- rules or regulations, impose different
vantage, or opportunity. fees or requirements, or offer different
(c) Assistance administered by a recipi- services or benefits related to housing,
ent educational institution to study at a except as provided in this section (in-
foreign institution. A recipient edu- cluding housing provided only to mar-
cational institution may administer or ried students).
assist in the administration of scholar- (b) Housing provided by recipient. (1) A
ships, fellowships, or other awards es- recipient may provide separate housing
tablished by foreign or domestic wills, on the basis of sex.
trusts, or similar legal instruments, or (2) Housing provided by a recipient to
by acts of foreign governments and re- students of one sex, when compared to
stricted to members of one sex, that that provided to students of the other
are designed to provide opportunities sex, shall be as a whole:
to study abroad, and that are awarded (i) Proportionate in quantity to the
to students who are already matricu- number of students of that sex apply-
lating at or who are graduates of the ing for such housing; and
recipient institution; Provided, that a (ii) Comparable in quality and cost to
recipient educational institution that the student.
administers or assists in the adminis- (c) Other housing. (1) A recipient shall
tration of such scholarships, fellow- not, on the basis of sex, administer dif-
ships, or other awards that are re- ferent policies or practices concerning
stricted to members of one sex pro- occupancy by its students of housing
vides, or otherwise makes available, other than that provided by such re-
reasonable opportunities for similar cipient.
studies for members of the other sex. (2)(i) A recipient which, through so-
Such opportunities may be derived licitation, listing, approval of housing,
from either domestic or foreign or otherwise, assists any agency, orga-
sources. nization, or person in making housing
(d) Aids, benefits or services not pro- available to any of its students, shall
vided by recipient. (1) This paragraph (d) take such reasonable action as may be
applies to any recipient that requires necessary to assure itself that such
participation by any applicant, stu- housing as is provided to students of
dent, or employee in any education one sex, when compared to that pro-
program or activity not operated whol- vided to students of the other sex, is as
ly by such recipient, or that facilitates, a whole:
permits, or considers such participa- (A) Proportionate in quantity; and
tion as part of or equivalent to an edu- (B) Comparable in quality and cost to
cation program or activity operated by the student.
such recipient, including participation (ii) A recipient may render such as-
in educational consortia and coopera- sistance to any agency, organization,
tive employment and student-teaching or person that provides all or part of
assignments. such housing to students of only one
(2) Such recipient: sex.
220
§ 1253.410 Comparable facilities. (6) Recipients may make require-

ments based on vocal range or quality
A recipient may provide separate toi-
that may result in a chorus or choruses
let, locker room, and shower facilities
of one or predominantly one sex.
on the basis of sex, but such facilities
provided for students of one sex shall § 1253.420 Access to schools operated
be comparable to such facilities pro- by LEAs.
vided for students of the other sex.
A recipient that is a local edu-
§ 1253.415 Access to course offerings. cational agency shall not, on the basis
of sex, exclude any person from admis-
(a) A recipient shall not provide any sion to:
course or otherwise carry out any of its (a) Any institution of vocational edu-
education program or activity sepa- cation operated by such recipient; or
rately on the basis of sex, or require or (b) Any other school or educational
refuse participation therein by any of unit operated by such recipient, unless
its students on such basis, including such recipient otherwise makes avail-
health, physical education, industrial, able to such person, pursuant to the
business, vocational, technical, home same policies and criteria of admission,
economics, music, and adult education courses, services, and facilities com-
courses. parable to each course, service, and fa-
(b)(1) With respect to classes and ac- cility offered in or through such
tivities in physical education at the el- schools.
ementary school level, the recipient
shall comply fully with this section as § 1253.425 Counseling and use of ap-
expeditiously as possible but in no praisal and counseling materials.
event later than one year from Sep- (a) Counseling. A recipient shall not
tember 29, 2000. With respect to phys- discriminate against any person on the
ical education classes and activities at basis of sex in the counseling or guid-
the secondary and post-secondary lev- ance of students or applicants for ad-
els, the recipient shall comply fully mission.
with this section as expeditiously as (b) Use of appraisal and counseling ma-
possible but in no event later than terials. A recipient that uses testing or
three years from September 29, 2000. other materials for appraising or coun-
(2) This section does not prohibit seling students shall not use different
grouping of students in physical edu- materials for students on the basis of
cation classes and activities by ability their sex or use materials that permit
as assessed by objective standards of or require different treatment of stu-
individual performance developed and dents on such basis unless such dif-
applied without regard to sex. ferent materials cover the same occu-
(3) This section does not prohibit sep- pations and interest areas and the use
aration of students by sex within phys- of such different materials is shown to
ical education classes or activities dur- be essential to eliminate sex bias. Re-
ing participation in wrestling, boxing, cipients shall develop and use internal
rugby, ice hockey, football, basketball, procedures for ensuring that such ma-
and other sports the purpose or major terials do not discriminate on the basis
activity of which involves bodily con- of sex. Where the use of a counseling
tact. test or other instrument results in a
(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
221
§ 1253.430 14 CFR Ch. V (1–1–21 Edition)
sex, the recipient shall take such ac- of financial assistance is allocated to
tion as is necessary to assure itself each student selected under paragraph
that such disproportion is not the re- (b)(2)(i) of this section; and
sult of discrimination on the basis of (iii) No student is denied the award
sex in counseling or appraisal mate- for which he or she was selected under
rials or by counselors. paragraph (b)(2)(i) of this section be-
cause of the absence of a scholarship,
§ 1253.430 Financial assistance.
fellowship, or other form of financial
(a) General. Except as provided in assistance designated for a member of
paragraphs (b) and (c) of this section, that student’s sex.
in providing financial assistance to any
(c) Athletic scholarships. (1) To the ex-
of its students, a recipient shall not:
tent that a recipient awards athletic
(1) On the basis of sex, provide dif-
scholarships or grants-in-aid, it must
ferent amounts or types of such assist-
ance, limit eligibility for such assist- provide reasonable opportunities for
ance that is of any particular type or such awards for members of each sex in
source, apply different criteria, or oth- proportion to the number of students
erwise discriminate; of each sex participating in inter-
(2) Through solicitation, listing, ap- scholastic or intercollegiate athletics.
proval, provision of facilities, or other (2) A recipient may provide separate
services, assist any foundation, trust, athletic scholarships or grants-in-aid
agency, organization, or person that for members of each sex as part of sep-
provides assistance to any of such re- arate athletic teams for members of
cipient’s students in a manner that dis- each sex to the extent consistent with
criminates on the basis of sex; or this paragraph (c) and § 1253.450.
(3) Apply any rule or assist in appli-
cation of any rule concerning eligi- § 1253.435 Employment assistance to
bility for such assistance that treats students.
persons of one sex differently from per- (a) Assistance by recipient in making
sons of the other sex with regard to available outside employment. A recipi-
marital or parental status. ent that assists any agency, organiza-
(b) Financial aid established by certain
tion, or person in making employment
legal instruments. (1) A recipient may
available to any of its students:
administer or assist in the administra-
tion of scholarships, fellowships, or (1) Shall assure itself that such em-
other forms of financial assistance es- ployment is made available without
tablished pursuant to domestic or for- discrimination on the basis of sex; and
eign wills, trusts, bequests, or similar (2) Shall not render such services to
legal instruments or by acts of a for- any agency, organization, or person
eign government that require that that discriminates on the basis of sex
awards be made to members of a par- in its employment practices.
ticular sex specified therein; Provided, (b) Employment of students by recipi-
that the overall effect of the award of ents. A recipient that employs any of
such sex-restricted scholarships, fel- its students shall not do so in a manner
lowships, and other forms of financial that violates §§ 1253.500 through
assistance does not discriminate on the 1253.550.
basis of sex.
(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
financial assistance on the basis of to any of its students, a recipient shall
nondiscriminatory criteria and not on not discriminate on the basis of sex, or
the basis of availability of funds re- provide such benefit, service, policy, or
stricted to members of a particular sex; plan in a manner that would violate
(ii) An appropriate sex-restricted §§ 1253.500 through 1253.550 if it were
scholarship, fellowship, or other form provided to employees of the recipient.
222
This section shall not prohibit a recipi- does not otherwise qualify for leave
ent from providing any benefit or serv- under such a policy, a recipient shall
ice that may be used by a different pro- treat pregnancy, childbirth, false preg-
portion of students of one sex than of nancy, termination of pregnancy, and
the other, including family planning recovery therefrom as a justification
services. However, any recipient that for a leave of absence for as long a pe-
provides full coverage health service riod of time as is deemed medically
shall provide gynecological care. necessary by the student’s physician,
at the conclusion of which the student
§ 1253.445 Marital or parental status. shall be reinstated to the status that
(a) Status generally. A recipient shall she held when the leave began.
not apply any rule concerning a stu-
dent’s actual or potential parental, § 1253.450 Athletics.
family, or marital status that treats (a) General. No person shall, on the
students differently on the basis of sex. basis of sex, be excluded from partici-
(b) Pregnancy and related conditions. pation in, be denied the benefits of, be
(1) A recipient shall not discriminate treated differently from another per-
against any student, or exclude any son, or otherwise be discriminated
student from its education program or against in any interscholastic, inter-
activity, including any class or extra- collegiate, club, or intramural ath-
curricular activity, on the basis of such letics offered by a recipient, and no re-
student’s pregnancy, childbirth, false cipient shall provide any such athletics
pregnancy, termination of pregnancy, separately on such basis.
or recovery therefrom, unless the stu- (b) Separate teams. Notwithstanding
dent requests voluntarily to partici- the requirements of paragraph (a) of
pate in a separate portion of the pro- this section, a recipient may operate or
gram or activity of the recipient. sponsor separate teams for members of
(2) A recipient may require such a each sex where selection for such
student to obtain the certification of a teams is based upon competitive skill
physician that the student is phys- or the activity involved is a contact
ically and emotionally able to continue sport. However, where a recipient oper-
participation as long as such a certifi- ates or sponsors a team in a particular
cation is required of all students for sport for members of one sex but oper-
other physical or emotional conditions ates or sponsors no such team for mem-
requiring the attention of a physician. bers of the other sex, and athletic op-
(3) A recipient that operates a por- portunities for members of that sex
tion of its education program or activ- have previously been limited, members
ity separately for pregnant students, of the excluded sex must be allowed to
admittance to which is completely vol- try out for the team offered unless the
untary on the part of the student as sport involved is a contact sport. For
provided in paragraph (b)(1) of this sec- the purposes of these Title IX regula-
tion, shall ensure that the separate tions, contact sports include boxing,
portion is comparable to that offered wrestling, rugby, ice hockey, football,
to non-pregnant students. basketball, and other sports the pur-
(4) Subject to § 1253.235(d), a recipient pose or major activity of which in-
shall treat pregnancy, childbirth, false volves bodily contact.
pregnancy, termination of pregnancy (c) Equal opportunity. (1) A recipient
and recovery therefrom in the same that operates or sponsors inter-
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 recipient’s 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;
223
§ 1253.455 14 CFR Ch. V (1–1–21 Edition)
(ii) The provision of equipment and Subpart E—Discrimination on the

supplies; Basis of Sex in Employment in
(iii) Scheduling of games and prac- Education Programs or Activi-
tice time; ties Prohibited
(iv) Travel and per diem allowance;
(v) Opportunity to receive coaching § 1253.500 Employment.
and academic tutoring; (a) General. (1) No person shall, on
(vi) Assignment and compensation of the basis of sex, be excluded from par-
coaches and tutors; ticipation in, be denied the benefits of,
(vii) Provision of locker rooms, prac- or be subjected to discrimination in
tice, and competitive facilities; employment, or recruitment, consider-
(viii) Provision of medical and train- ation, or selection therefor, whether
ing facilities and services; full-time or part-time, under any edu-
(ix) Provision of housing and dining cation program or activity operated by
facilities and services; a recipient that receives Federal finan-
(x) Publicity. cial assistance.
(2) For purposes of paragraph (c)(1) of (2) A recipient shall make all em-
this section, unequal aggregate expend- ployment decisions in any education
itures for members of each sex or un- program or activity operated by such
recipient in a nondiscriminatory man-
equal expenditures for male and female
ner and shall not limit, segregate, or
teams if a recipient operates or spon-
classify applicants or employees in any
sors separate teams will not constitute
way that could adversely affect any ap-
noncompliance with this section, but plicant’s or employee’s employment
the designated agency official may opportunities or status because of sex.
consider the failure to provide nec- (3) A recipient shall not enter into
essary funds for teams for one sex in any contractual or other relationship
assessing equality of opportunity for which directly or indirectly has the ef-
members of each sex. fect of subjecting employees or stu-
(d) Adjustment period. A recipient that dents to discrimination prohibited by
operates or sponsors interscholastic, §§ 1253.500 through 1253.550, including
intercollegiate, club, or intramural relationships with employment and re-
athletics at the elementary school ferral agencies, with labor unions, and
level shall comply fully with this sec- with organizations providing or admin-
tion as expeditiously as possible but in istering fringe benefits to employees of
no event later than one year from Sep- the recipient.
tember 29, 2000. A recipient that oper- (4) A recipient shall not grant pref-
ates or sponsors interscholastic, inter- erences to applicants for employment
collegiate, club, or intramural ath- on the basis of attendance at any edu-
letics at the secondary or postsec- cational institution or entity that ad-
ondary school level shall comply fully mits as students only or predominantly
with this section as expeditiously as members of one sex, if the giving of
possible but in no event later than such preferences has the effect of dis-
three years from September 29, 2000. criminating on the basis of sex in vio-
lation of these Title IX regulations.
§ 1253.455 Textbooks and curricular (b) Application. The provisions of
material. §§ 1253.500 through 1253.550 apply to:
(1) Recruitment, advertising, and the
Nothing in these Title IX regulations process of application for employment;
shall be interpreted as requiring or pro- (2) Hiring, upgrading, promotion,
hibiting or abridging in any way the consideration for and award of tenure,
use of particular textbooks or cur- demotion, transfer, layoff, termi-
ricular materials. nation, application of nepotism poli-
cies, right of return from layoff, and
rehiring;
(3) Rates of pay or any other form of
compensation, and changes in com-
pensation;
224
(4) Job assignments, classifications, sively at entities that furnish as appli-

and structure, including position de- cants only or predominantly members
scriptions, lines of progression, and se- of one sex if such actions have the ef-
niority lists; fect of discriminating on the basis of
(5) The terms of any collective bar- sex in violation of §§ 1253.500 through
gaining agreement; 1253.550.
(6) Granting and return from leaves
of absence, leave for pregnancy, child- § 1253.515 Compensation.
birth, false pregnancy, termination of A recipient shall not make or enforce
pregnancy, leave for persons of either any policy or practice that, on the
sex to care for children or dependents, basis of sex:
or any other leave; (a) Makes distinctions in rates of pay
(7) Fringe benefits available by vir- or other compensation;
tue of employment, whether or not ad- (b) Results in the payment of wages
ministered by the recipient; to employees of one sex at a rate less
(8) Selection and financial support
than that paid to employees of the op-
for training, including apprenticeship,
posite sex for equal work on jobs the
professional meetings, conferences, and
performance of which requires equal
other related activities, selection for
skill, effort, and responsibility, and
tuition assistance, selection for
that are performed under similar work-
sabbaticals and leaves of absence to
ing conditions.
pursue training;
(9) Employer-sponsored activities, in- § 1253.520 Job classification and struc-
cluding social or recreational pro- ture.
grams; and
(10) Any other term, condition, or A recipient shall not:
privilege of employment. (a) Classify a job as being for males
or for females;
§ 1253.505 Employment criteria. (b) Maintain or establish separate
A recipient shall not administer or lines of progression, seniority lists, ca-
operate any test or other criterion for reer ladders, or tenure systems based
any employment opportunity that has on sex; or
a disproportionately adverse effect on (c) Maintain or establish separate
persons on the basis of sex unless: lines of progression, seniority systems,
(a) Use of such test or other criterion career ladders, or tenure systems for
is shown to predict validly successful similar jobs, position descriptions, or
performance in the position in ques- job requirements that classify persons
tion; and on the basis of sex, unless sex is a bona
(b) Alternative tests or criteria for fide occupational qualification for the
such purpose, which do not have such positions in question as set forth in
disproportionately adverse effect, are § 1253.550.
shown to be unavailable.
§ 1253.525 Fringe benefits.
§ 1253.510 Recruitment. (a) ‘‘Fringe benefits’’ defined. For pur-
(a) Nondiscriminatory recruitment and poses of these Title IX regulations,
hiring. A recipient shall not discrimi- fringe benefits means: Any medical, hos-
nate on the basis of sex in the recruit- pital, accident, life insurance, or re-
ment and hiring of employees. Where a tirement benefit, service, policy or
recipient has been found to be pres- plan, any profit-sharing or bonus plan,
ently discriminating on the basis of sex leave, and any other benefit or service
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 employee’s sex;
225
§ 1253.530 14 CFR Ch. V (1–1–21 Edition)
(2) Administer, operate, offer, or par- time, at the conclusion of which the
ticipate in a fringe benefit plan that employee shall be reinstated to the sta-
does not provide for equal periodic ben- tus that she held when the leave began
efits for members of each sex and for or to a comparable position, without
equal contributions to the plan by such decrease in rate of compensation or
recipient for members of each sex; or loss of promotional opportunities, or
(3) Administer, operate, offer, or par- any other right or privilege of employ-
ticipate in a pension or retirement plan ment.
that establishes different optional or
compulsory retirement ages based on § 1253.535 Effect of state or local law
sex or that otherwise discriminates in or other requirements.
benefits on the basis of sex. (a) Prohibitory requirements. The obli-
gation to comply with §§ 1253.500
§ 1253.530 Marital or parental status. through 1253.550 is not obviated or alle-
(a) General. A recipient shall not viated by the existence of any State or
apply any policy or take any employ- local law or other requirement that im-
ment action: poses prohibitions or limits upon em-
(1) Concerning the potential marital, ployment of members of one sex that
parental, or family status of an em- are not imposed upon members of the
ployee or applicant for employment other sex.
that treats persons differently on the (b) Benefits. A recipient that provides
basis of sex; or any compensation, service, or benefit
(2) Which is based upon whether an to members of one sex pursuant to a
employee or applicant for employment State or local law or other requirement
is the head of household or principal shall provide the same compensation,
wage earner in such employee’s or ap- service, or benefit to members of the
plicant’s family unit. other sex.
(b) Pregnancy. A recipient shall not
discriminate against or exclude from § 1253.540 Advertising.
employment any employee or applicant A recipient shall not in any adver-
for employment on the basis of preg- tising related to employment indicate
nancy, childbirth, false pregnancy, ter- preference, limitation, specification, or
mination of pregnancy, or recovery discrimination based on sex unless sex
therefrom. is a bona fide occupational qualifica-
(c) Pregnancy as a temporary disability. tion for the particular job in question.
Subject to § 1253.235(d), a recipient shall
treat pregnancy, childbirth, false preg- § 1253.545 Pre-employment inquiries.
nancy, termination of pregnancy, re- (a) Marital status. A recipient shall
covery therefrom, and any temporary not make pre-employment inquiry as
disability resulting therefrom as any to the marital status of an applicant
other temporary disability for all job- for employment, including whether
related purposes, including commence- such applicant is ‘‘Miss’’ or ‘‘Mrs.’’
ment, duration, and extensions of (b) Sex. A recipient may make pre-
leave, payment of disability income, employment inquiry as to the sex of an
accrual of seniority and any other ben- applicant for employment, but only if
efit or service, and reinstatement, and such inquiry is made equally of such
under any fringe benefit offered to em- applicants of both sexes and if the re-
ployees by virtue of employment. sults of such inquiry are not used in
(d) Pregnancy leave. In the case of a connection with discrimination prohib-
recipient that does not maintain a ited by these Title IX regulations.
leave policy for its employees, or in the
case of an employee with insufficient § 1253.550 Sex as a bona fide occupa-
leave or accrued employment time to tional qualification.
qualify for leave under such a policy, a A recipient may take action other-
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
226
is essential to successful operation of 1259.201 Types of Space Grant program and

the employment function concerned. A project awards—regular and special.
recipient shall not take action pursu- 1259.202 Application procedures.
1259.203 Limitations.
ant to this section that is based upon
alleged comparative employment char- Subpart 3—National Needs Grants
acteristics or stereotyped characteriza-
tions of one or the other sex, or upon 1259.300 Description.
preference based on sex of the recipi- 1259.301 Identification of national needs.
ent, employees, students, or other per- 1259.302 Application procedures.
sons, but nothing contained in this sec-
tion shall prevent a recipient from con- Subpart 4—Space Grant College and
sidering an employee’s sex in relation Consortium Designation
to employment in a locker room or toi-
let facility used only by members of 1259.400 Description.
one sex. 1259.401 Responsibilities.
1259.402 Basic criteria and application pro-
cedures.
Subpart F—Procedures 1259.403 Limitations.
1259.404 Suspension or termination of des-
§ 1253.600 Notice of covered programs. ignation.
Within 60 days of September 29, 2000,
each Federal agency that awards Fed- Subpart 5—Space Grant Fellowships
eral financial assistance shall publish 1259.500 Description.
in the FEDERAL REGISTER a notice of 1259.501 Responsibilities.
the programs covered by these Title IX 1259.502 Application procedures.
regulations. Each such Federal agency 1259.503 Limitations.
shall periodically republish the notice
Subpart 6—Space Grant Review Panel
of covered programs to reflect changes
in covered programs. Copies of this no- 1259.600 Panel description.
tice also shall be made available upon 1259.601 Establishment and composition.
request to the Federal agency’s office 1259.602 Conflict of interest.
that enforces Title IX. 1259.603 Responsibilities.
AUTHORITY: Pub. L. 100–147, 101 Stat. 869–
§ 1253.605 Enforcement procedures. 875; Sec. 3, Pub. L. 111–314, 124 Stat. 3382; 51
The investigative, compliance, and U.S.C. 40301–40311.
enforcement procedural provisions of SOURCE: 54 FR 19880, May 9, 1989, unless
Title VI of the Civil Rights Act of 1964 otherwise noted.
(42 U.S.C. 2000d) (‘‘Title VI’’) are hereby
adopted and applied to these Title IX Subpart 1—Basic Policy
regulations. These procedures may be
found at 14 CFR 1250.105 through § 1259.100 Scope of part.
1250.110. (a) This part 1259 establishes the poli-
[65 FR 52877, Aug. 30, 2000] cies, responsibilities, and procedures
relative to the National Space Grant
College and Fellowship Program estab-
PART 1259—NATIONAL SPACE lished by Title II of the National Aero-
GRANT COLLEGE AND FELLOW- nautics and Space Administration
SHIP PROGRAM (NASA) Authorization Act of 1988 (Pub.
L. 100–147, 101 Stat. 869–875, now codi-
Subpart 1—Basic Policy fied at 51 U.S.C. 40301–40311 as a result
Sec. of Sec. 3, Pub. L. 111–314, 124 Stat. 3382).
1259.100 Scope of part. This statute authorizes the Adminis-
1259.101 Definitions. trator of NASA, in order to carry out
1259.102 General policy. the purposes of the National Space
1259.103 Space authorities—regular and spe- Grant College and Fellowship Act (the
cial. Act), to accept conditional or uncondi-
Subpart 2—Space Grant Program and tional gifts and donations; to accept
and use funds from other Federal de-
Project Awards
partments, agencies, and instrumental-
1259.200 Description. ities; to make awards with respect to
227
§ 1259.101 14 CFR Ch. V (1–1–21 Edition)
such needs or problems; and to des- (e) Person means any individual, pub-
ignate Space Grant colleges. It further lic or private corporation, partnership
directs the Administrator to establish or other association or entity (includ-
a graduate fellowship program to pro- ing any Space Grant college, Space
vide educational assistance to qualified Grant consortium, institution of high-
individuals in fields related to space er education, institute or laboratory),
and to establish an independent com- or any State, political subdivision
mittee known as the Space Grant Re- thereof, or agency or officer of a State
view Panel to review and advise the or political subdivision thereof.
Administrator with respect to Space (f) Space means aeronautical and space
Grant programs. activities which has the meaning given
(b) The regulations of this part do to such term in section 103(1) of the Na-
not apply to awards made by NASA tional Aeronautics and Space Act of
under any other authority. 1958, as amended (51 U.S.C. 20103).
[54 FR 19880, May 9, 1989, as amended at 82 (g) Space Grant college means any
FR 35440, July 31, 2017] public or private institution of higher
education that is designated as such by
§ 1259.101 Definitions. the Administrator or designee pursu-
For the purposes of this part, the fol- ant to section 208 of the Act.
lowing definitions shall apply: (h) Space Grant regional consortium
(a) Field related to space means any means any association or other alli-
academic discipline or field of study ance that is designated as such by the
(including the physical, natural and bi- Administrator or designee pursuant to
ological sciences, and engineering, section 208 of the Act.
space technology, education, econom- (i) Space Grant program means any
ics, sociology, communications, plan- program which:
ning, law, international affairs and (1) Is administered by any Space
public administration) which is con- Grant college, Space Grant regional
cerned with or likely to improve the consortium, institution of higher edu-
understanding, assessment, develop- cation, institute, laboratory or State
ment and utilization of space. or local agency; and
(b) Institution of higher education (2) Includes two or more projects in-
means any college or university in any volving education and one or more of
state that: the following activities in the fields re-
(1) Admits as regular students only lated to space:
individuals who have a certificate of (i) Research;
graduation or equivalent from a sec- (ii) Training; or
ondary school; (iii) Advisory services.
(2) Is legally authorized within such (j) Space Grant program award means
State to provide a program of edu- any award contemplated under section
cation beyond secondary education; 206(a) of the Act.
(3) Provides an educational program (k) Special Space Grant program award
for which a bachelor’s degree or other means any award extended under sec-
higher degree is awarded; tion 206(b) of the Act.
(4) Is a public or other nonprofit in- (l) Specific national need grant means
stitution; and any award extended under section 207
(5) Is accredited by a nationally rec- of the Act.
ognized accrediting agency or associa- (m) State means any State of the
tion. United States, the District of Colum-
(c) National of the United States means bia, the Commonwealth of Puerto Rico,
a citizen of the United States or a na- the Virgin Islands, Guam, American
tive resident of a possession of the Samoa, the Commonwealth of the
United States. It does not refer to or Northern Mariana Islands and any
include a citizen of another country other territory or possession of the
who has applied for United States citi- United States.
zenship. (n) State Space Grant cooperating insti-
(d) Panel means the Space Grant Re- tution means any institution of higher
view Panel established pursuant to sec- education in a state that does not have
tion 210 of the Act. a designated Space Grant college, and
228
that is named by the Administrator or and other transactions competitively

designee to provide selected Space in a merit-based review process.
Grant program functions within that (c) It shall be NASA’s policy to des-
state. ignate and make awards without re-
[54 FR 19880, May 9, 1989, as amended at 82 gard to age, color, disability, national
FR 35440, July 31, 2017] origin, race, religion, or sex.
[82 FR 35440, July 31, 2017]
§ 1259.102 General policy.
(a) In compliance with the National § 1259.103 Space authorities—regular
Space Grant College and Fellowship and special.
Act (51 U.S.C. 40301–40311), it shall be (a) Acceptance of gifts:
NASA’s purpose to:
(1) In order to carry out the provi-
(1) Increase the understanding, as-
sions of the Act, the Administrator is
sessment, development, and utilization
authorized to accept conditional or un-
of space resources by promoting a
strong educational base, responsive re- conditional gifts or donations of serv-
search and training activities, and ices, money, or property; real, per-
broad and prompt dissemination of sonal, or mixed; tangible or intangible.
knowledge and techniques; This authority is delegated to the Di-
(2) Utilize the abilities and talents of rector, NASA Space Grant Program.
the universities of the Nation to sup- (2) The Administrator or designee
port and contribute to the exploration may decline any gift or donation that
and development of the resources and the Administrator determines is not in
opportunities afforded by the space en- accord with the purposes of the pro-
vironment; gram. Also, conditional gifts or dona-
(3) Encourage and support the exist- tions that are not in compliance with
ence of interdisciplinary and multi- the Act or the implementing regula-
disciplinary programs of space research tions shall be declined. NASA may use
to engage in activities of training (in- a reasonable amount from a gift or do-
cluding teacher education), research, nation to cover any administrative
and public service and to have coopera- costs associated with such gift or dona-
tive programs with industry; tion.
(4) Encourage and support the exist- (b) Acceptance and use of funds from
ence of consortia, composed of univer- other Federal agencies:
sity and industry members, to advance (1) To carry out the provisions of the
the exploration and development of
Act, the Administrator is authorized to
space resources in cases in which na-
accept and use funds from other Fed-
tional objectives can be better fulfilled
eral departments, agencies, and instru-
than through the programs of single
universities; mentalities to pay for awards under
(5) Encourage and support Federal this program. This authority is dele-
funding for graduate fellowships in gated to the Director, NASA Space
fields related to space; Grant Program.
(6) Support activities in colleges and (2) The Administrator or designee
universities generally for the purpose may decline any such funds when the
of creating and operating a network of Administrator determines acceptance
institutional programs that will en- would not be in accord with the pur-
hance achievements resulting from ef- poses of the program. NASA may use a
forts under this Act; and reasonable amount from transferred
(7) Encourage cooperation and co- Federal funds to cover any administra-
ordination among Federal agencies and tive costs associated with such trans-
Federal programs concerned with space fer.
issues.
(b) It shall be NASA’s policy to des-
FR 35440, July 31, 2017]
ignate Space Grant colleges, State
Space Grant cooperating institutions,
and Space Grant regional consortia and
award fellowships, grants, contracts,
229
§ 1259.200 14 CFR Ch. V (1–1–21 Edition)
Subpart 2—Space Grant Program appointed by the Director, NASA Space

and Project Awards Grant Program.
§ 1259.200 Description. FR 35441, July 31, 2017]
Awards are authorized to establish
any Space Grant and/or fellowship pro- § 1259.203 Limitations.
gram or project if such program or The Act at Public Law 100–147, Sec-
project will further the purposes of the tion 206(d)(2) and (3), states that:
Act. (a) Funds for awards made under this
section may not be used to:
§ 1259.201 Types of Space Grant pro- (1) Purchase land;
gram and project awards—regular
and special. (2) Purchase, construct, preserve or
repair any building; or
(a) A regular Space Grant program or (3) Purchase or construct any launch
project award shall: facility or launch vehicle.
(1) Be funded by NASA in an amount (b) However, funds may be used to
not to exceed 66 percent of the total lease any of the items listed in para-
cost of the Space Grant award and/or graph (a) of this section provided prior
fellowship program involved; or written approval is obtained from the
(2) Be funded in an amount not to ex- Administrator or designee.
ceed 100 percent of its cost if the
project award is funded by another [54 FR 19880, May 9, 1989, as amended at 82
Federal entity. FR 35441, July 31, 2017]
(b) A special Space Grant program or
project award may be funded in an Subpart 3—National Needs Grants
amount not to exceed 100 percent of the
total cost of the special project if the § 1259.300 Description.
Administrator or designee, the Direc- National needs awards may be award-
tor, NASA Space Grant Program, de- ed by the Administrator or designee,
termines that: Director, NASA Space Grant Program,
(1) No reasonable means is available to meet such needs or problems relat-
through which the applicant can meet ing to aerospace identified by the
the matching requirements for a reg- Space Grant Review Panel, by NASA
ular Space Grant award under para- officials, or by any person. NASA may
graph (a) of this section; fund such awards in an amount not to
(2) The probable benefit of such pro- exceed 100 percent of the total cost of
gram or project outweighs the public the program or project.
interest in such matching requirement;
and [82 FR 35441, July 31, 2017]
(3) The same or equivalent benefit
§ 1259.301 Identification of national
cannot be obtained through the award needs.
of a regular Space Grant program or
project award under paragraph (a) of National needs shall be identified by
this section or the award of a specific the Administrator who shall consider
national need grant under section 207 specific national needs and problems
of the Act. relating to space proposed by the Space
Grant Review Panel, any NASA official
or any person.
FR 35441, July 31, 2017]
§ 1259.302 Application procedures.
§ 1259.202 Application procedures.
(a) The opportunity to apply shall be (a) The Administrator or designee
announced by the Director, NASA has the authority to make awards to
Space Grant Program. meet identified national needs.
(b) The application procedures and (b) The Director, NASA Space Grant
evaluation guidelines for awards under Program shall establish a competitive,
this section will be included in the an- merit-based review process to examine
nouncements of such programs. unsolicited national needs proposals.
(c) The applications will be reviewed [54 FR 19880, May 9, 1989, as amended at 82
by a peer review merit selection panel FR 35441, July 31, 2017]
230
§ 1259.303 Limitations. (b) Establish a Space Grant Office;

The same limitations shall apply as (c) Administer a fellowship program;
(d) Develop and implement programs
are stated in § 1259.203.
of public service, interdisciplinary
space-related programs, advisory ac-
Subpart 4—Space Grant College tivities, and cooperation with industry,
and Consortium Designation research laboratories, state and local
governments, and other colleges and
§ 1259.400 Description. universities, particularly institutions
(a) The Administrator may designate in their state and/or region with sig-
Space Grant colleges, Space Grant col- nificantly large enrollments of minor-
lege consortia, and Space Grant re- ity students who are under-represented
gional consortia in order to establish in science and technology; and
Federal/university partnerships to pro- (e) Provide non-Federal matching
mote a strong educational base in the funds (exclusive of in-kind contribu-
space and aeronautical sciences. These tions) for the Space Grant program
designated colleges and consortia will equal to those provided by NASA.
provide leadership for a network of
American colleges and universities, in- FR 35441, July 31, 2017]
dustry, and state and local govern-
ments in space-related fields. The Ad- § 1259.402 Basic criteria and applica-
ministrator hereby delegates this au- tion procedures.
thority to the Director, NASA Space (a) Any institution of higher edu-
Grant Program. cation may be designated a Space
(b) Designation of Space Grant col- Grant college if the Administrator or
leges, Space Grant college consortia, designee, Director, NASA Space Grant
and Space Grant regional consortia Program, determines that it has a bal-
shall be for five years. Designation of anced program of research, education,
Space Grant colleges and consortia training, and advisory services in fields
may be continued for more than five related to space, as further defined in
years based on the results of a merit the program announcement.
review at the beginning of the fifth (b) Any association or other alliance
year. A claim arising in the United of two or more persons may be des-
States should be submitted to the Chief ignated a Space Grant regional consor-
Counsel of the NASA installation tium, if the Administrator or designee,
whose activities are believed to have Director, National Space Grant Pro-
given rise to the claimed injury, loss, gram, determines that such association
or death. If the identity of such instal- or alliance:
lation is not known, or if the claim (1) Is established for the purpose of
arose in a foreign country, the claim sharing expertise, research, edu-
should be submitted to the General cational or training facilities and other
Counsel, Headquarters, National Aero- capabilities in order to facilitate re-
nautics and Space Administration, search, education, training and advi-
Washington, DC 20546. sory services, in any field related to
(c) Each designated Space Grant col- space;
lege or consortium will receive: (2) Will encourage and follow a re-
(1) A Space Grant award that regional approach to solving problems or
quires a 100 percent match; and meeting needs relating to space, in co-
(2) Funds for fellowships. operation with other institutions of
(d) Each Space Grant college or con- higher education, Space Grant program
sortium will be funded annually. grantees and other persons in the re-
[54 FR 19880, May 9, 1989, as amended at 82 gion.
FR 35441, July 31, 2017] (c) The opportunity to apply for des-
ignation shall be announced by the Di-
§ 1259.401 Responsibilities. rector, NASA Space Grant Program.
Each designated Space Grant college The application procedures and evalua-
or consortium shall: tion guidelines for designation shall be
(a) Designate a Space Grant Program included in the designation announce-
Director; ment.
231
§ 1259.403 14 CFR Ch. V (1–1–21 Edition)
(d) Designation will be decided by a § 1259.502 Application procedures.

competitive merit review of the pro-
(a) All applicants for designation as
gram proposal measured against the
Space Grant colleges and consortia
purposes of the Act and including, but
not limited to, proposed linkages with shall apply for Space Grant fellow-
other colleges and universities (par- ships.
ticularly institutions with significant (b) Applicants for Space Grant pro-
enrollments of under-represented mi- gram or project grants (under § 1259.200)
nority groups), public service and col- and for national needs grants (under
laboration with space-related industry. § 1259.300) may also apply for Space
Grant fellowships.
[54 FR 19880, May 9, 1989, as amended at 82 (c) There shall be a merit review se-
FR 35441, July 31, 2017]
lection for Space Grant fellowship
§ 1259.403 Limitations. awards.
The same limitations shall apply as [54 FR 19880, May 9, 1989, as amended at 82
stated in § 1259.203. FR 35442, July 31, 2017]
[82 FR 35441, July 31, 2017] § 1259.503 Limitations.

(a) Fellowships shall be awarded only
§ 1259.404 Suspension or termination
of designation. to Nationals of the United States.
(b) Any students supported under this
The Administrator or designee, Di- fellowship program shall not be funded
rector, NASA Space Grant Program, for more than four years unless the Di-
may, for cause, after an opportunity rector, NASA Space Grant Program,
for a hearing before a Federal adminis- makes an exception in writing.
trative judge appointed by the Deputy
Administrator, suspend or terminate [54 FR 19880, May 9, 1989, as amended at 82
the Space Grant designation of any in- FR 35442, July 31, 2017]
stitution or consortium.
[82 FR 35441, July 31, 2017] Subpart 6—Space Grant Review
Panel
Subpart 5—Space Grant § 1259.600 Panel description.
Fellowships
An independent committee, the
§ 1259.500 Description. Space Grant Review Panel (Panel),
which is not subject to the Federal Ad-
The Space Grant fellowship program
visory Committee Act, shall be estab-
will provide educational and training
lished to advise the Administrator with
assistance to qualified individuals at
respect to Space Grant program and
the graduate level in fields related to
project awards, the Space Grant fellow-
space. Awards will be made to institu-
tions of higher education for fellowship program, and the designation and
ships. The student recipients shall be operation of Space Grant colleges and
referred to as NASA Space Grant Fel- consortia. A majority of the voting
lows. members shall be individuals who, by
reason of their knowledge, experience,
[82 FR 35442, July 31, 2017] or training, are especially qualified in
one or more of the fields related to
§ 1259.501 Responsibilities. space. The other voting members shall
(a) All institutions that receive be individuals who, by reason of their
Space Grant fellowships shall use the knowledge, experience, or training, are
awards to increase the pool of graduate especially qualified in, or representa-
students in fields related to space. tive of, education, extension services,
(b) The overall fellowship program state government, industry, economics,
shall be cognizant of the importance of planning, or any other activity related
achieving institutional and geo- to the purposes of the Space Grant pro-
graphical diversity. gram.
[82 FR 35442, July 31, 2017] [82 FR 35442, July 31, 2017]
232
§ 1259.601 Establishment and composi- § 1259.603 Responsibilities.

tion. (a) The Panel shall advise the Admin-
(a) The Panel, to be located at NASA istrator and designee, Director, NASA
Headquarters in Washington, DC, will Space Grant Program, with respect to:
be composed of ten (10) voting members (1) Applications or proposals for, and
who are not current NASA employees. performance under, awards made pur-
(b) The Panel shall include four rep- suant to sections 206 and 207 of Title II
resentatives from Federal depart- of the Act;
ments, agencies, or entities that have (2) The Space Grant fellowship pro-
an interest in space programs or gram;
science and education, as well as six (3) The designation and operation of
representatives from non-Federal enti- Space Grant colleges and Space Grant
ties. regional consortia, and the operation
(c) The non-Federal representatives of Space Grant and fellowship pro-
shall include two persons who are di- grams;
rectly involved with the Space Grant (4) The formulation and application
program at a Space Grant college or of the planning guidelines and prior-
consortium, one person who is involved ities pursuant to section 205 (a) and
with the Space Grant program at a uni- (b)(1) of Title II of the Act; and
versity that is not a designated Space (5) Such other matters as the Admin-
Grant college, a university president or istrator refers to the Panel for review
chancellor, one representative from a and advice.
space-related industry, and the last (b) The Panel shall meet biannually
person to be from whatever field the and at any other time at the call of the
Administrator determines to be of Chair or upon a request from a major-
greatest concern. ity of the voting members or at the
call of the Administrator.
(d) The Panel members shall be ap-
(c) The Panel may exercise such pow-
pointed by the Administrator or des-
ers as reasonably necessary in order to
ignee.
carry out the duties enumerated in
(e) The relevant organizations and paragraph (a) of this section.
associations in aerospace and science (d) The Director, NASA Space Grant
education fields will be asked to pro- Program, shall appoint an Executive
vide three names for each position on Secretary who shall perform adminis-
the panel. The Administrator shall trative duties for the Panel.
consider them, but not be limited to (e) Federal members of the Panel will
them, in the selection process. have their agencies reimbursed by
(f) The Administrator or designee, NASA for any travel costs and per
Director, NASA Space Grant Program, diem expenses required to attend Panel
shall select a Chair and a Vice Chair meetings.
for the Panel. The Vice Chair shall act (f) Nonfederal members of the Panel
as Chair in the absence or incapacity of will be reimbursed by NASA for travel
the Chair. costs and per diem expenses required to
(g) The Administrator or designee, attend Panel meetings.
Director, NASA Space Grant Program,
may select NASA officials to serve as [54 FR 19880, May 9, 1989, as amended at 82
FR 35442, July 31, 2017]
ex officio, non-voting members of the
Panel.
PART 1260 [RESERVED]
FR 35442, July 31, 2017]
PART 1261—PROCESSING OF
§ 1259.602 Conflict of interest. MONETARY CLAIMS (GENERAL)
Any member of the Panel who has a Subpart 1261.1—Employees’ Personal
personal or financial interest in an Property Claims
issue for consideration before the Panel
shall abstain from all discussion and Sec.
voting on such issue. 1261.100 Scope of subpart.
1261.101 Claimants.
[82 FR 35442, July 31, 2017] 1261.102 Maximum amount.
233
§ 1261.100 14 CFR Ch. V (1–1–21 Edition)
1261.103 Time limitations. 1261.413 Analysis of costs; automation; pre-
1261.104 Allowable claims. vention of overpayments, delinquencies,
1261.105 Unallowable claims. or defaults.
1261.106 Submission of claims. 1261.414 Compromise of claims.
1261.107 Evidence in support of claim. 1261.415 Execution of releases.
1261.108 Recovery from carriers, insurers, 1261.416 Suspending or terminating collec-
and other third parties. tion action.
1261.109 Computation of allowance. 1261.417 Referral to Department of Justice
1261.110 Settlement of claims. or Government Accountability Office.
1261.418 Transfer of debts to Treasury for
Subpart 1261.2 [Reserved] collection.
Subpart 1261.3—Claims Against NASA or
Subpart 1261.5—Administrative Offset of
Its Employees for Damage to or Loss of
Claims
Property or Personal Injury or Death—
Accruing On or After January 18, 1967 1261.500 Scope of subpart.
1261.501 Definition.
1261.300 Scope of subpart.
1261.502 Notification procedures.
1261.301 Authority.
1261.503 Agency records inspection; hearing
1261.302 Claim.
1261.303 Claimant. or review.
1261.304 Place of filing claim. 1261.504 Interagency requests.
1261.305 Form of claim. 1261.505 Multiple debts.
1261.306 Evidence and information required. 1261.506 Limitation periods.
1261.307 Time limitations. 1261.507 Civil Service Retirement and Dis-
1261.308 NASA officials authorized to act ability Fund.
upon claims. 1261.508 Offset against a judgment.
1261.309 Action under the Federal Tort
Claims Act. Subpart 1261.6—Collection by Offset From
1261.310 Investigation of claims. Indebted Government Employees
1261.311 Claims requiring Department of
Justice approval or consultation. 1261.600 Purpose of subpart.
1261.312 Action on approved claims. 1261.601 Scope of subpart.
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 1261.4—Collection of Civil Claims
of the United States Arising Out of the AUTHORITY: Subparts 1261.4, 1261.5, and
Activities of the National Aeronautics 1261.6 issued under 51 U.S.C. 20113; 31 U.S.C.
3711 et seq.; 5 U.S.C. 5514; 31 CFR parts 900
and Space Administration (NASA)
through 904; 5 CFR part 550, subpart K,
1261.400 Scope of subpart. §§ 550.1101 through 550.1107.
1261.401 Definitions. SOURCE: 45 FR 48104, July 18, 1980, unless
1261.402 Delegation of authority. otherwise noted.
1261.403 Consultation with appropriate offi-
cials; negotiation.
1261.404 Services of the Inspector General. Subpart 1261.1—Employees’
1261.405 Subdivision of claims not author- Personal Property Claims
ized; other administrative proceedings.
1261.406 Aggressive collection action; docu-
mentation. AUTHORITY: 31 U.S.C. 2371, et seq.
1261.407 Demand for payment; limitation pe-
riods. § 1261.100 Scope of subpart.
1261.408 Use of consumer reporting agency. This subpart prescribes regulations
1261.409 Contracting for collection services.
governing the settlement of claims
1261.410 Suspension or revocation of license
or eligibility; liquidation of collateral. against the National Aeronautics and
1261.411 Collection in installments. Space Administration (NASA) for dam-
1261.412 Interest, penalties, and administra- age to, or loss of, personal property in-
tive costs. cident to service with NASA.
234
§ 1261.101 Claimants. in 2 years after it accrues, and if good

(a) A claim for damage to, or loss of, cause is shown, the claim may be pre-
personal property incident to service sented not later than 2 years after that
with NASA may be made only by: cause ceases to exist, or 2 years after
(1) An officer or employee of the Na- the war or armed conflict is termi-
tional Aeronautics and Space Adminis- nated, whichever is earlier. The dates
tration; of beginning and ending of such an
(2) A member of the uniformed serv- armed conflict are the dates estab-
ices (Army, Navy, Air Force, Marine lished by concurrent resolution of the
Corps, Coast Guard, Coast and Geodetic Congress or by a determination of the
Survey and Public Health Service) as- President.
signed to duty with or under the juris-
diction of NASA; § 1261.104 Allowable claims.
(3) The authorized agent or legal rep- (a) A claim may be allowed only if:
resentative of a person named in para- (1) The damage or loss was not
graph (a)(1) or (2) of this section; or
caused wholly or partly by the neg-
(4) The survivors of a person named
ligent or wrongful act of the claimant,
in paragraph (a)(1) or (2) of this section
in the following order of precedence: the claimant’s agent, private em-
Spouse; children, father or mother, or ployee, or family member (the stand-
both; or brothers or sisters, or both. ard to be applied is that of reasonable
Claims by survivors may be allowed care under the circumstances);
whether arising before, concurrently (2) The possession of the property
with, or after the decedent’s death, if lost or damaged and the quantity is de-
otherwise covered by this subpart. termined to have been reasonable, use-
(b) Employees of contractors with ful, or proper under the circumstances;
the United States and employees of and
nonappropriated fund activities are not (3) The claim is substantiated by
included within the meaning of para- proper and convincing evidence.
graph (a)(1) or (2) of this section. (b) Claims which are otherwise allow-
(c) Claims may not be made by or for able under this subpart shall not be
the benefit of a subrogee, assignee, con- disallowed solely because the property
ditional vendor, or other third party. was not in the possession of the claim-
§ 1261.102 Maximum amount. ant at the time of the damage or loss,
or solely because the claimant was not
From October 1, 1982, to October 30, the legal owner of the property for
1988, the maximum amount that may which the claim is made. For example,
be paid under the Military Personnel
borrowed property may be the subject
and Civilian Employees’ Claim Act of
of a claim.
1964, as amended (31 U.S.C. 3721) is
$25,000, and on or after October 31, 1988, (c) Subject to the conditions in para-
the maximum amount is $40,000 (Pub. graph (a) of this section and the other
L. 100–565, 102 Stat. 2833, October 31, provisions of this subpart, any claim
1988). for damage to, or loss of, personal prop-
erty incident to service with NASA
[54 FR 35456, Aug. 28, 1989]
may be considered and allowed. The
§ 1261.103 Time limitations. following are examples of the principal
types of claims which may be allowed,
(a) A claim may be allowed only if but these examples are not exclusive
the claim is presented in writing with-
and other types of claims may be al-
in 2 years after it accrues. For the pur-
lowed, unless excluded by § 1261.105.
poses of this subpart, a claim accrues
at the time of the accident or incident (1) Property loss or damage in quarters
causing the loss or damage, or at such or other authorized places. Claims may
time as the loss or damage is or should be allowed for damage to, or loss of,
have been discovered by the claimant property arising from fire, flood, hurri-
through the exercise of due diligence. cane, other natural disaster, theft, or
(b) If a claim accrues in time of war other unusual occurrence, while such
or if an armed conflict intervenes with- property is located at:
235
§ 1261.105 14 CFR Ch. V (1–1–21 Edition)
(i) Quarters within the 50 States or worn on the person, such as eyeglasses,
the District of Columbia that were as- hearing aids or dentures.
signed to the claimant or provided by
the United States; § 1261.105 Unallowable claims.
(ii) Quarters outside the 50 States Claims are not allowable for the fol-
and the District of Columbia that were lowing:
occupied by the claimant, whether or (a) Unassigned quarters in United
not they were assigned or provided by States. Claims may not be allowed for
the United States, except when the property loss or damage in quarters oc-
claimant is a civilian employee who is cupied by the claimant within the 50
a local inhabitant; or States or the District of Columbia that
(iii) Any warehouse, office working were not assigned to claimant or pro-
area, hospital, or other place author- vided in kind by the United States.
ized or apparently authorized for the
(b) Money or currency. Claims may
reception or storage of property.
not be allowed for loss of money or cur-
(2) Transportation or travel losses.
rency, except when lost incident to
Claims may be allowed for damage to,
fire, flood, hurricane, other natural dis-
or loss of, property incident to trans-
aster, or by theft from quarters (as
portation or storage pursuant to or-
limited by paragraph (a)). Reimburse-
ders, or in connection with travel
ment for loss of money or currency is
under orders, including property in the
limited to an amount which is deter-
custody of a carrier, an agent or agen-
mined reasonable to have been in the
cy of the Government, or the claimant.
claimant’s possession at the time of
(3) House trailers. Claims may be al-
the loss.
lowed for damage to, or loss of, house
(c) Government property. Claims may
trailers and their contents under the
not be allowed for property owned by
provisions of paragraph (c)(2) of this
the United States, except that for
section.
which the claimant is financially re-
(4) Negligence of the Government.
sponsible to any agency of the Govern-
Claims may be allowed for damage to,
ment other than NASA.
or loss of, property caused by the neg-
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.
(6) Property used for benefit of the Gov- (g) Illegal possession. Claims may not
ernment. Claims may be allowed for be allowed for property acquired, pos-
damage to, or loss of, property when sessed, or transported in violation of
used for the benefit of the Government law or in violation of applicable regula-
at the request of, or with the knowl- tions or directives.
edge and consent of, an authorized offi- (h) Estimate fees. Claims may not in-
cial. clude fees paid to obtain estimates or
(7) Clothing and accessories. Claims repair, except when it is clear that an
may be allowed for damage to, or loss estimate could not have been obtained
of, clothing or accessories customarily without paying a fee.
236
(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, ‘‘Employee’s 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 claimant’s 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
(b) Specific classes of claims. Claims of the Administrator or designee. If the
the following types shall also be ac- carrier, insurer, or other third party
companied with specific and detailed offers a settlement which is less than
evidence as indicated: the amount of the demand, the claim-
(1) Theft, burglary, etc. A statement ant shall consult with the Adminis-
describing in detail the location where trator or designee before accepting the
the loss occurred and the facts and cir- amount offered. The claimant shall
cumstances surrounding the loss, in- also notify the Administrator or des-
cluding supporting documentation, ignee promptly of any other action by
e.g., a police report. a third party, including settlement,
237
§ 1261.109 14 CFR Ch. V (1–1–21 Edition)
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 claimant’s 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
any claim he/she may have against any (a) Settlement officials. (1) Claims in
carrier, insurer, or other party arising the amount of $5,000 or more will be
out of the accident or incident on acted upon by the General Counsel.
which the claim against the United Claims less than $5,000 will be acted
States is based. The claimant shall upon by the Chief Counsel of the NASA
also, upon request, furnish such evi- Field Installation where the employee
dence and other cooperation as may be was assigned at the time of the loss or
required to enable the United States to damage or the Assistant General Coun-
enforce the claim. After payment on sel for Litigation for NASA Head-
the claim by the United States, the quarters claims.
claimant shall, upon receipt of any (2) Claims arising for $5,000 or more
payment from a carrier, insurer, or shall be investigated by the Chief
other party, notify the Administrator Counsel or Assistant General Counsel
or designee and pay the proceeds to the for Litigation, as appropriate, and a re-
United States to the extent required port and recommendation thereon shall
under the provisions of paragraph (d). be forwarded to the General Counsel.
(b) Action by settlement official. (1) For
§ 1261.109 Computation of allowance. each claim, the settlement official
(a) The amount allowed for damage shall complete a report in duplicate on
to or loss of any item of property may NASA Form 1204 and retain a claim file
not exceed the cost of the item (either consisting of the original claim, the re-
the price paid in cash or property, or port, and any other relevant evidence
the value at the time of acquisition if or documents.
not acquired by purchase or exchange). (2) When a claim is allowed in an
There will be no allowance for replace- amount acceptable to the claimant, the
ment cost or for appreciation in the settlement official shall prepare a
value of the property. Subject to these ‘‘Voucher for Payment of Employees’
limitations, the amount allowable is Personal Property Claims’’ (NASA
either: Form 1220), have it properly executed
(1) The depreciated value, imme- by the claimant, and forward it with a
diately prior to the loss or damage of copy of the approved claim (NASA
property lost or damaged beyond eco- Form 1204) to the appropriate NASA
nomical repair, less any salvage value; fiscal or financial management office
or for payment.
(2) The reasonable cost of repairs, (3) When a claim is disallowed or is
when property is economically repair- partially allowed in an amount unac-
able: Provided, That the cost of repairs ceptable to the claimant, the settle-
does not exceed the amount allowable ment official shall notify the claimant
under paragraph (a)(1) of this section. in writing of the action taken and the
(b) Depreciation in value is deter- reasons therefor. If not satisfied with
mined by considering the type of arti- the action taken, the claimant may,
238
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 51 U.S.C. 20113(m)(1), NASA
Subpart 1261.2 [Reserved] is authorized to consider, ascertain, ad-
just, determine, settle, and pay, on be-
Subpart 1261.3—Claims Against half of the United States, in full satis-
NASA or Its Employees for faction thereof, any claim for $25,000 or
Damage to or Loss of Property less against the United States for bod-
or Personal Injury or Death— ily injury, death, or damage to or loss
Accruing On or After January of real or personal property resulting
18, 1967 from the conduct of NASA’s functions
as specified in 51 U.S.C. 20112. At the
discretion of NASA, a claim may be
AUTHORITY: 28 U.S.C. 2671–2680, 51 U.S.C.
20113(m), and 28 CFR part 14.
settled and paid under this authority
even though the United States could
§ 1261.300 Scope of subpart. not be held legally liable to the claim-
ant.
This subpart sets forth the proce-
dures for: (c) Under 51 U.S.C. 20113(m)(2), if
(a) The submission of, and action by NASA considers that a claim in excess
NASA upon, claims against the United of $25,000 is meritorious and would oth-
States arising out of the activities of erwise be covered by 51 U.S.C.
NASA for damage to or loss of property 20113(m)(1), NASA may report the facts
or personal injury or death, and des- and circumstances of the claim to the
ignates the NASA officials authorized Congress for its consideration or to the
to act upon such claims. Comptroller General as provided in the
(b) The handling of lawsuits against ‘‘Supplemental Appropriations Act,
NASA employee(s) for damage to or 1978,’’ Public Law 95–240 (92 Stat. 107),
loss of property or personal injury or 31 U.S.C. 724a.
death resulting from a NASA employ- (d) Under 28 U.S.C. 2679, the Attorney
ee’s activities within the scope of his/ General of the United States shall de-
her office or employment. fend any civil action or proceeding
brought in any court against a Govern-
§ 1261.301 Authority. ment employee for injury or loss of
(a) Under the provisions of the Fed- property or personal injury or death,
eral Tort Claims Act, as amended (see resulting from the operation of a motor
28 U.S.C. 2671–2680), and subject to its vehicle by the Government employee
limitations, the Administrator or des- while acting within the scope of office
ignee is authorized to consider, ascer- or employment. In effect, this legisla-
tain, adjust, determine, compromise, tion is designed to protect an employee
and settle any claim for money dam- driving a motor vehicle on Government
ages against the United States for in- business by converting such a civil
jury or loss of property or personal in- court action or proceeding against the
jury or death caused by the negligent employee into a claim against the
or wrongful act or omission of any United States: Provided, That the em-
NASA employee while acting within ployee was acting within the scope of
the scope of his/her office or employ- employment at the time of the acci-
ment, under circumstances where the dent. The remedy against the United
239
§ 1261.302 14 CFR Ch. V (1–1–21 Edition)
States provided by 28 U.S.C. 2672 (ad- to the claimed injury, loss, or death. If
ministrative adjustment of claims) and the identity of such installation is not
28 U.S.C. 1346(b) (civil action against known, or if the claim arose in a for-
the United States) then becomes the eign country, the claim should be sub-
plaintiff’s exclusive remedy. mitted to the General Counsel, Head-
quarters, National Aeronautics and
FR 29383, June 29, 2017] Space Administration, Washington, DC
20546.
§ 1261.302 Claim. [82 FR 29383, June 29, 2017]
Unless the context otherwise re-
quires, claim means a claim for money § 1261.305 Form of claim.
damages against the United States (a) The official designated in § 1261.308
arising out of the activities of NASA, shall, prior to acting on a claim, re-
for injury or loss of property, or per- quire the claimant to submit a com-
sonal injury or death. A claim ‘‘arises’’ pleted Standard Form 95—‘‘Claim for
at the place where the injury, loss, or Damage, Injury or Death.’’
death occurs. (b) NASA installations will furnish
copies of Standard Form 95 upon re-
§ 1261.303 Claimant. quest.
(a) A claim for damage to or loss of
property may be presented by the § 1261.306 Evidence and information
owner of the property, duly authorized required.
agent or legal representative. (a) The circumstances alleged to
(b) A claim for personal injury may have given rise to the claim, and the
be presented by the injured person, amount claimed, should, so far as pos-
duly authorized agent, or legal rep- sible, be substantiated by competent
resentative. evidence. Supporting statements, esti-
(c) A claim based on death may be mates, and the like should, if possible,
presented by the executor(rix) or ad- be obtained from disinterested parties.
ministrator(rix) of the decedent’s es- For specific guidance as to Federal
tate, or by any other person legally en- Tort Claims Act claims, see Depart-
titled to assert such a claim in accord- ment of Justice regulations on ‘‘Ad-
ance with applicable State law. ministrative Claims under Federal
(d) A claim for loss wholly com- Tort Claims Act’’ at 28 CFR part 14.
pensated by an insurer with the rights (b) In addition to the evidence and in-
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 agent’s or legal rep- dent.)
resentative’s 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.
(rix), parent, guardian, or other rep-
resentative. § 1261.307 Time limitations.
(a) A claim may not be acted upon
§ 1261.304 Place of filing claim. pursuant to the Federal Tort Claims
A claim arising in the United States Act unless it is presented to NASA
should be submitted to the Chief Coun- within 2 years after it accrued.
sel of the NASA installation whose ac- (b) A claim may not be acted upon
tivities are believed to have given rise pursuant to 51 U.S.C. 20113(m)(1) or (2)
240
unless it is presented to NASA within sions of the Federal Tort Claims Act as
two years after the occurrence of the may be applicable (e.g., 28 U.S.C. 2680),
accident or incident out of which the and regulations prescribed by the At-
claim arose. torney General which appear at 28 CFR
(c) A claim shall be deemed to have part 14.
been presented to NASA when NASA
receives from a claimant or duly au- § 1261.310 Investigation of claims.
thorized agent or legal representative The officials designated in § 1261.308
an executed Standard Form 95 or other shall conduct such investigation of a
written notification of an incident or claim as deemed appropriate. The offi-
accident, accompanied by a claim in a cials may request any NASA office or
sum certain. other Federal agency to assist in the
[45 FR 48104, July 18, 1980, as amended at 82 investigation.
FR 29384, June 29, 2017]
§ 1261.311 Claims requiring Depart-
§ 1261.308 NASA officials authorized to ment of Justice approval or con-
act upon claims. sultation.
(a) Claims in the amount of $10,000 or (a) When in the opinion of the NASA
more will be acted upon as directed by official designated in § 1261.308, Depart-
the General Counsel; ment of Justice approval or consulta-
(b) Claims less than $10,000 will be tion may be required, pursuant to 28
acted upon by the Chief Counsel of the CFR part 14, in connection with a
NASA Field Installation where the em- claim being acted upon under the Fed-
ployee was assigned at the time of the eral Tort Claims Act, the following pa-
loss or damage or the Assistant Gen- pers shall be forwarded to the General
eral Counsel for Litigation for NASA Counsel:
Headquarters claims.
(1) A short and concise statement of
(c) Claims of $10,000 or more, pursu-
the facts of the claim.
ant either to the Federal Tort Claims
Act, or 51 U.S.C. 20113(m), shall be (2) Copies of all relevant portions of
acted upon only with the prior ap- the claim file.
proval of the General Counsel. Such (3) A statement of the recommenda-
claims shall be forwarded to the Gen- tions or views of the forwarding offi-
eral Counsel for approval, if the Chief cial.
Counsel or the Associate General Coun- (b) A claim forwarded to the General
sel for General Law is of the opinion Counsel in accordance with paragraph
that the claim may be meritorious and (a) of this section, or upon which the
otherwise suitable for settlement under General Counsel is acting pursuant to
any authority. A claim so forwarded § 1261.308(c), shall be referred to the De-
should be accompanied by a report of partment of Justice when, in the opin-
the facts of the claim, based upon such ion of the General Counsel, Depart-
investigation as may be appropriate, ment of Justice approval or consulta-
and a recommendation as to the action tion is required or may be appropriate.
to be taken.
(d) Claims acted upon by NASA offi- § 1261.312 Action on approved claims.
cials pursuant to this section shall be (a) Upon settlement of a claim, the
acted upon pursuant to the Federal official designated in § 1261.308 will pre-
Tort Claims Act, or 51 U.S.C. pare and have executed by the claim-
20113(m)(1) or (2), as the NASA official ant a Voucher for Payment of Tort
deems appropriate. Claims (NASA Form 616) if the claim
[45 FR 48104, July 18, 1980, as amended at 82 has been acted upon pursuant to 51
FR 29384, June 29, 2017] U.S.C. 20113(m), or a Voucher for Pay-
ment under Federal Tort Claims Act
§ 1261.309 Action under the Federal (Standard Form 1145) if the claim has
Tort Claims Act. been acted upon pursuant to the Fed-
Where a claim is to be acted upon eral Tort Claims Act. The form will
pursuant to the Federal Tort Claims then be referred to the cognizant NASA
Act, action shall be taken in accord- installation fiscal or financial manage-
ance with 28 U.S.C. 2672, other provi- ment office for appropriate action.
241
§ 1261.313 14 CFR Ch. V (1–1–21 Edition)
(b) When a claimant is represented by process and pleadings or an attested

an attorney, both the claimant and at- true copy thereof, together with a fully
torney will be designated as ‘‘payees’’ detailed report of the circumstances of
on the voucher, and the check will be the accident giving rise to the court
delivered to the attorney whose ad- action or proceeding, to the following
dress shall appear on the voucher. officials:
(c) Acceptance by the claimant, (1) The Assistant General Counsel for
agent, or legal representative, of any Litigation insofar as actions or pro-
award, compromise, or settlement ceedings against employees of NASA
made pursuant to this subpart shall be Headquarters are concerned; or
final and conclusive on the claimant, (2) The Chief Counsel of the NASA In-
agent or legal representative and any stallation at which the employee is
other person on whose behalf or for employed, insofar as actions against
whose benefit the claim has been pre- other than NASA Headquarters em-
sented, and shall constitute a complete ployees are concerned.
release of any claim against the United (b) Upon receipt of such process and
States and against any employee of the pleadings, the Associate General Coun-
Government whose act or omission sel for General Law or the Chief Coun-
gave rise to the claim, by reason of the sel of the NASA installation receiving
same subject matter. the same shall furnish to the U.S. At-
[45 FR 48104, July 18, 1980, as amended at 82 torney for the district embracing the
FR 29384, June 29, 2017] place 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 NASA’s 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 Associate General Counsel for
§ 1261.314 [Reserved] General Law or a Chief Counsel acting
pursuant to paragraph (b) of this sec-
§ 1261.315 Procedures for the handling
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-
ments on behalf of the Administrator:
The following procedures shall be fol-
(1) Copies of all process and pleadings
lowed in the event that a civil action
submitted to a U.S. Attorney in ac-
or proceeding is brought, in any court,
cordance with paragraph (b).
against any employee of NASA (or
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 employee’s $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.
tor(rix) or administrator(rix) of the es- [45 FR 48104, July 18, 1980, as amended at 82
tate) shall immediately deliver all such FR 29384, June 29, 2017]
242
§ 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 employee’s 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 NASA, other than attor-
against that employee. The employee
shall submit a written request, with neys responsible for representation of
appropriate documentation including the employee, unless such disclosure is
copies of the verdict, judgment, appeal authorized by the employee. Such ad-
bond, award, or settlement proposal to verse information shall continue to be
the General Counsel, who shall make a fully protected whether or not rep-
recommended disposition of the re- resentation is provided and even
quest. Where appropriate, the agency though representation may be denied
shall seek the views of the Department or discontinued.
of Justice. The General Counsel shall [53 FR 27483, July 21, 1988, as amended at 82
forward the request, the accompanying FR 29384, June 29, 2017]
documentation, and the General Coun-
sel’s recommendation to the Adminis-
trator for decision.
243
§ 1261.400 14 CFR Ch. V (1–1–21 Edition)
Subpart 1261.4—Collection of Civil tractual agreement, unless other ac-

Claims of the United States ceptable (to NASA) payment arrange-
Arising Out of the Activities of ments have been made by that date, or
the National Aeronautics and if, at any time thereafter, the debtor
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
otherwise noted.
through the NASA installation’s legal
counsel to the Department of Justice
§ 1261.400 Scope of subpart. (Main Justice or the United States At-
(a) These regulations do the fol- torney, as appropriate) for legal pro-
lowing: ceedings.
(1) Prescribe standards for the admin-
§ 1261.402 Delegation of authority.
istrative collection, compromise, sus-
pension or termination of collection, The following NASA officials are del-
and referral to the General Accounting egated authority, as qualified by
Office (GAO), and/or to the Department § 1261.403, to take such action as is au-
of Justice (DJ) for litigation, of civil thorized by these regulations to col-
claims as defined by 31 U.S.C. 3701(b), lect, compromise, suspend/terminate
arising out of the activities of NASA; collection, and upon consultation with
(2) Designate the responsible NASA and through legal counsel, to refer the
officials authorized to effect actions claim (as applicable) to the GAO or De-
hereunder; and partment of Justice:
(3) Require compliance with the GAO/ (a) For field installations, with re-
DJ joint regulations at 4 CFR parts 101 gard to subpart 1261.4 and subpart
through 105 and the Office of Personnel
1261.5: The Director of the Installation
Management (OPM) regulations at 5
or a designee who reports directly to
CFR part 550, subpart K.
(b) Failure to comply with any provi- the Installation Director. A copy of
sion of the GAO/DJ or OPM regulations such designation, if any, shall be sent
shall not be available as a defense to to the Director, Financial Management
any debtor (4 CFR 101.8). Division, NASA Headquarters.
(c) These regulations do not include (b) For Headquarters, with regard to
any claim based in whole or in part on subpart 1261.4 and subpart 1261.5: The
violation of the anti-trust laws; any Associate Administrator for Mission
claim as to which there is an indica- Support or a designee who reports di-
tion of fraud, the presentation of a rectly to the Associate Administrator
false claim, or misrepresentation on for Mission Support. A copy of such
the part of the debtor or any party hav- designation, if any, shall be sent to the
ing an interest in the claim; tax Director, Financial Management Divi-
claims; or Federal interagency claims sion, NASA Headquarters.
(4 CFR 101.3). (c) With respect to the analysis re-
quired by § 1261.413: The NASA Chief Fi-
nancial Officer or designee.
(a) Claim and debt. The terms denote (d) NASA-wide, with regard to sub-
a civil claim arising from the activities part 1261.6: The NASA Chief Financial
of NASA for an amount of money, or Officer or designee.
return or value of property (see 4 CFR
(e) NASA-wide, for complying with
101.5), owing to the United States from
pertinent provisions under these regu-
any person, organization, or entity, ex-
lations for agency hearing or review
cept another Federal agency. The
words claim and debt have been used (see §§ 1261.408(b), 1261.503, and
interchangeably and are considered 1261.603(c)): The NASA General Counsel
synonymous. or designee.
(b) Delinquent debt. The debt is delin- [45 FR 48104, July 18, 1980, as amended at 82
quent if it has not been paid by the date FR 29384, June 29, 2017]
specified in the initial written notifica-
tion (e.g., § 1261.407) or applicable con-
244
§ 1261.403 Consultation with appro- § 1261.404 Services of the Inspector

priate officials; negotiation. General.
(a) The authority pursuant to (a) At the request of an official des-
§ 1261.402 to determine to forgo collec- ignated in or pursuant to § 1261.402, the
tion of interest, to accept payment of a Office of the Inspector General will,
claim in installments, or, as to claims where practicable, conduct such inves-
which do not exceed $100,000, exclusive tigations as may assist in the collec-
of interest and related charges, to com- tion, compromise, or referral of claims
promise a claim or to refrain from of the United States, including inves-
doing so, or to refrain from, suspend, or tigations to determine the location and
terminate collection action, shall be financial resources of the debtors.
exercised only after consultation with (b) Any claim which, in the opinion
legal counsel for the particular instal- of an official designated in or pursuant
lation and the following NASA officials to § 1261.402 or § 1261.403, may indicate
or designees, who may also be re- fraud, presentation of a false claim, or
quested to negotiate the appropriate misrepresentation, on the part of the
agreements or arrangements with the
debtor or any other party having an in-
debtor:
terest in the claim, shall be referred by
(1) With respect to claims against
the designated official to the Inspector
contractors or grantees arising in con-
General (IG), NASA Headquarters, or
nection with contracts or grants—the
to the nearest office of the NASA IG.
contracting officer and the financial
After an investigation as may be ap-
management officer of the installation
propriate, the IG shall:
concerned.
(2) With respect to claims against (1) Notice the official, from whom the
commercial carriers for loss of or dam- claim was received, of the findings and
age to NASA freight shipment—the refer the claim to the Department of
cognizant transportation officers or Justice in accordance with the provi-
the official who determined the sions of 4 CFR 101.3; or
amount of the claim, as appropriate, (2) If it were found that there is no
and the financial management officers such indication of fraud, the presen-
of the installation concerned. tation of a false claim, or misrepresen-
(3) With respect to claims against tation, return the claim to the official
employees of NASA incident to their from whom it was received.
employment—the personnel officer and
the financial management officer of § 1261.405 Subdivision of claims not
authorized; other administrative
the installation concerned. proceedings.
(b) The appropriate counsel’s office
shall review and concur in the fol- (a) Subdivision of claims. Claims may
lowing: not be subdivided to avoid the $100,000
(1) All communications to and agree- ceiling, exclusive of interest, penalties,
ments with debtors relating to claims and administrative costs, for purposes
collection. of compromise (§ 1261.414) or suspension
(2) All determinations to compromise or termination of collection (§ 1261.416).
a claim, or to suspend or terminate col- The debtor’s liability arising from a
lection action. particular transaction or contract
(3) All referrals of claims, other than shall be considered a single claim (31
referrals to the Department of Justice CFR 900.6).
pursuant to § 1261.404(b)(1). (b) Required administrative pro-
(4) All documents releasing debtors ceedings. Nothing contained in these
from liability to the United States. regulations is intended to require
(5) All other actions relating to the NASA to omit, foreclose, or duplicate
collection of a claim which in the opin- administrative proceedings required by
ion of the official designated in or pur- contract or other applicable laws and
suant to § 1261.402 may affect the rights implementing regulations (4 CFR
of the United States. 101.7).
[45 FR 48104, July 18, 1980, as amended at 82 [45 FR 48104, July 18, 1980, as amended at 82
FR 29384, June 29, 2017] FR 29384, June 29, 2017]
245
§ 1261.406 14 CFR Ch. V (1–1–21 Edition)
§ 1261.406 Aggressive collection action; the initial demand letter was mailed or
documentation. hand delivered. The responsible official
(a) NASA shall take aggressive ac- should exercise care to ensure that de-
tion, on a timely basis with effective mand letters are mailed or hand deliv-
followup, to collect all claims of the ered on the same day that they are ac-
United States for money or property tually dated. Apart from these require-
arising out of NASA activities, and to ments, there is no prescribed format
cooperate with the other Federal agen- for demand letters. However, as appro-
cies in debt collection activities. priate to the circumstances, the re-
(b) All administrative collection ac- sponsible official may consider includ-
tion shall be documented and the bases ing, either in the initial demand letter
for compromise, or for termination or or in subsequent letters, such items the
suspension of collection action, should NASA’s 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. (4) The name, address, and phone
number of a contact person or office
§ 1261.407 Demand for payment; limi- within the Agency.
tation periods. (c) NASA should respond promptly to
(a) Appropriate written demands communications from the debtor, with-
shall be made promptly upon a debtor in 30 days whenever feasible, and
of the United States in terms which in- should advise debtors who dispute the
form the debtor of the consequences of debt to furnish available evidence to
failure to cooperate. A total of three support their contentions.
progressively stronger written de- (d) If either prior to the initiation of,
mands at not more than 30-day inter- any time during, or after completion of
vals will normally be made unless a re- the demand cycle, a determination to
sponse to the first or second demand pursue offset is made, then the proce-
indicates that a further demand would dures specified in subparts 1261.5 and
be futile and the debtor’s response does 1261.6, as applicable, should be fol-
not require rebuttal. In determining lowed. The availability of funds for off-
the timing of demand letters, NASA set and NASA’s determination to pur-
will give due regard to the need to act sue it release the agency from the ne-
promptly so that, as a general rule, if cessity of further compliance with
necessary to refer the debt to the De- paragraphs (a), (b), and (c) of this sec-
partment of Justice for litigation, such tion. If the agency has not already sent
referral can be made within one year of the first demand letter, the agency’s
the agency’s final determination of the written notification of its intent to off-
fact and the amount of the debt. When set must give the debtor the oppor-
necessary to protect the Government’s tunity to make voluntary payment, a
interests (for example, to prevent the requirement which will be satisfied by
statute of limitations, 28 U.S.C. 2415, compliance with the notice require-
from expiring), written demand may be ments of § 1261.502 or § 1261.603(a), as ap-
preceded by other appropriate actions, plicable.
including immediate referral for litiga- (e) NASA should undertake personal
tion. interviews with its debtors whenever
(b) The initial demand letter should this is feasible, having regard for the
inform the debtor of: amounts involved and the proximity of
(1) The basis for the indebtedness and agency representatives to such debtors;
whatever rights the debtor may have and may attempt to effect compromise
to seek review within the agency; of the claim in accordance with
(2) The applicable standards for as- § 1261.414.
sessing interest, penalties, and admin- (f) When a debtor is employed by the
istrative costs (§ 1261.412); and Federal government or is a member of
(3) The date by which payment is to the military establishment or the
be made, which normally should be not Coast Guard, and collection by offset
more than 30 days from the date that cannot be accomplished in accordance
246
with subpart 1261.6, the employing NASA intends to disclose to a con-

agency will be contacted for the pur- sumer reporting agency the specific in-
pose of arranging with the debtor for formation to be disclosed under para-
payment of the indebtedness by allot- graph (b)(1) of this section; the indi-
ment or otherwise in accordance with vidual may request a complete expla-
section 206 of Executive Order 11222, nation of the claim, dispute the infor-
May 8, 1965, 30 FR 6469, which provides mation in the records of NASA about
that: ‘‘An employee is expected to meet the claim, and file for an administra-
all just financial obligations, espe- tive review or repeal of the claim or for
cially those—such as Federal, State, or reconsideration of the initial decision
local taxes—which are imposed by law’’ on the claim.
(4 CFR 102.81). (iii) Amount, status, and history of
[45 FR 48104, July 18, 1980, as amended at 82 the claim;
FR 29384, June 29, 2017] (iv) Program or pertinent activity
under which the claim arose.
§ 1261.408 Use of consumer reporting (2) Before disclosing the information
agency. specified in paragraph (b)(1) of this sec-
(a) The term consumer reporting agen- tion, NASA shall comply with 31 U.S.C.
cy has the meaning provided in the 3711(f) by:
Federal Claims Collection Act of 1966, (i) Taking reasonable action to lo-
as amended (31 U.S.C. 3701(a)(3)): cate the individual if a current address
(1) A consumer reporting agency as is not available;
that term is defined in section 603(f) of (ii) If a current address is available,
the Fair Credit Reporting Act (15 noticing the individual by certified
U.S.C. 1681a(f); or mail, return receipt requested, that:
(2) A person that, for money or on a The designated NASA official has re-
cooperative basis, regularly— viewed the claim and determined that
(i) Gets information on consumers to it is valid and overdue; within not less
give the information to a consumer re- than 60 days after sending this notice,
porting agency; or NASA intends to disclose to a con-
(ii) Serves as a marketing agent sumer reporting agency the specific in-
under an arrangement allowing a third formation to be disclosed under para-
party to get the information from a graph (b)(1) of this section; the indi-
consumer reporting agency. vidual may request a complete expla-
(b) NASA Headquarters Financial nation of the claim, dispute the infor-
Management Division, shall be the mation in the records of NASA about
focal contact between NASA and con- the claim, and file for an administra-
sumer reporting agencies. The fol- tive review or repeal of the claim or for
lowing procedures shall apply when reconsideration of the initial decision
such agencies are employed by NASA: on the claim.
(1) After the appropriate notice pur- (3) If an administrative review or re-
suant to 5 U.S.C. 552a(e)(4) has been consideration is requested, the respon-
published, NASA may disclose, in ac- sible official or designee shall refer the
cordance with 5 U.S.C. 552a(b)(12), in- request to the appropriate NASA legal
formation about a debtor to a con- counsel for an impartial review and de-
sumer reporting agency. Such informa- termination by counsel or designee
tion may include: based on the entire written record. If
(i) That a claim has been determined the reviewer cannot resolve the ques-
to be valid and is overdue (including tion of indebtedness based upon the
violation by debtor of a repayment available documentary evidence,
plan or other claim settlement agree- verified written statements by the
ment); debtor or the responsible official may
(ii) If a current address is available, be requested on any pertinent matter
notifying the individual by certified not addressed by the available record.
mail, return receipt requested, that: (c) If the information is to be sub-
The designated NASA official has re- mitted to a consumer reporting agen-
viewed the claim and determined that cy, the responsible official shall obtain
it is valid and overdue; within not less a verified statement from such agency
than 60 days after sending this notice, which gives satisfactory assurances
247
§ 1261.409 14 CFR Ch. V (1–1–21 Edition)
that the particular agency is com- wise permitted by law. See 31 CFR
plying with all laws of the United 901.5(c).
States related to providing consumer [45 FR 48104, July 18, 1980, as amended at 82
credit information; and thereafter en- FR 29385, June 29, 2017]
sure that the consumer reporting agen-
cy is promptly informed of any sub- § 1261.410 Suspension or revocation of
stantial change in the condition or license or eligibility; liquidation of
amount of the claim, or, on request of collateral.
such agency, promptly verify or cor- (a) In seeking the collection of statu-
rect information about the claim. tory penalties, forfeitures, or debts
provided for as an enforcement aid or
[45 FR 48104, July 18, 1980, as amended at 82 for compelling compliance, NASA will
FR 29384, June 29, 2017]
give serious consideration to the sus-
pension or revocation of licenses or
§ 1261.409 Contracting for collection
services. other privileges for any inexcusable,
prolonged, or repeated failure of a
(a) When NASA determines that debtor to pay such a claim. In the case
there is a need to contract for collec- of a contractor under 48 CFR chapter
tion services, the following conditions 18, NASA will comply with the debar-
shall apply: ment, suspension, and ineligibility re-
(1) The authority to resolve disputes, quirements of the NASA Federal Ac-
compromise claims, suspend or termi- quisition Regulation Supplement
nate collection action, and refer the (NASA/FAR Supplement) at 48 CFR
matter for litigation must be retained 1809.4. Likewise, in making, guaran-
by NASA. teeing, insuring, acquiring, or partici-
(2) The contractor shall be subject to pating in loans, NASA will give serious
the Privacy Act of 1974, as amended, to consideration to suspending or dis-
the extent specified in 5 U.S.C. 552a(m), qualifying any lender, contractor,
and to applicable Federal and State broker, borrower, or other debtor from
laws and regulations pertaining to debt doing further business with it or engag-
collection practices—for example, the ing in programs sponsored by it if such
Fair Debt Collection Practices Act (15 a debtor fails to pay its debts to the
U.S.C. 1692), and 26 U.S.C. 6103(p)(4) and Government within a reasonable time.
applicable regulations of the Internal The failure of any surety to honor its
Revenue Service; obligations in accordance with 31
(3) The contractor must be required U.S.C. 9305 must be reported to the
to account strictly for all amounts col- Treasury Department at once. Notifi-
lected; and cation that a surety’s certificate of au-
thority to do business with the Federal
(4) The contractor must agree to pro-
Government has been revoked or for-
vide any data contained in its files re-
feited by the Treasury Department will
lating to collection actions and related
be forwarded by that Department to all
reports, current address of debtor, and interested agencies.
reasonably current credit information (b) If NASA is holding security or
upon returning an account to NASA for collateral which may be liquidated and
subsequent referral to the Department the proceeds applied on debts due it
of Justice for litigation. through the exercise of a power of sale
(5) The debt must not be subject to in the security instrument or a non-
mandatory transfer to the Department judicial foreclosure, it should do so by
of the Treasury for collection. See 31 such procedures if the debtor fails to
CFR 901.5(a) and (b). pay the debt within a reasonable time
(b) NASA shall use Government-wide after demand, unless the cost of dis-
debt collection contracts to obtain posing of the collateral will be dis-
debt collection services provided by proportionate to its value or special
private collection contractors. See 31 circumstances require judicial fore-
CFR 901.5(b). closure. NASA will provide the debtor
(c) NASA shall fund private collec- with reasonable notice of the sale, an
tion contractor contracts in accord- accounting of any surplus proceeds,
ance with 31 U.S.C. 3728(d) or as other- and any other procedures required by
248
applicable contract or law. Collection for deferred payments other than a

from other sources, including liquida- confess-judgment note may be accepted
tion of security or collateral, is not a in appropriate cases. NASA, at its op-
prerequisite to requiring payment by a tion, may accept installment payments
surety or insurance concern unless notwithstanding the refusal of a debtor
such action is expressly required by to execute a confess-judgment note or
statute or contract. to give other security.
(b) If the debtor owes more than one
§ 1261.411 Collection in installments. debt and designates how a voluntary
(a) Whenever feasible, and except as installment payment is to be applied as
otherwise provided by law, debts owed among those debts, that designation
to the United States, together with in- must be followed. If the debtor does not
terest penalties, and administrative designate the application of the pay-
costs as required by § 1261.412, should be ment, agencies should apply payments
collected in full in one lump sum. This to the various debts in accordance with
is true whether the debt is being col- the best interests of the United States,
lected by administrative offset or by as determined by the facts and cir-
another method, including voluntary cumstances of the particular case, pay-
payment. However, if the debtor is fi- ing special attention to applicable
nancially unable to pay the indebted- statutes of limitations.
ness in one lump sum, payment may be [45 FR 48104, July 18, 1980, as amended at 82
accepted in regular installments. Debt- FR 29385, June 29, 2017]
ors who represent that they are unable
to pay the debt in one lump sum must § 1261.412 Interest, penalties, and ad-
submit justification, including finan- ministrative costs.
cial statements. If NASA agrees to ac- (a) Pursuant to 31 U.S.C. 3717, NASA
cept payment in regular installments, shall assess interest, penalties, and ad-
it will obtain a legally enforceable ministrative costs on debts owed to the
written agreement from the debtor United States. Before assessing these
which specifies all of the terms of the charges, NASA must mail or hand de-
arrangement and which contains a pro- liver a written notice to the debtor ex-
vision 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 debtor’s 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
Government’s claim in not more than to the agency. If an ‘‘advance billing’’
three years. Installment payments of procedure is used—that is, a bill is
less than $50 per month should be ac- mailed before the debt is actually
cepted only if justifiable on the owed—it can include the required in-
grounds of financial hardship or simi- terest notification in the advance bill-
lar reasonable cause. If the claim is un- ing, but interest may not start to ac-
secured, an executed confess-judgment crue before the debt is actually owed.
note should be obtained from a debtor Designated officials should exercise
when the total amount of the deferred care to ensure that the notices re-
installments will exceed $750. Such quired by this section are dated and
notes may be sought when an unse- mailed or hand delivered on the same
cured obligation of a lesser amount is day.
involved. When attempting to obtain (c) The rate of interest assessed shall
confess-judgment notes, the debtor be the rate of the current value of
should be provided with written expla- funds to the United States Treasury
nation of the consequences of signing (i.e., the Treasury tax and loan account
the note, and documentation should be rate), as prescribed and published by
maintained sufficient to demonstrate the Secretary of the Treasury in the
that the debtor has signed the note FEDERAL REGISTER and the Treasury
knowingly and voluntarily. Security Fiscal Requirements Manual Bulletins
249
§ 1261.412 14 CFR Ch. V (1–1–21 Edition)
annually or quarterly, in accordance (g) NASA must waive the collection

with 31 U.S.C. 3717. NASA may assess a of interest on the debt or any portion
higher rate of interest if it reasonably of the debt which is paid within 30 days
determines that a higher rate is nec- after the date on which interest began
essary to protect the interests of the to accrue. NASA may extend this 30-
United States. The rate of interest, as day period, on a case-by-case basis, if it
initially assessed, shall remain fixed reasonably determines that such action
for the duration of the indebtedness, is appropriate. Also, NASA may waive,
except that where a debtor has de- in whole or in part, the collection of in-
faulted on a repayment agreement and terest, penalties, and/or administrative
seeks to enter into a new agreement, costs (assessed under this section)
NASA may set a new interest rate under the criteria specified in § 1261.414
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- (1) Pending consideration of a request
or charges to cover administrative for reconsideration or administrative
costs incurred as a result of a delin- review;
quent debt—that is, the additional (2) Acceptance of an installment plan
costs incurred in processing and han- or other compromise agreement, where
dling the debt because it became delin- there is no indication of lack of good
quent as defined in § 1261.401(b). Cal- faith on the part of the debtor in not
culations of administrative costs repaying the debt, and the debtor has
should be based upon actual costs in- provided substantiating information of
curred or upon cost analyses estab- inability to pay or other unavoidable
lishing an average of actual additional hardship which reasonably prevented
costs incurred by the agency in proc- the debt from being repaid.
essing and handling claims against (h) Where a mandatory waiver or re-
other debtors in similar stages of delin- view statute applies, interest and re-
quency. Administrative costs may in- lated charges may not be assessed for
clude costs incurred in obtaining a those periods during which collection
credit report or in using a private debt action must be suspended under
collector, to the extent they are attrib- § 1261.416(c)(3).
utable to delinquency. (i) Exemptions. (1) The provisions of 31
(e) NASA shall assess a penalty U.S.C. 3717 do not apply:
charge, not to exceed 6 percent a year, (i) To debts owed by any State or
on any portion of a debt that is delin- local government;
quent as defined in § 1261.401(b) for (ii) To debts arising under contracts
more than 90 days. This charge need which were executed prior to, and were
not be calculated until the 91st day of in effect on (i.e., were not completed as
delinquency, but shall accrue from the of) October 25, 1982;
date that the debt became delinquent. (iii) To debts where an applicable
(f) When a debt is paid in partial or statute, regulation required by statute,
installment payments, amounts re- loan agreement, or contract either pro-
ceived by the agency shall be applied hibits such charges or explicitly fixes
first to outstanding penalty and ad- the charges that apply to the debts in-
ministrative cost charges, second to volved; or
accrued interest, and third to out- (iv) To debts arising under the Social
standing principal. Security Act, the Internal Revenue
250
Code, or the tariff laws of the United the account of an accountable officer,
States. including a claim against the payee,
(2) NASA may, however, assess inter- prior to its referral by the Government
est and related charges on debts which Accountability Office for litigation.
are not subject to 31 U.S.C. 3717 to the (b) When the claim, exclusive of in-
extent authorized under the common terest, penalties, and administrative
law or applicable statutory authority. costs, exceeds $100,000, the authority to
[45 FR 48104, July 18, 1980, as amended at 82 accept the compromise rests solely
FR 29385, June 29, 2017] with the Department of Justice. NASA
should evaluate the offer, using the
§ 1261.413 Analysis of costs; automa- factors set forth in paragraphs (c)
tion; prevention of overpayments, through (f) of this section, and may
delinquencies, or defaults. recommend compromise for reasons
The Office of the NASA Chief Finan- under one, or more than one, of those
cial Officer will: paragraphs. If NASA then wishes to ac-
(a) Issue internal procedures to pro- cept the compromise, it must refer the
vide for periodic comparison of costs matter to the Department of Justice,
incurred and amounts collected. Data using the Claims Collection Litigation
on costs and corresponding recovery Report. See § 1261.417(e) or 31 CFR
rates for debts of different types and in 904.2(c). Claims for which the gross
various dollar ranges should be used to amount is over $200,000 shall be re-
compare the cost effectiveness of alter- ferred to the Commercial Litigation
native collection techniques, establish Branch, Civil Division, Department of
guidelines with respect to points at Justice, Washington, DC 20530. Claims
which costs of further collection efforts for which the gross original amount is
are likely to exceed recoveries, and as- $200,000 or less shall be referred to the
sist in evaluating offers in com- United States Attorney in whose judi-
promise. cial district the debtor can be found.
(b) Consider the need, feasibility, and The referral should specify the reasons
cost effectiveness of automated debt for the Agency’s recommendation. If
collection operation. NASA has a debtor’s firm written offer
(c) Establish internal controls to of compromise which is substantial in
identify causes, if any, of overpay- amount and the Agency is uncertain as
ments, delinquencies, and defaults, and to whether the offer should be accept-
establish procedures for corrective ac- ed, it may refer the offer, the sup-
tions as needs dictate. porting data, and particulars con-
[45 FR 48104, July 18, 1980, as amended at 82 cerning the claim to the Government
FR 29385, June 29, 2017] Accountability Office or to the Depart-
ment of Justice. The Government Ac-
§ 1261.414 Compromise of claims. countability Office or the Department
(a) Designated NASA officials (see of Justice may act upon such an offer
§§ 1261.402 and 1261.403) may com- or return it to the agency with instruc-
promise claims for money or property tions or advice. If NASA wishes to re-
arising out of the activities of the ject the compromise, Government Ac-
Agency where the claim, exclusive of countability Office or Department of
interest, penalties, and administrative Justice approval is not required.
costs, does not exceed $100,000, prior to (c) A claim may be compromised pur-
the referral of such claims to the Gov- suant to this section if NASA cannot
ernment Accountability Office, or to collect the full amount because of the
the Department of Justice for litiga- debtor’s inability to pay the full
tion. The Comptroller General may ex- amount within a reasonable time, or
ercise such compromise authority with the refusal of the debtor to pay the
respect to claims referred to the Gov- claim in full and the Government’s in-
ernment Accountability Office prior to ability to enforce collection in full
their further referral for litigation. within a reasonable time by enforced
Only the Comptroller General may ef- collection proceedings. In determining
fect the compromise of a claim that the debtor’s inability or refusal to pay,
arises out of an exception made by the the following factors, among others,
Government Accountability Office in may be considered:
251
§ 1261.414 14 CFR Ch. V (1–1–21 Edition)
(1) Age and health of the debtor; tial factor in the settlement of small
(2) Present and potential income; claims, but normally will not carry
(3) Inheritance prospects; great weight in the settlement of large
(4) The possibility that assets have claims. In determining whether the
been concealed or improperly trans- cost of collecting justifies enforced col-
ferred by the debtor; lection of the full amount, it is legiti-
(5) The availability of assets or in- mate to consider the positive effect
come which may be realized by en- that enforced collection of some claims
forced collection proceedings; and may have on the collection of other
(6) The applicable exemptions avail- claims. Since debtors are more likely
able to the debtor under State and Fed- to pay when first requested to do so if
eral law in determining the Govern- an agency has a policy of vigorous col-
ment’s ability to enforce collection. lection of all claims, the fact that the
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 Government’s 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 agency’s en-
there is a real doubt concerning the forcement policy in terms of deter-
Government’s 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 agency’s 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 debtor’s 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 OBD–500 or
collection, paying heed to the time OBD–500B 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
252
Department of Justice Form OBD–500C NASA may suspend or terminate col-

or by resort to balance sheets and such lection action under this part with re-
additional data as seems required. spect to claims for money or property
Samples of the Department of Justice arising out of activities of the Agency,
forms are available from the Office of prior to the referral of such claims to
the NASA General Counsel. Neither a the Government Accountability Office
percentage of a debtor’s profits nor or to the Department of Justice for
stock in a debtor corporation will be litigation. The Comptroller General (or
accepted in compromise of a claim. In designee) may exercise such authority
negotiating a compromise with a busi- with respect to claims referred to the
ness concern, consideration should be Government Accountability Office
given to requiring a waiver of the tax- prior to their further referral for litiga-
loss-carry-back rights of the debtor. tion.
(i) Joint and several liability. When two (b) If, after deducting the amount of
or more debtors are jointly and sever- partial payments or collections, if any,
ally liable, collection action will not be a claim exceeds $100,000, exclusive of
withheld against one such debtor until interest, penalties, and administrative
the other or others pay their propor- costs, the authority to suspend or ter-
tionate shares. NASA will not attempt minate rests solely with the Depart-
to allocate the burden of paying such ment of Justice. If the designated offi-
claims as between the debtors but will cial believes suspension or termination
proceed to liquidate the indebtedness may be appropriate, the matter should
as quickly as possible. Care should be be evaluated using the factors set forth
taken that a compromise agreement in paragraphs (c) and (d) of this sec-
with one such debtor does not release tion. If the Agency concludes that sus-
the agency’s claim against the remain- pension or termination is appropriate,
ing debtors. The amount of a com- it must refer the matter, with its rea-
promise with one such debtor shall not sons for the recommendation, to the
be considered a precedent or as morally Department of Justice, using the
binding in determining the amount Claims Collection Litigation Report.
which will be required from other debt- See § 1261.417(e) or 31 CFR 904.2(c). If
ors jointly and severally liable on the NASA decides not to suspend or termi-
claim. nate collection action on the claim,
[45 FR 48104, July 18, 1980, as amended at 82 Department of Justice approval is not
FR 29385, June 29, 2017] required; or if it determines that its
claim is plainly erroneous or clearly
§ 1261.415 Execution of releases. without legal merit, it may terminate
Upon receipt of full payment of a collection action regardless of the
claim, or the amount in compromise of amount involved, without the need for
a claim as determined pursuant to Department of Justice concurrence.
§ 1261.414, the official designated in (c) Suspension of collection activity—(1)
§ 1261.402 will prepare and execute, on Inability to locate debtor. Collection ac-
behalf of the United States, an appro- tion may be suspended temporarily on
priate release, which shall include the a claim when the debtor cannot be lo-
provision that it shall be void if pro- cated after diligent effort and there is
cured by fraud, misrepresentation, the reason to believe that future collection
presentation of a false claim, or mu- action may be sufficiently productive
tual mistake of fact. to justify periodic review and action on
the claim, with due consideration for
§ 1261.416 Suspending or terminating the size and amount which may be re-
collection action. alized thereon. The following sources
(a) The standards set forth in this may be of assistance in locating miss-
section apply to the suspension or tering debtors: Telephone directories; city
mination of collection action pursuant directories; postmasters; drivers’ li-
to 31 U.S.C. 3711(a)(3) on claims which cense records; automobile title and
do not exceed $100,000, exclusive of in- registration records; state and local
terest, penalties, and administrative government agencies; the Internal Rev-
costs, after deducting the amount of enue Service (see 4 CFR 102.18); other
partial payments or collections, if any. Federal agencies; employers, relatives,
253
§ 1261.416 14 CFR Ch. V (1–1–21 Edition)
friends; credit agency skip locate re- sive,’’ that is, if it does not require all
ports, and credit bureaus. Suspension requests for waiver/review to be consid-
as to a particular debtor should not ered, and if it does not prohibit collec-
defer the early liquidation cf security tion action pending consideration of a
for the debt. Every reasonable effort waiver/request (for example, 5 U.S.C.
should be made to locate missing debt- 5584), collection action may be sus-
ors sufficiently in advance of the bar of pended pending agency action on a
the applicable statute of limitations, waiver/review request based upon ap-
such as 28 U.S.C. 2415, to permit the propriate consideration, on a case-by-
timely filing of suit if such action is case basis, as to whether:
warranted. If the missing debtor has (i) There is a reasonable possibility
signed a confess-judgment note and is that waiver will be granted or that the
in default, referral of the note for the debt (in whole or in part) will be found
entry of judgment should not be de- not owing from the debtor;
layed because of the debtor’s missing (ii) The Government’s interests
status. would be protected, if suspension were
(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 on the debtor.
make payments on the Government’s
(4) If the applicable statutes and reg-
claim or effect a compromise at the
ulations would not authorize refund by
time, but the debtor’s future prospects
justify retention of the claim for peri- the agency to the debtor of amounts
odic review and action, and: collected prior to agency consideration
(i) The applicable statute of limita- of the debtor’s waiver/review request
tions has been tolled or started run- (in the event the agency acts favorably
ning anew; or on it), collection action should ordi-
(ii) Future collection can be effected narily be suspended, without regard to
by offset, notwithstanding the statute the factors specified for permissive
of limitations, with due regard to the waivers, unless it appears clear, based
10-year limitation prescribed by 31 on the request and the surrounding cir-
U.S.C. 3716(c)(1); or cumstances, that the request is frivo-
(iii) The debtor agrees to pay interest lous and was made primarily to delay
on the amount of the debt on which collection. See 4 CFR 104.2.
collection action will be temporarily (d) Termination of collection activity.
suspended, and such temporary suspen- Collection activity may be terminated
sion is likely to enhance the debtor’s and NASA may close its file on the
ability to fully pay the principle claim based on the following:
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 agency’s consider- able to the Government, the debtor’s
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 debtor’s 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
254
may be realized by enforced collection fied under the criteria discussed in this
proceedings. section.
(2) Inability to locate debtor. Collection [45 FR 48104, July 18, 1980, as amended at 82
action may be terminated on a claim FR 29386, June 29, 2017]
when the debtor cannot be located, and
either: § 1261.417 Referral to Department of
(i) There is no security remaining to Justice or Government Account-
ability Office.
be liquidated; or
(ii) The applicable statute of limita- (a) Prompt referral. Except as provided
tions has run and the prospects of col- in paragraphs (b) and (c) of this sec-
tion, claims on which aggressive col-
lecting by offset, notwithstanding the
lection action has been taken in ac-
bar of the statute of limitations, are
cordance with § 1261.406 and which can-
too remote to justify retention of the
not be compromised, or on which col-
claim. lection action cannot be suspended or
(3) Cost will exceed recovery. Collection terminated, in accordance with
action may be terminated on a claim §§ 1261.414 and 1261.416, shall be prompt-
when it is likely that the cost of fur- ly referred to the Department of Jus-
ther collection action will exceed the tice for litigation.
amount recoverable thereby. (1) Claims for which the gross origi-
(4) Claim legally without merit. Collec- nal amount is over $200,000 shall be re-
tion action should be terminated im- ferred to the Commercial Litigation
mediately on a claim whenever it is de- Branch, Civil Division, Department of
termined that the claim is legally Justice, Washington, DC 20530.
without merit. (2) Claims for which the gross origi-
(5) Claim cannot be substantiated by nal amount is $200,000 or less shall be
evidence. Collection action should be referred to the United States Attorney
terminated when it is determined that in whose judicial district the debtor
the evidence necessary to prove the can be found. Referrals should be made
claim cannot be produced or the nec- as early as possible, consistent with ag-
gressive agency collection action and
essary witnesses are unavailable and
the observance of the regulations con-
efforts to reduce voluntary payment
tained in this subpart, and in any
are unavailing. event, well within the period for bring-
(e) Transfer of claim. When NASA has ing a timely suit against the debtor.
doubt as to whether collection action Ordinarily, referrals should be made
should be suspended or terminated on a within l year of the agency’s final de-
claim, it may refer the claim to the termination of the fact and the amount
Government Accountability Office for of the debt.
advice. When a significant enforcement (3) Minimum amount. NASA is not to
policy is involved in reducing a statu- refer claims of less than $600, exclusive
tory penalty or forfeiture to judgment, of interest, penalties, and administra-
or recovery of a judgment is a pre- tive costs, for litigation unless:
requisite to the imposition of adminis- (i) Referral is important to a signifi-
trative sanctions, such as the suspen- cant enforcement policy; or
sion or revocation of a license or the (ii) The debtor not only has the clear
privilege of participating in a Govern- ability to pay the claim but the Gov-
ment-sponsored program, NASA may ernment can effectively enforce pay-
refer such a claim for litigation even ment, having due regard for the exemp-
though termination of collection activ- tions available to the debtor under
ity might otherwise be given consider- State and Federal law and the judicial
remedies available to the Government.
ation under paragraphs (d)(1) and (2) of
(b) Claims arising from audit excep-
this section. Claims on which NASA
tions taken by the GAO to payments
holds a judgment by assignment or made by agencies must be referred to
otherwise will be referred to the De- the GAO for review and approval prior
partment of Justice for further action to referral to the Department of Jus-
if renewal of the judgment lien or en- tice for litigation, unless NASA has
forced collection proceedings are justi- been granted an exception by the GAO.
255
§ 1261.417 14 CFR Ch. V (1–1–21 Edition)
Referrals shall comply with instruc- merated in this subpart (see 4 CFR part
tions, including monetary limitations, 102).
contained in the GAO Policy and Pro- (2) Current address of debtor. The cur-
cedures Manual for Guidance to Fed- rent address of the debtor, or the name
eral Agencies and paragraphs (e) and (f) and address of the agent for a corpora-
of this section. tion upon whom service may be made.
(c) When the merits of the claim, the Reasonable and appropriate steps will
amount owed on the claim, or the pro- be taken to locate missing parties in
priety of acceptance of a proposed com- all cases. Referrals to the Department
promise, suspension, or termination of Justice for the commencement of
are in doubt, the designated official foreclosure of other proceedings, in
should refer the matter to the Govern- which the current address of any party
ment Accountability Office for resolu- is unknown, will be accompanied by a
tion and instructions prior to pro- listing of the prior known addresses of
ceeding with collection action and/or such party and a statement of the steps
referral to the Department of Justice taken to locate that party.
for litigation. (3) Credit data. Reasonably current
(d) Once a claim has been referred to credit data which indicates that there
the Government Accountability Office is a reasonable prospect of effecting en-
or to the Department of Justice pursu- forced collection from the debtor, hav-
ant to this section, NASA shall refrain ing due regard for the exemptions
from having any contact with the debt- available to the debtor under State and
or about the pending claim and shall Federal law and the judicial remedies
direct the debtor to the Government available to the Government. Such
Accountability Office or to the Depart- credit data may take the form of:
ment of Justice, as appropriate, when (i) A commercial credit report;
questions concerning the claim are (ii) An agency investigative report
raised by the debtor. The Government showing the debtor’s assets, liabilities,
Accountability Office or the Depart- income, and expenses;
ment of Justice, as appropriate, shall
(iii) The individual debtor’s own fi-
be immediately notified by NASA of
nancial statement executed under pen-
any payments which are received from
alty of perjury reflecting the debtor’s
the debtor subsequent to referral of a
assets, liabilities, income, and ex-
claim under this section.
penses; or
(e) Claims Collection Litigation Report
(iv) An audited balance sheet of a
(CCLR). Unless an exception has been
corporate debtor.
granted by the Department of Justice
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;
all referrals of administratively (ii) The forced sale value of the secu-
uncollectible claims. As required by rity available for application to the
the CCLR, the following information Government’s claim is sufficient to
must be included: satisfy the claim in full;
(1) Report of prior collection actions. A (iii) NASA wishes to liquidate loan
checklist or brief summary of the ac- collateral through judicial foreclosure
tions previously taken to collect or but does not desire a deficiency judg-
compromise the claim. If any of the ad- ment;
ministrative collection actions have (iv) The debtor is in bankruptcy or
been omitted, the reason for their receivership;
omission must be provided. GAO, the (v) The debtor’s liability to the Gov-
United States Attorney, or the Civil ernment is fully covered by insurance,
Division of the Department of Justice in which case NASA will furnish such
may return claims at their option information as it can develop con-
when there is insufficient justification cerning the identity and address of the
for the omission of one or more of the insurer and the type and amount of in-
administrative collection actions enu- surance coverage; or
256
(vi) The status of the debtor is such (c) For claims not subject to manda-
that credit data is not normally avail- tory transfer to the Department of the
able or cannot reasonably be obtained, Treasury pursuant to paragraph (b),
for example, a unit of State or local NASA may consider ad hoc non-cen-
government. tralized administrative offset of claims
(f) Preservation of evidence. Care will at its sole discretion. Any ad hoc non-
be taken to preserve all files, records, centralized administrative offset of
and exhibits on claims referred or to be claims will be conducted consistent
referred to the Department of Justice with the requirements of 31 CFR
for litigation. Under no circumstances 901.3(c).
should original documents be sent to (1) Debts owed by any State or local
the Department of Justice or the Government;
United States Attorney without spe- (2) Debts arising under or payments
cific prior approval to do so. Copies of made under the Social Security Act,
relevant documents should be sent the Internal Revenue Code of 1954, or
whenever necessary. the tariff laws of the United States; or
(3) Any case in which collection of
[45 FR 48104, July 18, 1980, as amended at 82 the type of debt involved by adminis-
FR 29386, June 29, 2017] trative offset is explicitly provided for
or prohibited by another statute. How-
§ 1261.418 Transfer of debts to Treas- ever, unless otherwise provided by con-
ury for collection.
tract or law, debts or payments which
Unless subject to an exception identi- are not subject to administrative offset
fied in 31 CFR 285.12(d), NASA shall under 31 U.S.C. 3716 may be collected
transfer any debt that is more than 180 by administrative offset under the
days delinquent to the Financial Man- common law or other applicable statu-
agement Service for debt collection tory authority.
services in accordance with the proce-
dures described in 31 CFR 285.12. FR 29386, June 29, 2017]
[82 FR 29386, June 29, 2017]
§ 1261.501 Definition.
Subpart 1261.5—Administrative Administrative offset—the term, as de-
fined in 31 U.S.C. 3701(a)(1), means
Offset of Claims ‘‘withholding money payable by the
United States Government to, or held
SOURCE: 52 FR 19487, May 26, 1987, unless by the Government for, a person to sat-
otherwise noted. isfy a debt the person owes the Govern-
ment.’’
§ 1261.500 Scope of subpart.
(a) This subpart applies to collection § 1261.502 Notification procedures.
of claims by administrative offset (a) Before collecting any claims
under section 5 of the Federal Claims through administrative offset, a 30-day
Collection Act of 1966 as amended by written notice must be sent to the
the Debt Collection Act of 1982 and the debtor by certified mail, return receipt
Debt Collection Improvement Act of requested. The notice must include:
1996 (31 U.S.C. 3716), other statutory au- (1) The nature and amount of the
thority, or the common law; it does not debt;
include ‘‘Salary Offset,’’ which is gov- (2) NASA’s intention to collect by ad-
erned by subpart 1261.6, infra. ministrative offset; and
(b) NASA shall refer past due, legally (3) An explanation of the debtor’s
enforceable nontax debts which are rights under 31 U.S.C. 3716(a), or other
over 180 days delinquent to the Sec- relied upon statutory authority, which
retary of the Treasury for collection by must include a statement that the
centralized administrative offset. For debtor has the opportunity, within the
purposes of debts governed by this pro- 30-day notice period, to:
vision, NASA adopts and will follow (i) Inspect and copy records of NASA
the procedures established by the De- with respect to the debt;
partment of the Treasury in 31 CFR (ii) Request a review by NASA of its
901.3. decision related to the claim; and
257
§ 1261.503 14 CFR Ch. V (1–1–21 Edition)
(iii) Enter into a written agreement tion turns on an issue of credibility or

with the designated official (see veracity; or
§ 1261.402) to repay the amount of the (2) Unless otherwise required by law,
claim. However, sound judgment a hearing under this section is not re-
should be exercised in determining quired to be a formal evidentiary-type
whether to accept a repayment agree- hearing, although significant matters
ment in lieu of offset. The determina- discussed at the hearing should be doc-
tion should balance the Government’s umented. See 31 CFR 901.3(e)(1). Such
interest in collecting the debt against hearing may be an informal discussion/
fairness to the debtor. If the debt is de- interview with the debtor, face-to-face
linquent and the debtor has not dis- meeting between debtor and cognizant
puted its existence or amount, NASA NASA personnel, or written formal
should accept a repayment agreement submission by the debtor and response
in lieu of offset only if the debtor is by the NASA cognizant personnel with
able to establish that offset would re- an opportunity for oral presentation.
sult in undue financial hardship or The hearing will be conducted before or
would be against equity and good con- in the presence of an official as des-
science. ignated by the NASA General Counsel
(b) NASA may effect administrative on a case-by-case basis. The hearing is
offset against a payment to be made to not an adversarial adjudication and
a debtor prior to the completion of the need not take the form of an evi-
procedures required by paragraph (a) of dentiary hearing. However, depending
this section if: on the particular facts and cir-
(1) Failure to take the offset would cumstances, the hearing may be analo-
substantially prejudice the Govern- gous to a fact-finding proceeding with
ment’s ability to collect the debt; and oral presentations; or an informal
(2) The time before the payment is to meeting with or interview of the em-
be made does not reasonably permit ployee; or formal written submissions,
the completion of those procedures. with an opportunity for oral presen-
Such prior offset must be promptly fol- tation, and decision based on the avail-
lowed by the completion of those pro- able written record. Ordinarily, hear-
cedures. Amounts recovered by offset ings may consist of informal con-
but later found not to be owed to the ferences before the hearing official in
Government shall be promptly re- which the employee and Agency offi-
funded. cials will be given full opportunity to
(3) In cases where the procedural represent evidence, witnesses, and argu-
quirements of paragraph (a) of this sec- ment. The employee may represent
tion had previously been provided to himself or herself or be represented by
the debtor in connection with the same an individual of his or her choice at no
debt under some other statutory or cost to the United States. The hearing
regulatory authority, such as pursuant official must maintain or provide for a
to a notice of audit disallowance or sal- summary record of the hearing pro-
ary offset under § 1261.603, the agency is vided under this subpart. The decision
not required to duplicate those require- of the reviewing/hearing official should
ments before taking administrative be communicated in writing (no par-
offset. ticular form is required) to the affected
parties and will constitute the final ad-
§ 1261.503 Agency records inspection; ministrative decision of the Agency.
hearing or review. (b) Paragraph (a) of this section does
(a) NASA shall provide the debtor not require a hearing with respect to
with a reasonable opportunity for a debt collection systems, as determina-
live, telephonic, or video-teleconfer- tions of indebtedness or waiver from
ence hearing when: these rarely involve issues of credi-
(1) An applicable statute authorizes bility or veracity since NASA has de-
or requires the agency to consider termined that review of the written
waiver of the indebtedness involved, record is ordinarily an adequate means
the debtor requests waiver of the in- to correct prior mistakes. See 31 CFR
debtedness, and the waiver determina- 901.3(e)(3).
258
(c) In those cases where a live, tele- days of receipt. If such processing is
phonic, or video-teleconference hearing impractical or not feasible, notice to
is not required or granted, NASA will extend the time period for another 30
nevertheless accord the debtor an op- calendar days should be forwarded 10
portunity to submit any position re- calendar days prior to the expiration of
garding the matter by documentation the first 30-day period.
and/or written presentation—that is, (d) Requests from or to NASA must
the Agency will make its determina- be accompanied by a certification that
tion on the request for waiver or recon- the debtor owes the debt (including the
sideration based upon a review of the
amount) and that the provisions of (or
available written record. See 31 CFR
comparable to) subpart 1261.5 or sub-
901.3(e)(4). In such case, the responsible
part 1261.6, as applicable, have been
official or designee shall refer the re-
quest to the appropriate NASA Office fully complied with. NASA will cooper-
of General Counsel or Chief Counsel for ate with other agencies in effecting
review and recommendation. collection.
(d) A request to inspect and/or copy
the debtor’s own debt records or re- § 1261.505 Multiple debts.
lated files, and/or for a hearing or re- When collecting multiple debts by
view accompanied by a statement of administrative offset, NASA will apply
the basis or grounds for such hearing or the recovered amounts to those debts
review, must be submitted within 30 in accordance with the best interests of
calendar days of the receipt of the the United States, as determined by
written notice under § 1261.502(a). A the facts and circumstances of the par-
reasonable time to inspect and copy ticular case, paying special attention
records will be provided during official to applicable statutes of limitations.
working hours, but not to exceed 5
business days, unless a verified state- § 1261.506 Limitation periods.
ment showing good cause requires a
longer period. Any suspension of collec- NASA may not initiate administra-
tion or other charges during the period tive offset to collect a debt under 31
of the inspection, or hearing or review, U.S.C. 3716 more than 10 years after the
shall comply with §§ 1261.412 and Government’s right to collect the debt
1261.416. Requests for or consideration first accrued, unless facts material to
of compromising the debt must comply the Government’s right to collect the
with § 1261.414. debt were not known and could not rea-
sonably have been known by the offi-
[52 FR 19487, May 26, 1987, as amended at 82 cial or officials of the Government who
FR 29386, June 29, 2017]
were charged with the responsibility to
§ 1261.504 Interagency requests. discover and collect such debts. Deter-
mination of when the debt first accrued
(a) Requests to NASA by other Fed-
is to be made in accordance with exist-
eral agencies for administrative offset
ing law regarding the accrual of debts,
should be in writing and forwarded to
such as under 28 U.S.C. 2415. See 4 CFR
the Office of the NASA Comptroller,
102.3(b)(3).
NASA Headquarters, Washington, DC
20546. § 1261.507 Civil Service Retirement
(b) Requests by NASA to other Fed- and Disability Fund.
eral agencies holding funds payable to
the debtor should be in writing and for- (a) Unless otherwise prohibited by
warded, certified return receipt, as law, NASA may request that moneys
specified by that agency in its regula- which are due and payable to a debtor
tions; however, if such rule is not read- from the Civil Service Retirement and
ily available or identifiable, the re- Disability Fund be administratively
quest should be submitted to that offset in reasonable amounts in order
agency’s office of legal counsel with a to collect in one full payment or a
request that it be processed in accord- minimal number of payments debts
ance with their internal procedures. owed to the United States by the debt-
(c) Requests to and from NASA or. Such requests shall be made to the
should be processed within 30 calendar appropriate officials of the Office of
259
§ 1261.508 14 CFR Ch. V (1–1–21 Edition)
Personnel Management (OPM) in ac- § 1261.508 Offset against a judgment.

cordance with the OPM regulations Collection by offset against a judg-
(see 5 CFR 831.1801, et seq.). ment obtained by a debtor against the
(b) When making a request for ad- United States shall be accomplished in
ministrative offset under paragraph (a)
accordance with 31 U.S.C. 3728.
of this section, NASA shall include a
written certification that:
(1) The debtor owes the United States Subpart 1261.6—Collection by
a debt, including the amount of the Offset From Indebted Govern-
debt; ment Employees
(2) NASA has complied with the ap-
plicable statutes, regulations, and pro- SOURCE: 52 FR 19487, May 26, 1987, unless
cedures of the Office of Personnel Man- otherwise noted.
agement; and
(3) NASA has complied with the re- § 1261.600 Purpose of subpart.
quirements of this subpart 1261.5 which This subpart implements 5 U.S.C.
implements 4 CFR 102.3, including any 5514 in accordance with the OPM regu-
required hearing or review. lation and establishes the procedural
(c) Once NASA has decided to request requirements for recovering pre-judg-
administrative offset under this sec- ment debts from the current pay ac-
tion, the request should be made as count of an employee through what is
soon as practical after completion of commonly called salary offset, includ-
the applicable procedures in order that ing a situation where NASA (the cur-
the Office of Personnel Management rent paying agency) is not the employ-
may identify and ‘‘flag’’ the debtor’s ee’s creditor agency. Salary offset to
account in anticipation of the time satisfy a judgment or a court deter-
when the debtor requests or becomes mined debt is governed by section 124
eligible to receive payments from the of Pub. L. 97–276 (October 2, 1982), 5
Fund. This will satisfy any require- U.S.C. 5514 note.
ment that offset be initiated prior to
expiration of the applicable statute of § 1261.601 Scope of subpart.
limitations. At such time as the debtor (a) Coverage. This subpart applies to
makes a claim for payments from the agencies and employees as defined in
Fund, if at least a year has elapsed § 1261.602.
since the offset request was originally (b) Applicability. This subpart and 5
made, the debtor should be permitted U.S.C. 5514 apply in recovering certain
to offer a satisfactory repayment plan prejudgment debts by administrative
in lieu of offset upon establishing that offset except where the employee con-
changed financial circumstances would sents to the recovery, from the current
render the offset unjust. pay account of an employee. Because it
(d) If NASA collects part or all of the is an administrative offset, debt collec-
debt by other means before deductions tion procedures for salary offset which
are made or completed pursuant to are not specified in 5 U.S.C. 5514 and
paragraph (a) of this section, the des- this subpart should be consistent with
ignated official should act promptly to subpart 1261.5.
modify or terminate the agency’s re- (1) Excluded debts or claims. The proce-
quest to OPM for offset. dures contained in this subpart do not
(e) OPM is not required or authorized apply to debts or claims arising under
by 4 CFR 102.4 to review the merits of the Internal Revenue Code of 1954 as
NASA’s determination with respect to: amended (26 U.S.C. 1 et seq.), the Social
(1) The amount and validity of the Security Act (42 U.S.C. 301 et seq.), or
debt; the tariff laws of the United States; or
(2) Waiver under an applicable stat- to any case where collection of a debt
ute; or by salary offset is explicitly provided
(3) Provide or not provide a live, tele- for or prohibited by another statute
phonic, or video-teleconference hear- (e.g., travel advances in 5 U.S.C. 5705,
ing. employee training expenses in 5 U.S.C.
[52 FR 19487, May 26, 1987, as amended at 82 4108, and debts determined by a court
FR 29387, June 29, 2017] as provided in 5 U.S.C. 5514 note).
260
(2) Waiver requests and claims to the in the case of an employee not entitled
Government Accountability Office. This to basic pay, other authorized pay re-
subpart does not preclude an employee maining after the deduction of any
from requesting waiver of a salary amount required by law to be withheld.
overpayment under 5 U.S.C. 5584, 10 NASA must exclude deductions listed
U.S.C. 2774, or 32 U.S.C. 716, or in any in OPM’s garnishment regulations at 5
way questioning the amount or valid- CFR 581.105 (b) through (f) to determine
ity of a debt by submitting a subse- disposable pay subject to salary offset.
quent claim to the Government Ac- (e) Employee means a current em-
countability Office in accordance with ployee of an agency, including a cur-
procedures prescribed by the Govern- rent member of the Armed Forces or a
ment Accountability Office. Similarly, Reserve of the Armed Forces (Re-
in the case of other types of debts, it serves).
does not preclude an employee from re- (f) Paying agency means the agency
questing waiver, if waiver is available employing the individual and author-
under any statutory provision per- izing the payment of his or her current
taining to the particular debt being pay.
collected. (g) Salary offset means an administra-
[52 FR 19487, May 26, 1987, as amended at 82 tive offset to collect a debt under 5
FR 29387, June 29, 2017] U.S.C. 5514 by deduction(s) at one or
more officially established pay inter-
§ 1261.602 Definitions. vals from the current pay account of
For purposes of this subpart: an employee without his or her con-
(a) Agency means: sent.
(1) An Executive agency as defined in (h) Waiver means the cancellation,
section 105 of title 5, United States remission, forgiveness, or nonrecovery
Code, including U.S. Postal Service and of a debt allegedly owed by an em-
the U.S. Postal Rate Commission; ployee to an agency as permitted or re-
(2) A military department as defined quired by 5 U.S.C. 8346(b), or any other
in section 102 of Title 5, United States law.
Code;
(3) An agency or court in the judicial § 1261.603 Procedures for salary offset.
branch, including a court as defined in If NASA determines that a Federal
section 610 of Title 28, United States employee is indebted to the United
Code, the District Court for the North- States or is notified of such by the
ern Mariana Islands, and the Judicial head of another agency (or delegee),
Panel on Multidistrict Litigation; the amount of indebtedness may be col-
(4) An agency of the legislative lected in monthly installments, or reg-
branch, including the U.S. Senate and ularly established pay intervals, by de-
the U.S. House of Representatives; and duction from the affected employee’s
(5) Other independent establishments pay account. The deductions may be
that are entities of the Federal Govern- made from basic pay, special pay, in-
ment. centive pay, retired pay, retainer pay,
(b) Creditor agency means the agency or in the case of an employee not enti-
to which the debt is owed. tled to basic pay, from other author-
(c) Debt means an amount owed to ized pay. The requirements in para-
the United States from sources which graphs (a) through (h) of this section
include loans insured or guaranteed by must be met before a deduction is made
the United States and all other from the current pay account of an em-
amounts due the United States from ployee.
fees, leases, rents, royalties, services, (a) Written notice. The employee must
sales of real or personal property, over- be sent a minimum of 30 days written
payments, penalties, damages, interest, notice prior to further offset action,
fines and forfeitures (except those aris- which specifies:
ing under the Uniform Code of Military (1) The origin, nature and amount of
Justice), and all other similar sources. the indebtedness, and the official to
(d) Disposable pay means that part of contact within the agency (ordinarily,
current basic pay, special pay, incen- the designated financial management
tive pay, retired pay, retainer pay, or official for the particular installation);
261
§ 1261.603 14 CFR Ch. V (1–1–21 Edition)
(2) The intention of the agency to ini- gram for which the collection is being
tiate collection of the debt through sal- made; and
ary offset by deductions from the em- (9) Unless there are applicable con-
ployee’s current disposable pay, stating tractual or statutory provisions to the
the amount, frequency, proposed begin- contrary, that amounts paid on or de-
ning date, and duration of intended deducted for the debt which are later
ductions (the amount to be deducted waived or found not owed to the United
for any period, without the consent of States will be promptly refunded to the
the employee, may not exceed 15 per- employee.
cent of disposable pay); (b) Exception to entitlement to written
(3) An explanation of any interest, notice. NASA is not required to comply
penalties, or administrative costs in-
with paragraph (a) of this section for
cluded in the amount, and that such
any adjustment to pay arising out of
assessment must be made unless ex-
an employee’s election of coverage or a
cused in accordance with 14 CFR
1261.412; change in coverage under a Federal
(4) The right for an opportunity benefits program requiring periodic de-
(which does not toll the running of the ductions from pay, if the amount to be
30-day period) to inspect and copy recovered was accumulated over four
NASA records relating to the debt or pay periods or less.
to request and receive (if reasonable) a (c) Petition filing; hearing; decision and
copy of such records, provided that review. The notice described in para-
such opportunity must be exercised on graph (a) of this section should include
or before the 15th day following receipt the following provisions, which may be
of the notice and can be conducted only copied and attached to the notice.
during official working hours for a rea- (1) The employee may petition for a
sonable period of time not to exceed 5 hearing, but such petition must be in
working days; writing and received by NASA on or be-
(5) If not previously provided, the op- fore the 15th day following receipt of
portunity (under terms agreeable to the notice, and include a statement of
NASA) to establish a schedule for the the reasons for such hearing. No par-
voluntary repayment of the debt or to ticular form is required, and a timely,
enter into a written agreement to es- legible letter request (with the stated
tablish a schedule for repayment of the reasons) will suffice; however, the em-
debt in lieu of offset. The agreement ployee must sign the petition and in-
must be in writing, signed by both the clude with it, with reasonable speci-
employee and the authorized agency of- ficity, all the supporting facts and evi-
ficial (see 14 CFR 1261.402) and docu- dence, including a list of the witnesses,
mented in NASA’s files (see 14 CFR
if any.
1261.407(d));
(2) The petition should be addressed
(6) An opportunity for a hearing, as
provided in paragraph (c) of this sec- to the Agency counsel designated in
tion, on the agency’s determination the notice, but the hearing will be con-
concerning the existence and amount ducted by an official not under the su-
of the debt, and the terms of the repay- pervision or control of the NASA Ad-
ment schedule (in the case of an em- ministrator. The Agency Chief Finan-
ployee whose repayment schedule is es- cial Officer is authorized to appoint an
tablished other than by written agree- administrative law judge or other Fed-
ment); eral executive branch employee or offi-
(7) The hearing request should be ad- cial on a reimbursable or other basis.
dressed to the Office of the NASA Gen- Notice of the name and address of the
eral Counsel or to the Office of Chief hearing official will be sent to the em-
Counsel of the NASA installation in- ployee within 10 days of receipt of peti-
volved, as appropriate; counsel’s name tion.
and address will be as stated in the no- (3) The timely filing of the petition
tice. will stay the commencement of collec-
(8) Any other rights and remedies tion; and the final decision on the hear-
available to the employee under stating will be issued at the earliest prac-
utes or regulations governing the pro- ticable date, but not later than 60 days
262
after the filing of the petition request- over a period not greater than the an-
ing the hearing unless the employee re- ticipated period of active duty or em-
quests and the hearing official grants a ployment, as the case may be, except
delay in the proceedings. as provided in paragraph (f) of this sec-
(4) Any knowingly false or frivolous tion.
statements, representations, or evi- (f) Determining ability to pay. An off-
dence may subject the employee to: set may produce an extreme financial
(i) Disciplinary procedures appro- hardship for an employee if it prevents
priate under Chapter 75 of Title 5, the employee from meeting costs nec-
United States Code, 5 CFR part 752, or essarily incurred for essential subsist-
any other applicable statutes or regu- ence expenses for food, reasonable
lations; housing, clothing, transportation, and
(ii) Penalties under the False Claims medical care. In determining whether
Act, sections 3729 through 3731 of Title an offset would prevent the employee
31, United States Code, or any other from meeting the essential subsistence
applicable statutory authority; or expenses, the employee may be re-
(iii) Criminal penalties under sec- quired to show income from all sources
tions 286, 287, 1001, and 1002 of Title 18, (including spouse and dependents, if ap-
United States Code, or any other appli- plicable), list all known assets, explain
cable statutory authority. exceptional expenses, and produce any
(5) As for the conduct of any live, tel- other relevant factors.
ephonic, or video teleconference hear- (g) Liquidation from final check; other
ing, for additional guidance see 14 CFR recovery. If the employee retires or re-
1261.503. signs from Federal service, or if his or
(d) Petition after time expiration. No her employment or period of active
petition for a hearing is to be granted duty ends before collection of the debt
if made after the 15-day period pre- is completed, the balance may be de-
scribed in paragraph (c)(1) of this sec- ducted from the final salary payment
tion, unless the employee can show to and any remaining balance from the
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 are to tirement and Disability Fund under 14
be 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 [52 FR 19487, May 26, 1987, as amended at 82
debt and the employee’s ability to pay FR 29387, June 29, 2017]
(see 14 CFR 1261.411), but the amount
deducted for any period must not ex- § 1261.604 Nonwaiver of rights by in-
ceed 15 percent of the disposable pay voluntary setoff.
from which the deduction is made (un- The employee’s involuntary payment
less the employee has agreed in writing of all or any portion of the debt, being
to the deduction of a greater amount). collected under this subpart, must not
Deduction must commence with the be construed as a waiver of any rights
next full pay interval (ordinarily, the which the employee may have under an
next biweekly pay period). Such in- existing written contract applicable to
stallment deductions must be made the specific debt or under any other
263
§ 1261.605 14 CFR Ch. V (1–1–21 Edition)
pertinent statutory authority for the Government’s right to collect the debt
collection of claims of the United first accrued, except as provided in 14
States or the agency. CFR 1261.506, which implements 4 CFR
102.3(b)(3).
§ 1261.605 Refunds. (c) Employees who are separating or
(a) NASA will promptly refund to the have separated—(1) Employees who are in
employee amounts paid or deducted the process of separating. If the em-
under this subpart when: ployee is in the process of separating,
(1) A debt is waived or otherwise the creditor agency must submit its
found not owing the United States (un- debt claim to the employee’s paying
less expressly prohibited by statute or agency for collection as provided in 5
regulation); or CFR 550.1104(1) of the OPM regulations
(2) The employee’s paying agency is (14 CFR 1261.603(f)) for ‘‘liquidation
directed by an administrative or judi- from final check.’’ NASA must then
cial order to refund amounts deducted certify the total amount of its collec-
from his or her current pay. tion and notify the creditor agency and
(b) Refunds are not to bear any inter- the employee as provided in paragraph
est unless the law applicable to that (c)(3) of this section. If NASA is aware
particular debt specifically requires or that the employee is entitled to pay-
permits a stated interest amount on re- ments from the Civil Service Retire-
funds. ment and Disability Fund, or other
similar payments, it should notify the
§ 1261.606 Salary offset request by a creditor agency and forward the copy
creditor agency other than NASA of the debt claim and certification to
(the current paying agency). the agency responsible for making such
(a) Format of the request. Upon com- payments as notice that a debt is out-
pletion of the procedures established standing. However, the creditor agen-
by the creditor agency under 5 U.S.C. cy, not NASA, must submit a properly
5514, the creditor agency must: certified claim to the agency respon-
(1) Certify, in writing, that the em- sible for making such payments before
ployee owes the debt, the amount and collection can be made.
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-
Government’s 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
agency’s regulations implementing 5 claim to the creditor agency for any
U.S.C. 5514 have been approved by further collection, indicating the em-
OPM; ployee’s 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 employee’s
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- ployee’s official personnel folder along
lect a debt more than 10 years after the with a copy of the certification of the
264
amount which has been collected. Upon (b) When the debtor works for the
receiving the official personnel folder, creditor agency, the creditor agency
the new paying agency must resume may contact any agent (of another
the collection from the employee’s cur- agency) designated in appendix A of 5
rent pay account and notify the em- CFR part 581 to arrange for a hearing
ployee and the creditor agency of the official. Agencies must then cooperate
resumption. It will not be necessary for as required by 4 CFR 102.1 and provide
the creditor agency to repeat the due a hearing official.
process procedures described by 5
U.S.C. 5514 of this subpart in order to PART 1262—EQUAL ACCESS TO
resume the collection. However, it will JUSTICE ACT IN AGENCY PRO-
be the responsibility of the creditor
agency to review the debt upon receiv-
CEEDINGS
ing NASA’s notice of the employee’s
Subpart 1262.1—General Provisions
transfer to make sure the collection is
resumed by the new paying agency. Sec.
(d) Processing the debt claim upon re- 1262.101 Purpose of these rules.
ceipt—(1) Incomplete claim. If NASA re- 1262.102 When the Act applies.
ceives incomplete debt claim informa- 1262.103 Proceedings covered.
tion, it must return the request with a 1262.104 Eligibility of applicants.
notice that procedures under 5 U.S.C. 1262.105 Standards for awards.
5514 and this subpart must be provided 1262.106 Allowable fees and expenses.
1262.107 Rulemaking on maximum rates for
and complete debt claim information attorney fees.
received before action will be taken to 1262.108 Awards against other agencies.
collect from the employee’s current 1262.109 Delegations of authority.
pay account.
(2) Complete claim. If NASA receives a Subpart 1262.2—Information Required
properly documented debt claim, de- From Applicants
ductions should be scheduled to begin
prospectively at the next officially es- 1262.201 Contents of application.
1262.202 Net worth exhibit.
tablished pay interval. A copy of the
1262.203 Documentation of fees and ex-
debt claim request must be given to penses.
the debtor, along with notice of the 1262.204 When an application may be filed.
date deductions will commence if dif-
ferent from that stated on the debt Subpart 1262.3—Procedures 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.
1262.302 Answer to application.
itor agency’s determination with re-
1262.303 Reply.
spect to the amount or validity of the 1262.304 Comments by other parties.
debt as stated in the debt claim re- 1262.305 Settlement.
quest. 1262.306 Further proceedings.
1262.307 Decision.
§ 1261.607 Obtaining the services of a 1262.308 Agency review.
hearing official. 1262.309 Judicial review.
(a) When the debtor does not work 1262.310 Payment of award.
for the creditor agency and the cred- AUTHORITY: 5 U.S.C. 504; 51 U.S.C. 20113(a).
itor agency cannot provide a prompt
SOURCE: 51 FR 15311, Apr. 23, 1986, unless
and appropriate hearing before an ad-
otherwise noted.
ministrative law judge or before a
hearing official furnished pursuant to
another lawful arrangement, the cred- Subpart 1262.1—General
itor agency may contact an agent of Provisions
the paying agency designated in appen-
dix A of 5 CFR part 581 to arrange for § 1262.101 Purpose of these rules.
a hearing official, and the paying agen- (a) The pertinent provisions of the
cy must then cooperate as provided by Equal Access to Justice Act at 5 U.S.C.
4 CFR 102.1 and provide a hearing offi- 504 (hereinafter ‘‘the Act’’) provide for
cial. the award of attorney fees and other
265
§ 1262.102 14 CFR Ch. V (1–1–21 Edition)
expenses to eligible individuals and en- mitted as a party, in an agency pro-

tities who are parties to certain admin- ceeding, and a person or agency admit-
istrative proceedings (called ‘‘adver- ted by an agency as a party for limited
sary adjudications’’). An eligible party purposes, and who meets the eligibility
may receive an award when it prevails, requirements of § 1262.104; and
unless it has unreasonably protracted (5) Agency with a capital A denotes
the proceedings, or the Agency’s posi- the NASA.
tion in the proceeding was substan- (c) Determination of Substantially jus-
tially justified, or special cir- tified. Whether or not the position of
cumstances make an award unjust. The the agency was substantially justified
rules in this part describe the parties shall be determined on the basis of the
eligible for awards and the proceedings administrative record, as a whole,
that are covered. They also explain which is made in the adversary adju-
how to apply for awards, and the proce- dication for which fees and other ex-
dures and standards that the National penses are sought.
Aeronautics and Space Administration [51 FR 15311, Apr. 23, 1986, as amended at 60
(NASA) will use in determining awards. FR 12668, Mar. 8, 1995]
(b) As used in this part:
(1) Adversary adjudication means: § 1262.102 When the Act applies.
(i) An adjudication under 5 U.S.C. 554 The Act applies to any adversary ad-
in which the position of the United judication pending or commenced be-
States is represented by counsel or oth- fore NASA on or after August 5, 1985. It
erwise, but excludes an adjudication also applies to any adversary adjudica-
for the purpose of establishing or fixing tion commenced on or after October 1,
a rate or for the purpose of granting or 1984, and finally disposed of before Au-
renewing a license; gust 5, 1985, provided that an applica-
(ii) Any appeal of a decision made tion for fees and expenses, as described
pursuant to section 6 of the Contract in subpart 1262.2, had been filed with
Disputes Act (CDA) of 1978, as amended the Agency within 30 days after August
(41 U.S.C. 605) before an agency board 5, 1985, and to any adversary adjudica-
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. 99–509, 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. 103–141, 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- and participates in the proceedings;
ficer or examiner, or otherwise, who (2) Appeals of decisions made pursu-
presided at the adversary adjudication; ant to section 6 of the Contract Dis-
(3) Position of the agency means, in ad- putes Act of 1978 (41 U.S.C. 605) before
dition to the position taken by the the Board of Contract Appeals (BCA) as
agency in the adversary adjudication, provided in Section 8 of that Act (41
the action or failure to act by the U.S.C. 607);
agency upon which the adversary adju- (3) Any hearing conducted under
dication is based; Chapter 38 of Title 31 (31 U.S.C. 3801, et
(4) Party, as defined in 5 U.S.C. 551(3), seq., as amended); and
includes a person or agency named or (4) Adjudications under the Religious
admitted as a party, or properly seek- Freedom Restoration Act of 1993 (42
ing and entitled as of right to be ad- U.S.C. 2000bb).
266
(b) The Act does not apply to: tural Marketing Act (12 U.S.C. 1141j(a))
(1) Any proceeding in which this with not more than 500 employees; and
Agency may prescribe a lawful present (5) Any other partnership, corpora-
or future rate; tion, association, unit of local govern-
(2) Proceedings to grant or renew li- ment, or organization with a net worth
censes (note, however, that proceedings of not more than $7 million and not
to modify, suspend, or revoke licenses more than 500 employees.
are covered if they are otherwise adver- (c) For the purpose of eligibility, the
sary adjudications); and net worth and number of employees of
(3) Proceedings which are covered by an applicant shall be determined as of
a compromise or settlement agree- the date the proceeding was initiated.
ment, unless specifically consented to (d) An applicant who owns an unin-
in such agreement. corporated business will be considered
(c) NASA may also designate a pro- as an ‘‘individual’’ rather than as a
ceeding as an adversary adjudication ‘‘sole owner of an unincorporated busi-
for purposes of the Act by so stating in ness’’ if the issues on which the appli-
an order initiating the proceeding or cant prevails are related primarily to
designating the matter for hearing. personal interests rather then to busi-
The Agency’s failure to designate a
ness interests.
proceeding as an adversary adjudica-
(e) The employees of an applicant in-
tion shall not preclude the filling of an
application by a party who believes the clude all persons who regularly per-
proceeding is covered by the Act; form services for remuneration for the
whether the proceeding is covered will applicant, under the applicant’s direc-
then be an issue for resolution in pro- tion and control. Part-time employees
ceedings on the application. shall be included on a proportional
(d) If a proceeding includes both mat- basis.
ters covered by the Act and matters (f) The net worth and number of em-
specifically excluded from coverage, ployees of the applicant and all of its
any award made will include only fees affiliates shall be aggregated to deter-
and expenses related to covered issues. mine eligibility. Any individual, cor-
poration, or other entity that directly
[60 FR 12668, Mar. 8, 1995] or indirectly controls or owns a major-
§ 1262.104 Eligibility of applicants. ity of the voting shares or other inter-
est of the applicant, or any corporation
(a) To be eligible for an award of at- or other entity of which the applicant
torney fees and other expenses, the ap- directly or indirectly owns or controls
plicant must be a ‘‘party’’ to the adver- a majority of the voting shares or
sary adjudication for which an award is other interest, will be considered an af-
sought. The applicant must show that filiate for purposes of this part, unless
it meets all conditions of eligibility set the adjudicative officer determines
out in this subpart and in subpart that such treatment would be unjust
1262.2. and contrary to the purposes of the Act
(b) The types of eligible applicants in light of the actual relationship be-
are as follows: tween the affiliated entities. In addi-
(1) An individual with a net worth of tion, the adjudicative officer may de-
not more than $2 million; termine that financial relationships of
(2) Any owner of an unincorporated the applicant other than those de-
business who has a net worth of not scribed in this paragraph constitute
more than $7 million, including both
special circumstances that would make
personal and business interests, and
an award unjust.
not more than 500 employees;
(g) An applicant that participates in
(3) A charitable or other tax-exempt
organization described in section a proceeding primarily on behalf of one
501(c)(3) of the Internal Revenue Code or more other persons or entities that
(26 U.S.C. 501(c)(3)) with not more than would be ineligible is not itself eligible
500 employees; for an award.
(4) A cooperative association as de- [51 FR 15311, Apr. 23, 1986, as amended at 60
fined in section 15(a) of the Agricul- FR 12668, Mar. 8, 1995]
267
§ 1262.105 14 CFR Ch. V (1–1–21 Edition)
§ 1262.105 Standards for awards. attorney, agent, or witness ordinarily

performs services;
(a) A prevailing applicant may re-
ceive an award subject to paragraph (b) (3) The time actually spent in the
of this section, for fees and expenses in- representation of the application;
curred in connection with a proceeding, (4) The time reasonably spent in light
or in a significant and discrete sub- of the difficulty or complexity of the
stantive portion of the proceeding, un- issues in the proceeding; and
less the position of the agency over (5) Such other factors as may bear on
which the applicant has prevailed was the value of the services provided.
substantially justified. No presumption (d) The reasonable cost of any study,
arises that the agency’s position was analysis, engineering report, test,
not substantially justified simply be- project, or similar matter prepared on
cause the agency did not prevail. The behalf of a party may be awarded, to
burden of proof that an award should the extent that the charge for the serv-
not be made to an eligible prevailing ice does not exceed the prevailing rate
applicant is on the agency. for similar services, and the study or
(b) An award, for any portion of the other matter was necessary for prepa-
adversary adjudication, will be denied ration of the applicant’s case.
if the applicant has unreasonably pro-
tracted the proceedings, or denied or § 1262.107 Rulemaking on maximum
reduced if special circumstances make rates for attorney fees.
the award sought unjust. (a) If warranted by an increase in the
cost of living or by special cir-
§ 1262.106 Allowable fees and ex- cumstances (such as limited avail-
penses. ability of attorneys qualified to handle
(a) Awards will be based on rates cus- certain types of proceedings), the
tomarily charged by persons engaged Agency may adopt regulations pro-
in the business of acting as attorneys, viding that attorney fees may be
agents, and expert witnesses, even if awarded at a rate higher then $75 per
the services were made available with- hour in some or all of the types of pro-
out charge or at a reduced rate to the ceedings covered by this part. This
applicant. Agency will conduct any rulemaking
(b) No award for the fee of an attor- proceedings for this purpose under the
ney or agent under these rules may ex- informal rulemaking procedures of the
ceed $75 per hour. No award to com- Administrative Procedure Act (5 U.S.C.
pensate an expert witness may exceed 553).
the highest rate at which this Agency (b) Any person may file with the
pays expert witnesses, which is $20 an Agency a petition for rulemaking to in-
hour (5 hours maximum) or maximum crease the maximum rate for attorney
daily rate of $100 (3 days maximum). fees. The petition should be addressed
However, an award may also include to the General Counsel, NASA Head-
the reasonable expenses of the attor- quarters, Washington, DC 20546; should
ney, agent, or witness as a separate identify the rate the petitioner be-
item, if the attorney, agent, or witness lieves the Agency should establish and
ordinarily charges clients separately the types of proceedings in which the
for such expenses. rate should be used; and should also ex-
(c) In determining the reasonableness plain fully the reasons why the higher
of the fee sought for an attorney, rate is warranted. The Agency will re-
agent, or expert witness, the adjudica- spond to the petition within 60 days
tive officer shall consider the fol- after it is filed, by initiating a rule-
lowing: making proceeding or denying the peti-
(1) If the attorney, agent, or witness tion, or taking other appropriate ac-
is in private practice, his or her cus- tion.
tomary fee for similar service, or, if an
employee of the applicant, the fully al- § 1262.108 Awards against other agen-
located cost of the services; cies.
(2) The prevailing rate for similar If an applicant is entitled to an
services in the community in which the award because it prevails over another
268
agency of the United States that par- (2) States that it is a cooperative as-
ticipates in a proceeding before NASA, sociation as defined in section 15(a) of
the award or an appropriate portion of the Agricultural Marketing Act (12
the award shall be made against that U.S.C. 1141j(a)).
agency, subject to § 1262.105(b), if it had (c) The application shall state the
taken a position that is not substan- amount of fees and expense for which
tially justified. an award is sought.
(d) The application may also include
§ 1262.109 Delegations of authority. any other matters that the applicant
(a) The NASA Administrator hereby wishes this Agency to consider in de-
delegates authority to the General termining whether and in what amount
Counsel or designee to take final ac- an award should be made.
tion on matters pertaining to the Act, (e) The application shall be signed by
other than the authority for final fee the applicant or an authorized officer
determination after Agency review or attorney of the applicant. It shall
pursuant to § 1262.308. also contain or be accompanied by a
written verification under oath or
(b) The NASA Administrator may, in
under penalty of perjury that the infor-
particularly specified matters under
mation provided in the application is
the Act, delegate authority to officials
true and correct.
other than those designated in para-
graph (a) of this section. [51 FR 15311, Apr. 23, 1986, as amended at 80
FR 42029, July 16, 2015]
Subpart 1262.2—Information § 1262.202 Net worth exhibit.
Required From Applicants (a) Each applicant except a qualified
§ 1262.201 Contents of application. tax-exempt organization or cooperative
association must provide with its ap-
(a) An application for an award of plication a detailed exhibit showing
fees and expenses under the Act shall the net worth of the applicant and any
identify the applicant and the pro- affiliates (as defined in § 1262.104(f)
ceeding for which an award is sought. when the proceeding was initiated. The
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 applicant’s 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 applicant’s 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 applicant’s belief that it of the specific exemptions from manda-
qualifies under such section; or tory disclosure under the Freedom of
269
§ 1262.203 14 CFR Ch. V (1–1–21 Edition)
Information Act, 5 U.S.C. 552(b)(1)–(9), (b) If review or reconsideration is

why public disclosure of the informa- sought or taken of a decision as to
tion would adversely affect the appli- which an applicant believes it has pre-
cant, and why disclosure is not re- vailed, proceedings for the award of
quired in the public interest. The mate- fees shall be stayed pending final dis-
rials in question shall be served on position of the underlying controversy.
counsel representing the agency (c) For purposes of this rule, final
against which the applicant seeks an disposition means the latter of:
award, but need not be served on any (1) The date on which the last ‘‘ini-
other party to the proceeding. If the tial decision’’, in a bifurcated pro-
adjudicative officer finds that the in- ceeding, or other recommended disposi-
formation should not be withheld from tion of the merits (both as to liability
disclosure, it shall be placed in the and amount, if applicable) of the pro-
public record of the proceeding. Other- ceeding, by an adjudicative officer or
wise, any request to inspect or copy intermediate reviewer, becomes admin-
the exhibit shall be disposed of in ac- istratively final;
cordance with the Agency’s regulations (2) The date on which an order is
under the Freedom of Information Act, issued disposing of any petitions for re-
at 14 CFR part 1206. consideration;
(3) If no petition for reconsideration
FR 42029, July 16, 2015] is filed, the last date on which such a
petition could have been filed; or
§ 1262.203 Documentation of fees and (4) The date of a final order or any
expenses. other final resolution of the pro-
The application shall be accompanied ceeding, such as a settlement or a vol-
by full documentation of the fees and untary dismissal, which is not subject
expenses, including the cost of any to a petition for reconsideration.
study, analysis, engineering report,
test, project, or similar matter for Subpart 1262.3—Procedures for
which an award is sought. A separate Considering Applications
itemized statement, accompanied by
an oath of affirmation under penalty of § 1262.301 Filing and service of docu-
perjury (28 U.S.C. 1746), shall be sub- ments.
mitted for each professional firm or in- Any application for an award or
dividual whose services are covered by other pleading or document related to
the application, showing the hours an application shall be filed and served
spent in connection with the pro- on all parties to the proceeding in the
ceeding by each individual, a descrip- same manner as other pleadings in the
tion of the specific services performed, proceeding, except as provided in
the rate at which each fee has been § 1262.202(b) for confidential financial
computed, any expenses for which re- information.
imbursement is sought, the total
amount paid or payable by the appli- § 1262.302 Answer to application.
cant or by any other person or entity (a) Within 30 calendar days after
for the services provided. The adjudica- service of an application, counsel rep-
tive officer may, in addition, require resenting the agency against which an
the applicant to provide vouchers, re- award is sought may file an answer to
ceipts, or other substantiation for any the application. Unless agency counsel
expenses claimed. requests an extension of time for filing
or files a statement of intent to nego-
§ 1262.204 When an application may be tiate under paragraph (b) of this sec-
filed. tion, failure to file an answer within
(a) An application may be filed when- the 30-day period may be treated as a
ever the applicant has prevailed in the consent to the award requested.
proceeding or in a significant and dis- (b) If agency counsel and the appli-
crete substantive portion of the pro- cant believe that the issues in the fee
ceeding, but in no case later than 30 application can be settled, they may
days after the Agency’s final disposi- jointly file a statement of their intent
tion of the proceeding. to negotiate a settlement. The filing of
270
this statement shall extend the time the written record. However, on re-
for filing an answer for an additional 30 quest of either the applicant or agency
calendar days, and further extensions counsel, or on his or her own initiative,
may be granted by the adjudicative of- the adjudicative officer may order fur-
ficer upon request by agency counsel ther proceedings, such as an informal
and the applicant. conference, oral argument, additional
(c) The answer shall explain in detail written submissions, or, as to issues
any objections to the award requested other than substantial justification
and identify the facts relied on in sup- (such as the applicant’s eligibility or
port of agency counsel’s position. If the substantiation of fees and expenses),
answer is based on any alleged facts pertinent discovery or an evidentiary
not already in the record of the pro- hearing. Such further proceedings shall
ceeding, agency counsel shall include be held only when necessary for full
with the answer either supporting affi- and fair resolution of the issues arising
davits or a request for further pro- from the application, and shall be con-
ceedings under § 1262.306. ducted as promptly as possible.
(b) A request that the adjudicative
§ 1262.303 Reply. officer order further proceedings under
Within 15 calendar days after service this section shall specifically identify
of an answer, the applicant may file a the information sought or the disputed
reply. If the reply is based on any al- issues and shall explain why the addi-
leged facts not already in the record of tional proceedings are necessary to re-
the proceeding, the applicant shall in- solve the issues.
clude with the reply either supporting
affidavits or a request for further pro- § 1262.307 Decision.
ceedings under § 1262.306. (a) The adjudicative officer shall
issue an initial decision on the applica-
§ 1262.304 Comments by other parties.
tion with 90 calendar days after com-
Any party to a proceeding other than pletion of proceedings on the applica-
the applicant and agency counsel may tion. The decision shall include written
file comments about an application findings and conclusions on such of the
within 30 calendar days after it is following as are relevant to the deci-
served, or about an answer within 15 sion:
calendar days after it is served. A com- (1) The applicant’s eligibility and
menting party may not participate fur- status as a prevailing party;
ther in proceedings on the application (2) Whether the Agency’s position
unless the adjudicative officer deter- was substantially justified;
mines that the public interest requires (3) Whether the applicant unreason-
such participation in order to permit ably protracted the proceedings, or
full exploration of matters raised in whether special circumstances make
the comments. an award unjust; and
(4) The amounts, if any, awarded for
§ 1262.305 Settlement. fees and expenses with an explanation
The applicant and agency counsel of the reasons for any difference be-
may agree on a proposed settlement of tween the amount requested and the
the award before final action on the ap- amount awarded. Further, if the appli-
plication, either in connection with a cant has sought an award against more
settlement of the underlying pro- than one agency, the decision shall al-
ceeding, or after the underlying pro- locate responsibility for payment of
ceeding has been concluded. If a pre- any award made among the agencies,
vailing party and agency counsel agree and shall explain the reasons for the al-
on a proposed settlement of an award location made.
before an application has been filed, (b) When the Agency appeals the un-
the application shall be filed with the derlying merits of an adversary adju-
proposed settlement. dication, no decision on an application
for fees and other expenses in connec-
§ 1262.306 Further proceedings. tion with that adversary adjudication
(a) Ordinarily, the determination of shall be made until a final and
an award will be made on the basis of unreviewable decision is rendered by
271
§ 1262.308 14 CFR Ch. V (1–1–21 Edition)
the court on the appeal or until the un- of the amount of the award, was unsup-
derlying merits of the case have been ported by the substantial evidence.
finally determined pursuant to the ap-
peal. FR 12669, Mar. 8, 1995]
FR 12669, Mar. 8, 1995] § 1262.310 Payment of award.
§ 1262.308 Agency review. (a) An applicant seeking payment of

an award shall submit to the paying
(a) Within 30 calendar days of the re- agency a copy of the Agency’s final de-
ceipt of the adjudicative officer’s ini- cision granting the award, accom-
tial decision on the fee application, ei- panied by a statement that the appli-
ther the applicant or agency counsel cant will not seek review of the deci-
may seek Agency review of the decision in the United States courts. The
sion; or, the NASA Administrator, submission to NASA should be ad-
upon the recommendation of the Gen- dressed as follows:
eral Counsel or other designee, may de-
cide to review the decision based on the Director, Financial Management Division,
record. Whether to review a decision is NASA Headquarters, Washington, DC 20546.
solely a matter within the discretion of (b) The Agency will pay the amount
the NASA Administrator. A 15-day no- awarded to the applicant within 60
tice of such review will be given the ap- days, if feasible, unless judicial review
plicant and agency counsel, and a de- of the award or of the underlying deci-
termination made not later than 45 sion of the adversary adjudication has
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-
dicative officer for further proceedings. PART 1263—DEMAND FOR INFOR-
(b) If neither the applicant nor agen- MATION OR TESTIMONY SERVED
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-
ficer’s initial decision on the fee appli- Sec.
cation shall be the final administrative 1263.100 Purpose and scope.
decision of the Agency 45 days after it 1263.101 Definitions.
is issued. 1263.102 Procedure when a demand is issued
in a legal proceeding involving the
§ 1262.309 Judicial review. United States.
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.
U.S.C. 504(c)(2), which provides: If a 1263.104 Production, disclosure, or testi-
party other than the United States is mony prohibited unless approved.
dissatisfied with a determination of 1263.105 Considerations in determining
fees and other expenses made under whether production or disclosure should
[this part], that party may, within 30 be made.
days after the [final administrative] 1263.106 Final decision of the General Coun-
determination is made, appeal the de- sel as to production, disclosure, or ap-
termination to the court of the United pearance.
1263.107 Procedure to be followed when re-
States having jurisdiction to review
sponse to a demand is required before the
the merits of the underlying decision of General Counsel or designate has reached
the agency adversary adjudication. The a final decision.
court’s determination of any appeal 1263.108 Procedure in the event of an ad-
heard under this [authority] shall be verse ruling.
based solely on the factual record made 1263.109 Considerations in determining
before the agency. The court may mod- whether these procedures should be
ify the determination of fees and other waived.
expenses only if the court finds that 1263.110 Intention to provide guidance.
the failure to make an award of fees AUTHORITY: 44 U.S.C. 3102, 51 U.S.C.
and other expenses, or the calculation 20113(a).
272
SOURCE: 55 FR 28370, July 11, 1990, unless part of official duties or because of offi-
otherwise noted. cial status while such personnel were
employed by or on behalf of the NASA.
(a) This part sets forth procedures to § 1263.102 Procedure when a demand
be followed with respect to the produc- is issued in a legal proceeding in-
tion or disclosure of official informa- volving the United States.
tion or records and/or the testimony of Whenever an employee or former em-
present or former employees of the Na- ployee of NASA receives a demand for
tional Aeronautics and Space Adminis- production of materials or the disclo-
tration relating to any official infor- sure of information, or for appearance
mation acquired by any employee of and testimony as a witness in a legal
NASA as part of the performance of proceeding in which NASA or the
that employee’s official duties or by United States is a party, the employee
virtue of that employee’s official sta- shall immediately notify in writing the
tus, where a demand for such produc- Installation Chief Counsel for Installa-
tion, disclosure, or testimony is issued tion employees, the General Counsel
in a federal, state, or other legal pro- for Headquarters employees, or the At-
ceeding. torney-Adviser to the Inspector Gen-
(b) This part does not apply to any eral (IG) for IG employees. This notice
legal proceeding in which an employee must include copies of all pertinent
is to testify, while in leave status, as legal documents and a summary of the
to facts or events that are in no way employee’s knowledge concerning the
related to the official duties of that legal proceeding in question. When nec-
employee or to the functions of the essary, this information may be re-
NASA. ported orally, followed by a written
confirmation.
§ 1263.103 Procedure when a demand
(a) Agency—As referred to in this reg- is issued in a legal proceeding not
ulation, Agency means the National involving the United States.
Aeronautics and Space Administration. Whenever an employee or former em-
(b) Demand—A subpoena, order, or ployee of the Agency receives a de-
authorized request for official informa- mand for production or disclosure of of-
tion, or for the appearance and testi- ficial information in a legal proceeding
mony of NASA personnel, issued as the not involving the United States, the
result of a legal proceeding. employee shall immediately notify the
(c) Employee—Includes all present and General Counsel or designate. In addi-
former officers and employees of the tion, the party causing the demand to
National Aeronautics and Space Ad- be issued shall furnish the Office of
ministration who are or have been ap- General Counsel a written, detailed
pointed by, or subject to the super- statement of the information sought
vision, jurisdiction, or control of the and its relevance to the proceeding in
Administrator of the agency. connection with which it is requested.
(d) Legal proceeding—Includes any The General Counsel or designate may
proceeding before a court of law or eq- waive the requirement that a written
uity, administrative board or commis- summary be furnished where he/she
sion, hearing officer, or other body con- deems it unnecessary. The election to
ducting a legal or administrative pro- waive the requirement of a written
ceeding. summary in no way constitutes a waiv-
(e) Legal proceeding involving the er of any other requirements set forth
United States—Any proceeding before a in this section.
court of law or equity brought on be-
half of, or against the United States, § 1263.104 Production, disclosure, or
NASA or NASA employees, and result- testimony prohibited unless ap-
ing from alleged NASA operations. proved.
(f) Official information—All informa- If an employee or former employee
tion of any kind, however stored, that receives a demand to produce or dis-
is in the custody and control of NASA close official information, that em-
or was acquired by NASA personnel as ployee may not disclose such materials
273
§ 1263.105 14 CFR Ch. V (1–1–21 Edition)
or information or testify regarding § 1263.107 Procedure to be followed

same without the prior approval of the when response to a demand is re-
General Counsel or designate. quired before the General Counsel
or designate has reached a final de-
§ 1263.105 Considerations in deter- cision.
mining whether production or dis-
closure should be made. If a response to a demand is required
before the General Counsel or des-
The General Counsel or designate ignate can render a decision, the em-
shall direct employees to honor all
ployee subpoenaed, or an agency attor-
valid demands. In deciding whether a
ney or other government attorney des-
particular demand is valid, the General
Counsel or designate may consider: ignated for that purpose, shall appear
(a) Whether such disclosure or ap- on behalf of the employee and shall fur-
pearance is appropriate under the rules nish the authority which issued the de-
of procedure governing the legal pro- mand a copy of these regulations, and
ceeding in which the demand arose. inform the authority that the demand
(b) Whether disclosure is appropriate has been referred for the prompt con-
under the relevant substantive law sideration of the General Counsel, and
concerning privilege. shall respectfully request the authority
(c) Whether disclosure might improp- to stay the demand until the General
erly reveal trade secrets, or commer- Counsel or designate has rendered a
cial or financial information that is final decision.
confidential or privileged.
(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
issues not related to its mission. has been made, or an agency or other
governmental attorney, shall respect-
§ 1263.106 Final decision of the Gen- fully decline to comply with the de-
eral Counsel as to production, dis- mand and shall cite, ‘‘United States ex
closure, or appearance. rel. Touhy v. Ragen, et al., 340 U.S. 462
After consideration of the factors (1951).’’
enumerated in § 1263.105 (a) through (f),
the General Counsel or designate may § 1263.109 Considerations in deter-
authorize the testimony, disclosure, or mining whether these procedures
production as demanded; limit the sub- should be waived.
ject matter or extent of any testimony, The General Counsel or designate
disclosure, or production through writ- may grant permission to deviate from
ten instruction to the employee; or the policy or procedure established in
deny permission for any testimony, these regulations. Permission to devi-
disclosure, or production. Where appro- ate will be granted when the deviation
priate, the General Counsel or des- will not interfere with matters of oper-
ignate may seek withdrawal of the de- ational necessity and when:
mand by the authorizing party. Any (a) It is necessary to prevent a mis-
decision of the General Counsel or des- carriage of justice; or
ignate shall be final and shall be com-
(b) The deviation is in the best inter-
municated to the employee and the
ests of NASA or the United States.
party causing the demand to be issued.
274
§ 1263.110 Intention to provide guid- 1264.140 Stay pending appeal.

ance. 1264.141 Judicial review.
1264.142 Collection of civil penalties and as-
This part is intended to provide guid- sessments.
ance for the internal operation of 1264.143 Right to administrative offset.
NASA and is not intended to, does not, 1264.144 Deposit in Treasury of United
and may not be relied upon to create States.
any right of benefit—substantive or 1264.145 Compromise or settlement.
procedural—enforceable at law against
the United States or NASA. APPENDIX A TO PART 1264—NOTICE TO CON-
SENT TO THE CHAIRPERSON, NASA BOARD
OF CONTRACT APPEALS (BCA), OR DES-
PART 1264—IMPLEMENTATION OF IGNEE, AS PRESIDING OFFICER
THE PROGRAM FRAUD CIVIL AUTHORITY: 31 U.S.C. 3809, 51 U.S.C.
PENALTIES ACT OF 1986 20113(a).
SOURCE: 52 FR 39498, Oct. 22, 1987, unless
Sec. otherwise noted.
1264.100 Basis and purpose.
1264.101 Definitions. § 1264.100 Basis and purpose.
1264.102 Basis for civil penalties and assess-
ments. (a) Basis. This part implements the
1264.103 Investigation. Program Fraud Civil Remedies Act of
1264.104 Review by the reviewing official. 1986, Pub. L. 99–509, sections 6101–6104,
1264.105 Prerequisites for issuing a com- 100 Stat. 1874 (October 21, 1986), to be
plaint. codified at 31 U.S.C. 3801–3812. 31 U.S.C.
1264.106 Complaint. 3809 of the statute requires each au-
1264.107 Service of complaint.
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 (b) Purpose. This part does the fol-
the presiding officer. lowing:
1264.111 Notice of hearing. (1) Establishes administrative proce-
1264.112 Parties to the hearing. dures for imposing civil penalties and
1264.113 Separation of functions.
assessments against persons who make,
1264.114 Ex parte contacts.
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. fictitious, or fraudulent claims or writ-
1264.117 Authority of the presiding officer. ten statements to authorities or to
1264.118 Prehearing conferences. their agents; and
1264.119 Disclosure of documents. (2) Specifies the hearing and appeal
1264.120 Discovery. rights of persons subject to allegations
1264.121 Exchange of witness lists, state-
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. (a) ALJ means an Administrative
1264.125 Form, filing, and service of papers. Law Judge in the authority appointed
1264.126 Computation of time. pursuant to 5 U.S.C. 3105 or detailed to
1264.127 Motions.
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- be referred to as the presiding officer.
alties and assessments. (b) Authority means the National Aer-
1264.131 Location of hearing. onautics and Space Administration
1264.132 Witnesses. (NASA).
1264.133 Evidence. (c) Authority head means the NASA
1264.134 The record. Administrator or Deputy Adminis-
1264.135 Post-hearing briefs.
trator or designee. For purposes of this
1264.136 Initial decision.
1264.137 Reconsideration of initial decision. regulation, the NASA General Counsel
1264.138 Appeal to authority head. or Deputy General Counsel is des-
1264.139 Stays ordered by the Department of ignated legal counsel to the Authority
Justice. head.
275
§ 1264.101 14 CFR Ch. V (1–1–21 Edition)
(d) Benefit means, in the context of (k) Initial decision means the written
statement, anything of value, including decision of the ALJ or presiding officer
but not limited to any advantage, pref- required by § 1264.109 or § 1264.136, and
erence, privilege, license, permit, fa- includes a revised initial decision
vorable decision, ruling, status, or loan issued following a remand or a motion
guarantee. for reconsideration.
(e) Claim means any request, demand, (l) Investigating official means the
or submission— NASA Inspector General, or designee
(1) Made to the authority for prop- who is serving in a position for which
erty, services, or money (including the rate of basic pay is not less than
money representing grants, loans, in- the minimum rate of basic pay for
surance, or benefits); grade GS–16 under the General Sched-
(2) Made to a recipient of property, ule.
services, or money from the authority (m) Knows or has reason to know,
or to a party to a contract with the au- means that a person with respect to a
thority— claim or statement—
(i) For property or services if the (1) Has actual knowledge that the
United States— claim or statement is false, fictitious,
(A) Provided such property or serv- or fraudulent;
ices; (2) Acts in deliberate ignorance of the
(B) Provided any portion of the funds truth or falsity of the claim or state-
for the purchase of such property or ment; or
services; or (3) Acts in reckless disregard of the
(C) Will reimburse such recipient or truth or falsity of the claim or state-
party for the purchase of such property ment.
or services; or
(n) Makes, wherever it appears, shall
(ii) For the payment of money (in-
include the terms presents, submits,
cluding money representing grants,
and causes to be made, presented, or
loans, insurance, or benefits) if the
submitted. As the context requires,
United States—
making or made shall likewise include
(A) Provided any portion of the
the corresponding forms of such terms.
money requested or demanded; or
(o) Person means any individual,
(B) Will reimburse such recipient or
partnership, corporation, association,
party for any portion of the money
or private organization, and includes
paid on such request or demand; or
the plural of that term.
(iii) Made to the authority which has
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
(g) Consent hearing means that the Title 5 pursuant to the competitive ex-
authority and the defendant consent, amination process applicable to admin-
as provided in § 1264.106(c), that the pre- istrative law judges;
siding officer be the Chairperson of the (2) Is appointed by the authority
NASA Board of Contract Appeals head to conduct hearings under this
(BCA). The Chairperson may designate part;
another administrative judge of the (3) Is assigned to cases in rotation so
NASA BCA as presiding officer in a far as practicable;
consent hearing. (4) May not perform duties incon-
(h) Defendant means any person al- sistent with the duties and responsibil-
leged in a complaint under § 1264.106 to ities of a presiding officer;
be liable for a civil penalty or assess- (5) Is entitled to pay prescribed by
ment under § 1264.102. the Office of Personnel Management
(i) Government means the United independently of ratings and rec-
States Government. ommendations made by the authority
(j) Individual means a natural person. and in accordance with Chapter 51 of
276
such Title and Subchapter III of Chap- terial fact which is false, fictitious, or
ter 53 of such Title; fraudulent;
(6) Is not subject to performance ap- (iii) Includes or is supported by any
praisal pursuant to Chapter 43 of such written statement that—
Title; and (A) Omits a material fact;
(7) May be removed, suspended, fur- (B) Is false, fictitious, or fraudulent
loughed, or reduced in grade or pay as a result of such omission; and
only for good cause established and de- (C) Is a statement in which the per-
termined by the Merit Systems Protec- son making such statement has a duty
tion Board on the record after oppor- to include such material fact; or
tunity for hearing by such Board. (iv) Is for payment for the provision
(q) Representative means an attorney of property or services which the per-
who is in good standing of the bar of son has not provided as claimed—
any State, Territory, or possession of Shall be subject, in addition to any
the United States, or of the District of other remedy that may be prescribed
Columbia, or of the Commonwealth of by law, to a civil penalty of not more
Puerto Rico. than $11,665 for each such claim.
(r) Reviewing official means the NASA (2) Each voucher, invoice, claim
Associate Administrator for Manage- form, or other individual request or de-
ment. For purposes of this regulation, mand for property, services, or money
the Associate General Counsel (Gen- constitutes a separate claim.
eral) or designee is designated legal (3) A claim shall be considered made
counsel to the Reviewing official. to the authority, recipient, or party
(s) Statement means any representa- when such claim is actually made to an
tion, certification, affirmation, docu- agent, fiscal intermediary, or other en-
ment, record, or accounting or book- tity, including any State or political
keeping entry made— subdivision thereof, acting for or on be-
(1) With respect to a claim or to ob- half of the authority, recipient, or
tain the approval or payment of a party.
claim (including relating to eligibility (4) Each claim for property, services,
to make a claim); or or money is subject to a civil penalty
(2) With respect to (including relat- regardless of whether such property,
ing to eligibility for)— services, or money is actually delivered
(i) A contract with, or a bid or pro- or paid.
posal for a contract with; or (5) If the Government has made any
(ii) A grant, loan, or benefit from the payment (including transferred prop-
authority, or any State, political sub- erty or provided services) on a claim, a
division of a State, or other party, if person subject to a civil penalty under
the United States Government provides paragraph (a)(1) of this section shall
any portion of the money or property also be subject to an assessment of not
under such contract or for such grant, more than twice the amount of such
loan, or benefit, or if the Government claim or that portion thereof that is
will reimburse such State, political determined to be in violation. Such as-
subdivision, or party for any portion of sessment shall be in lieu of damages
the money or property under such con- sustained by the Government because
tract or for such grant, loan, or ben- of such claim.
efit. (b) Statements. (1) Any person who
[52 FR 39498, Oct. 22, 1987, as amended at 54 makes a written statement that—
FR 599, Jan. 9, 1989] (i) The person knows or has reason to
know—
§ 1264.102 Basis for civil penalties and (A) Asserts a material fact which is
assessments. false, fictitious, or fraudulent; or
(a) Claims. (1) Any person who makes (B) Is false, fictitious, or fraudulent
a claim that the person knows or has because it omits a material fact that
reason to know— the person making the statement has a
(i) Is false, fictitious, or fraudulent; duty to include in such statement; and
(ii) Includes or is supported by any (ii) Contains or is accompanied by an
written statement which asserts a ma- express certification or affirmation of
277
§ 1264.103 14 CFR Ch. V (1–1–21 Edition)
the truthfulness and accuracy of the tification that the documents sought
contents of the statement— have been produced, or that such docu-
Shall be subject, in addition to any ments are not available and the rea-
other remedy that may be prescribed sons therefor, or that such documents,
by law, to a civil penalty of not more suitably identified, have been withheld
than $11,665 for each such statement. based upon the assertion of an identi-
(2) Each written representation, cer- fied privilege.
tification, or affirmation constitutes a (b) If the investigating official con-
separate statement. cludes that an action under the Pro-
(3) A statement shall be considered gram Fraud Civil Remedies Act may be
made to the authority when such state- warranted, the investigating official
ment is actually made to an agent, fis- shall submit a report containing the
cal intermediary, or other entity, in- findings and conclusions of such inves-
cluding any State or political subdivi- tigation to the reviewing official.
sion thereof, acting for or on behalf of (c) Nothing in this section shall pre-
the authority. clude or limit the investigating offi-
(c) No proof of specific intent to de- cial’s discretion to refer allegations di-
fraud is required to establish liability rectly to the Department of Justice for
under this section. suit under the False Claims Act or
(d) In any case in which it is deter- other civil relief, or to defer or post-
mined that more than one person is lia- pone a report of referral to the review-
ble for making a claim or statement ing official to avoid interference with a
under this section, each such person criminal investigation or prosecution.
may be held liable for a civil penalty (d) Nothing in this section modifies
under this section. any responsibility of the investigating
(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; 82 FR 28763, June 26, 2017; that a person is liable under § 1264.102
82 FR 48762, Oct. 20, 2017; 83 FR 2046, Jan. 16, of this part, the reviewing official shall
2018; 84 FR 13115, Apr. 4, 2019; 84 FR 14608, transmit to the Attorney General a
Apr. 11, 2019; 85 FR 16546, Mar. 24, 2020] written notice of the reviewing offi-
cial’s intention to issue a complaint
§ 1264.103 Investigation. under § 1264.106.
(a) If an investigating official con- (b) Such notice shall include—
cludes that a subpoena pursuant to the (1) A statement of the reviewing offi-
authority conferred by 31 U.S.C. 3804(a) cial’s reasons for issuing a complaint;
is warranted— (2) A statement specifying the evi-
(1) The subpoena so issued shall no- dence that supports the allegations of
tify the person to whom it is addressed liability;
of the authority under which the sub- (3) A description of the claims or
poena is issued and shall identify the statements upon which the allegations
records or documents sought; of liability are based;
(2) The subpoena may designate the (4) An estimate of the amount of
person, to act on the investigating offi- money or the value of property, serv-
cial’s behalf, to receive the documents ices, or other benefits requested or de-
sought; and manded in violation of § 1264.102 of this
(3) The person receiving such subpart;
poena shall be required to tender to the (5) A statement of any exculpatory or
investigating official or the person des- mitigating circumstances that may re-
ignated to receive the documents a cer- late to the claims or statements known
278
by the reviewing official or the inves- that are the basis for the alleged liabil-
tigating official; and ity, and the reasons why liability alleg-
(6) A statement that there is a rea- edly arises from such claims or state-
sonable prospect of collecting an ap- ments;
propriate amount of penalties and as- (2) The maximum amount of pen-
sessments. Such a statement may be alties and assessments for which the
based upon information then known or defendant may be held liable;
an absence of any information indi- (3) Instructions for filing an answer
cating that the person may be unable to request a hearing, including a spe-
to pay such an amount. cific statement of the defendant’s right
to request a hearing by filing an an-
§ 1264.105 Prerequisites for issuing a swer and to be represented by a rep-
complaint. resentative; and
(a) The reviewing official may issue a (4) That failure to file an answer
complaint under § 1264.106 only if— within 30 days of service of the com-
(1) The Department of Justice ap- plaint will result in the imposition of
proves the issuance of a complaint in a the maximum amount of penalties and
written statement described in 31 assessments without right to appeal as
U.S.C. 3803(b)(1); and provided in § 1264.109.
(2) In the case of allegations of liabil- (c) At the same time the defendant is
ity under § 1264.102(a) with respect to a served with the complaint, he or she
claim, the reviewing official deter- shall also be served with a—
mines that, with respect to such claim (1) Notice to Consent to the Chair-
or a group of related claims submitted person of the NASA Board of Contract
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-
[52 FR 39498, Oct. 22, 1987, as amended at 54
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
the same time shall include only those (a) Service of a complaint must be
claims arising from the same trans- made by certified or registered mail or
action (e.g., grant, loan, application, or by delivery in any manner authorized
contract) that are submitted simulta- by Rule 4(d) of the Federal Rules of
neously as part of a single request, de- Civil Procedure.
mand, or submission. (b) Proof of service, stating the name
(c) Nothing in this section shall be and address of the person on whom the
construed to limit the reviewing offi- complaint was served, and the manner
cial’s authority to join in a single com- and date of service, may be made by—
plaint against a person claims that are (1) Affidavit of the individual serv-
unrelated or were not submitted simul- icing the complaint by delivery;
taneously, regardless of the amount of (2) A United States Postal Service re-
money or the value of property or serv- turn receipt card acknowledging re-
ices demanded or requested. ceipt; or
(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.
279
§ 1264.109 14 CFR Ch. V (1–1–21 Edition)
(b) In the answer, the defendant— alties and assessments allowed under
(1) Shall admit or deny each of the the statute.
allegations of liability made in the (d) Except as otherwise provided in
complaint; this section, by failing to file a timely
(2) Shall state any defense on which answer, the defendant waives any right
the defendant intends to rely; to further review of the penalties and
(3) May state any reasons why the de- assessments imposed under paragraph
fendant contends that the penalties (c) of this section, and the initial deci-
and assessments should be less than sion shall become final and binding
the statutory maximum; and upon the parties 30 days after it is
(4) Shall state the name, address, and issued.
telephone number of the person author-
(e) If, before such an initial decision
ized by the defendant to act as defend-
becomes final, the defendant files a
ant’s representative, if any.
motion with the presiding officer seek-
(c) If the defendant is unable to file
ing to reopen on the grounds that ex-
an answer meeting the requirements of
traordinary circumstances prevented
paragraph (b) of this section within the
time provided, the defendant may, be- the defendant from filing an answer,
fore the expiration of 30 days from the initial decision shall be stayed
service of the complaint, file with the pending the presiding officer’s decision
reviewing official a general answer de- on the motion.
nying liability and requesting a hear- (f) If, on such motion, the defendant
ing, and a request for an extension of can demonstrate extraordinary cir-
time within which to file an answer cumstances excusing the failure to file
meeting the requirements of paragraph a timely answer, the presiding officer
(b) of this section. The reviewing offi- shall withdraw the initial decision
cial, as provided in § 1264.110, shall file under paragraph (c) of this section, if
promptly with the presiding officer the such a decision has been issued, and
complaint, the general answer denying shall grant the defendant an oppor-
liability, and the request for an exten- tunity to answer the complaint.
sion of time. For good cause shown, the (g) A decision of the presiding officer
presiding officer may grant the defend- denying a defendant’s motion under
ant up to 30 additional days within paragraph (e) of this section is not sub-
which to file an answer meeting the reject to reconsideration under § 1264.137.
quirements of paragraph (b) of this sec- (h) The defendant may appeal to the
tion. authority head the decision denying a
motion to reopen by filing a notice of
FR 600, Jan. 9, 1989] appeal with the authority head within
15 days after the presiding officer de-
§ 1264.109 Default upon failure to file nies the motion. The timely filing of a
an answer. notice of appeal shall stay the initial
(a) If the defendant does not file an decision until the authority head de-
answer within the time prescribed in cides the issue.
§ 1264.108(a), the reviewing official may (i) If the defendant files a timely no-
refer the complaint to the presiding of- tice of appeal with the authority head,
ficer. the presiding officer shall forward the
(b) Upon the referral of the com- record of the proceeding to the author-
plaint, the presiding officer shall ity head.
promptly serve on defendant, in the (j) The authority head shall decide
manner prescribed in § 1264.107, a notice expeditiously whether extraordinary
that an initial decision will be issued circumstances excuse the defendant’s
under this section. failure to file a timely answer based
(c) If the defendant fails to answer, solely on the record before the pre-
the presiding officer shall assume the siding officer.
facts alleged in the complaint to be (k) If the authority head decides that
true and, if such facts establish liabil- extraordinary circumstances excused
ity under § 1264.102, the presiding offi- the defendant’s failure to file a timely
cer shall issue an initial decision im- answer, the authority head shall re-
posing the maximum amount of pen- mand the case to the presiding officer
280
with instructions to grant the defend- Claims Act, as amended, may partici-
ant an opportunity to answer. pate in these proceedings to the extent
(l) If the authority head decides that authorized by the provisions of that
the defendant’s failure to file a timely Act. (See section 3 of the False Claims
answer is not excused, the authority Amendments Act of 1986, Pub. L. 99–562,
head shall reinstate the initial decision October 27, 1986.)
of the presiding officer, which shall be-
come final and binding upon the par- § 1264.113 Separation of functions.
ties 30 days after the authority head (a) The investigating official, the re-
issues such decision. viewing official, and any employee or
[52 FR 39498, Oct. 22, 1987, as amended at 80 agent of the authority who takes part
FR 42029, July 16, 2015] in investigating, preparing, or pre-
senting a particular case may not, in
§ 1264.110 Referral of complaint and such case or a factually related case—
answer to the presiding officer.
(1) Participate in the hearing as the
Upon receipt of an answer, the re- presiding officer;
viewing official shall file the complaint (2) Participate or advise in the initial
and answer with the presiding officer, decision or the review of the initial de-
and include the name and address of cision by the authority head, except as
the attorney who will represent the au- a witness or as the authority rep-
thority before the presiding officer. resentative in the administrative or ju-
dicial proceedings; or
§ 1264.111 Notice of hearing.
(3) Make the collection of penalties
(a) When the presiding officer re- and assessments under 31 U.S.C. 3806.
ceives the complaint and answer, the (b) The presiding officer shall not be
presiding officer shall promptly serve a responsible to, or subject to the super-
notice of hearing upon the defendant in vision or direction of, the investigating
the manner prescribed by § 1264.107. At official or the reviewing official.
the same time, the presiding officer
(c) Except as provided in paragraph
shall send a copy of such notice to the
(a) of this section, the representative
representative of the authority.
for the Government must be a member
(b) Such notice shall include—
of the legal staff of the authority.
(1) The tentative time and place, and
Nothing in this paragraph is intended
the nature of the hearing;
to prevent assistance to the Govern-
(2) The legal authority and jurisdic-
ment representative by attorneys in
tion under which the hearing is to be
the NASA organization or other gov-
held;
ernmental entities.
(3) The matters of fact and law as-
serted; § 1264.114 Ex parte contacts.
(4) A description of the procedures for
the conduct of the hearing; No party or person (except employees
(5) The name, address, and telephone of the presiding officer’s office) shall
number of the representative of the au- communicate in any way with the pre-
thority and of the defendant; siding officer on any matter at issue in
(6) An opportunity for a settlement a case, unless on notice and oppor-
conference or proposals of adjustment tunity for all parties to participate.
through alternative dispute resolu- This provision does not prohibit a per-
tions, if not already explored; and son or party from inquiring about the
(7) Such other matters as the pre- status of a case or asking routine ques-
siding officer deems appropriate. tions concerning administrative func-
tions or procedures.
FR 42029, July 16, 2015] [54 FR 600, Jan. 9, 1989]
§ 1264.112 Parties to the hearing. § 1264.115 Disqualification of review-

(a) The parties to the hearing shall ing official or presiding officer.
be the defendant and the authority. (a) A reviewing official or presiding
(b) Pursuant to 31 U.S.C. 3730(c)(5), a officer in a particular case may dis-
private plaintiff under the False qualify himself or herself at any time.
281
§ 1264.116 14 CFR Ch. V (1–1–21 Edition)
(b) A party may file with the pre- (g) Present oral arguments at the
siding officer a motion for disqualifica- hearing as permitted by the presiding
tion of a reviewing official or a pre- officer; and
siding officer. Such motion shall be ac- (h) Submit written briefs and pro-
companied by an affidavit alleging per- posed findings of fact and conclusions
sonal bias or other reason for disquali- of law after the hearing.
fication.
(c) Such motion and affidavit shall be
FR 42029, July 16, 2015]
filed promptly upon the party’s dis-
covery of reasons for disqualification, § 1264.117 Authority of the presiding
or such objections shall be deemed officer.
waived.
(a) The presiding officer shall con-
(d) Such affidavit shall state specific
duct a fair and impartial hearing, avoid
facts that support the party’s belief
delay, maintain order, and assure that
that personal bias or other reason for
a record of the proceeding is made.
disqualification exists and the time
and circumstances of the party’s dis- (b) The presiding officer has the au-
covery of such facts. It shall be accom- thority to—
panied by a certificate of the rep- (1) Set and change the date, time,
resentative of record that it is made in and place of the hearing upon reason-
good faith. able notice to the parties;
(e) Upon the filing of such a motion (2) Continue or recess the hearing in
and affidavit, the presiding officer whole or in part for a reasonable period
shall proceed no further in the case of time;
until the matter of disqualification is (3) Hold conferences to identify or
resolved in accordance with paragraph simplify the issues, or to consider
(f) of this section. other matters, including settlement
(f)(1) If the presiding officer deter- conferences or other alternative dis-
mines that a reviewing official is dispute resolution, that may aid in the
qualified, the presiding officer shall fair and expeditious disposition of the
dismiss the complaint without preju- proceeding;
dice. (4) Administer oaths and affirma-
(2) If the presiding officer disqualifies tions;
himself or herself, the case shall be re- (5) Issue subpoenas, requiring the at-
assigned promptly to another presiding tendance of witnesses and the produc-
officer. tion of documents at depositions or at
(3) If the presiding officer denies a hearings, which the presiding officer
motion to disqualify, the authority considers relevant and material;
head may determine the matter only as (6) Rule on motions and other proce-
part of his or her review of the initial dural matters;
decision upon appeal, if any. (7) Regulate the scope and timing of
discovery;
§ 1264.116 Rights of parties. (8) Regulate the course of the hearing
Except as otherwise limited by this and the conduct of representatives and
part, all parties may— parties;
(a) Be accompanied, represented, and (9) Examine witnesses;
advised by a representative; (10) Receive, rule on, exclude, or
(b) Participate in any conference limit evidence;
held by the presiding officer; (11) Upon motion of a party, take of-
(c) Conduct discovery; ficial notice of facts;
(d) Agree to stipulations of fact or (12) Upon motion of a party, decide
law, which shall be made part of the cases, in whole or in part, by summary
record; judgment where there is no genuine
(e) Present evidence relevant to the issue as to any material fact;
issues at the hearing; (13) Conduct any conference, argu-
(f) Present and cross-examine wit- ment, or hearing on motions in person
nesses; or by telephone; and
282
(14) Exercise such other authority as § 1264.119 Disclosure of documents.

is necessary to carry out the respon- (a) Upon written request to the re-
sibilities of the presiding officer under viewing official, the defendant may re-
this part. view any relevant and material docu-
(c) The presiding officer does not ments, transcripts, records, and other
have the authority to find Federal materials that relate to the allegations
statutes or regulations invalid. set out in the complaint and upon
[52 FR 39498, Oct. 22, 1987, as amended at 54 which the findings and conclusions of
FR 600, Jan. 9, 1989] the investigating official under
§ 1264.103(b) are based unless such docu-
§ 1264.118 Prehearing conferences. ments are subject to a privilege under
Federal law. Upon payment of a rea-
(a) The presiding officer may sched- sonable fee for duplication, the defend-
ule prehearing conferences as appro- ant may obtain copies of such docu-
priate. ments.
(b) Upon the motion of any party, the (b) Upon written request to the re-
presiding officer shall schedule at least viewing official, the defendant also
one prehearing conference at a reason- may obtain a copy of all exculpatory
able time in advance of the hearing. information in the possession of the re-
(c) The presiding officer may use pre- viewing official or investigating offi-
hearing conferences to discuss the fol- cial relating to the allegations in the
lowing: complaint, even if it is contained in a
(1) Simplification of the issues; document that would otherwise be
(2) The necessity or desirability of privileged. If the document would oth-
amendments to the pleadings, includ- erwise be privileged, only that portion
ing the need for a more definite state- containing exculpatory information
ment; must be disclosed.
(c) The notice sent to the Attorney
(3) Stipulations and admissions of
General from the reviewing official as
fact or as to the contents and authen-
described in § 1264.104 is not discover-
ticity of documents; able under any circumstances.
(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
documents includes information, docu-
(d) The presiding officer may issue an
ments, reports, answers, records, ac-
order containing all matters agreed
counts, papers, and other data and doc-
upon by the parties or ordered by the
umentary evidence which the presiding
presiding officer at a prehearing con- officer considers relevant and material
ference. to the hearing. Nothing contained
[52 FR 39498, Oct. 22, 1987, as amended at 54 herein shall be interpreted to require
FR 600, Jan. 9, 1989] the creation of a document.
283
§ 1264.121 14 CFR Ch. V (1–1–21 Edition)
(c) Unless mutually agreed to by the § 1264.121 Exchange of witness lists,

parties, discovery is available only as statements, and exhibits.
ordered by the presiding officer. The (a) At least 15 days before the hear-
presiding officer shall regulate the timing or at such other time as may be or-
ing of discovery. dered by the presiding officer, the par-
(d) Motions for discovery. (1) A party ties shall exchange witness lists, copies
seeking discovery may file a motion of prior statements of proposed wit-
with the presiding officer. Such a mo- nesses, and copies of proposed hearing
tion shall be accompanied by a copy of exhibits, including copies of any writ-
the discovery request or, in the case of ten statements that the party intends
depositions, a summary of the scope of to offer in lieu of live testimony in ac-
the proposed deposition. cordance with paragraph (b) of
(2) Within 10 days of service, a party § 1264.132. At the time the above docu-
ments are exchanged, any party that
may file an opposition to the motion
intends to rely on the transcript of
and/or a motion for protective order as deposition testimony in lieu of live tes-
provided in § 1264.123. timony at the hearing, if permitted by
(3) The presiding officer may grant a the presiding officer, shall provide each
motion for discovery only if he/she party with a copy of the specific pages
finds that the discovery sought— of the transcript it intends to intro-
(i) Is necessary for the expeditious, duce into evidence.
fair, and reasonable consideration of (b) If a party objects, the presiding
the issues; officer shall not admit into evidence
(ii) Is not unduly costly or burden- the testimony of any witness whose
some; name does not appear on the witness
(iii) Will not unduly delay the pro- list or any exhibit not provided to the
ceeding; and opposing party, in accordance with
(iv) Does not seek privileged informa- paragraph (a) of this section, unless the
tion. presiding officer finds goods cause for
the failure or that there is no prejudice
(4) The burden of showing that dis-
to the objecting party.
covery should be allowed is on the (c) Unless another party objects
party seeking discovery. within the time set by the presiding of-
(5) The presiding officer may grant ficer, documents exchanged in accord-
discovery subject to a protective order ance with paragraph (a) of this section
under § 1264.123. shall be deemed to be authentic for the
(e) Depositions. (1) If a motion for dep- purpose of admissibility at the hearing.
osition is granted, the presiding officer
shall issue a subpoena for the depo- § 1264.122 Subpoena for attendance at
nent, which may require the deponent hearing.
to produce documents. The subpoena (a) A party wishing the appearance
shall specify the time and place at and testimony of any individual at the
which the deposition will be held. hearing may request that the presiding
(2) The party seeking to depose shall officer issue a subpoena.
serve the subpoena in the manner pre- (b) A subpoena requiring the attend-
scribed in § 1264.107. ance and testimony of an individual
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.
284
(d) The subpoena shall specify the (9) That the parties simultaneously
time and place at which the witness is file specified documents or information
to appear and any documents the wit- enclosed in sealed envelopes to be
ness is to produce. opened as directed by the presiding of-
(e) The party seeking the subpoena ficer.
shall serve it in the manner prescribed
in § 1264.107. A subpoena on a party or § 1264.124 Fees.
upon an individual under the control of The party requesting a subpoena
a party may be served by first class shall pay the cost of the fees and mile-
mail. age of any witness subpoenaed in the
(f) A party or the individual to whom amounts that would be payable to a
the subpoena is directed may file with witness in a proceeding in United
the presiding officer a motion to quash States District Court. A check for wit-
the subpoena within 10 days after serv- ness fees and mileage shall accompany
ice or on or before the time specified in the subpoena when served, except that
the subpoena for compliance if it is less when a subpoena is issued on behalf of
than 10 days after service. the authority, a check for witness fees
and mileage need not accompany the
§ 1264.123 Protective order. subpoena.
(a) A party or a prospective witness [52 FR 39498, Oct. 22, 1987, as amended at 80
or deponent may file a motion for a FR 42029, July 16, 2015]
protective order with respect to dis-
covery sought by an opposing party or § 1264.125 Form, filing, and service of
with respect to the hearing, seeking to papers.
limit the availability or disclosure of (a) Form. (1) Documents filed with the
evidence. presiding officer shall include an origi-
(b) In issuing a protective order, the nal and two copies.
presiding officer may make any order (2) Every pleading and paper filed in
which justice requires to protect a the proceeding shall contain a caption
party or person from annoyance, em- setting forth the title of the action, the
barrassment, oppression, or undue bur- case number assigned by the presiding
den or expense, including one or more officer, and a designation of the paper
of the following: (e.g., motion to quash subpoena).
(1) That the discovery not be had; (3) Every pleading and paper shall be
(2) That the discovery may be had signed by, and shall contain the ad-
only on specified terms and conditions, dress and telephone number of the
including a designation of the time or party or the person on whose behalf the
place; paper was filed, or his or her represent-
(3) That the discovery may be had ative.
only through a method of discovery (4) Papers are considered filed when
other than that requested; they are mailed. Date of mailing may
(4) That certain matters not be in- be established by a certificate from the
quired into, or that the scope of dis- party or its representative or by proof
covery be limited to certain matters; that the document was sent by cer-
(5) That discovery be conducted with tified or registered mail.
no one present except persons des- (b) Service. A party filing a document
ignated by the presiding officer; with the presiding officer shall, at the
(6) That the contents of discovery or time of filing, serve a copy of such doc-
evidence be sealed; ument on every other party. Service
(7) That a deposition after being upon any party of any document other
sealed be opened only by order of the than those required to be served as pre-
presiding officer; scribed in § 1264.107 shall be made by de-
(8) That a trade secret or other con- livering a copy or by placing a copy of
fidential research, development, com- the document in the U.S. mail, postage
mercial information, or facts per- prepaid, and addressed to the party’s
taining to any criminal investigation, last known address. When a party is
proceeding, or other administrative in- represented by a representative, serv-
vestigation not be disclosed or be dis- ice shall be made upon such representa-
closed only in a designated way; or tive.
285
§ 1264.126 14 CFR Ch. V (1–1–21 Edition)
(c) Proof of service. A certificate of standing motions prior to the begin-

the individual serving the document by ning of the hearing.
personal delivery or by mail, setting
forth the manner of service, shall be § 1264.128 Sanctions.
proof of service. (a) The presiding officer may sanc-
tion a person, including any party or
FR 600, Jan. 9, 1989] representative for—
(1) Failing to comply with an order,
§ 1264.126 Computation of time. rule, or procedure governing the pro-
ceeding;
(a) In computing any period of time (2) Failing to prosecute or defend an
under this part or in an order issued action; or
thereunder, the time begins with the (3) Engaging in other misconduct
day following the act, event, or default, that interferes with the speedy, or-
and includes the last day of the period, derly, or fair conduct of the hearing.
unless it is a Saturday, Sunday, or (b) Any such sanction, including but
legal holiday observed by the Federal not limited to those listed in para-
government, in which event it includes graphs (c), (d), and (e) of this section,
the next business day. shall reasonably relate to the severity
(b) When the period of time allowed and nature of the failure or mis-
is less than 7 days, intermediate Satur- conduct.
days, Sundays, and legal holidays ob- (c) When a party fails to comply with
served by the Federal government shall an order, including an order for taking
be excluded from the computation. a deposition, the production of evi-
(c) Where a document has been served dence within the party’s control, or a
or issued by placing it in the mail, an request for admission, the presiding of-
additional 5 days will be added to the ficer may—
time permitted for any response. (1) Draw an inference in favor of the
requesting party with regard to the in-
FR 600, Jan. 9, 1989] formation sought;
(2) In the case of requests for admis-
§ 1264.127 Motions. sion, deem each matter of which an ad-
mission is requested to be admitted;
(a) Any application to the presiding (3) Prohibit the party failing to com-
officer for an order or ruling shall be ply with such order from introducing
by motion. Motions shall state the re- evidence concerning, or otherwise rely-
lief sought, the authority relied upon, ing upon testimony relating to, the in-
and the facts alleged, and shall be filed formation sought; and
with the presiding officer and served on (4) Strike any part of the pleadings
all other parties. or other submissions of the party fail-
(b) Except for motions made during a ing to comply with such request.
prehearing conference or at the hear- (d) If a party fails to prosecute or de-
ing, all motions shall be in writing. fend an action under this part com-
The presiding officer may require that menced by service of a notice of hear-
oral motions be reduced to writing. ing, the presiding officer may dismiss
(c) Within 15 days after a written mo- the action or may issue an initial deci-
tion is served, or such other time as sion imposing penalties and assess-
may be fixed by the presiding officer, ments.
any party may file a response to such (e) The presiding officer may refuse
motion. to consider any motion, request, re-
(d) The presiding officer may not sponse, brief, or other document which
grant a written motion before the time is not filed in a timely fashion.
for filing responses thereto has expired,
except upon consent of the parties or § 1264.129 The hearing and burden of
following a hearing on the motion, but proof.
may overrule or deny such motion (a) The presiding officer shall con-
without awaiting a response. duct a hearing on the record in order to
(e) The presiding officer shall make a determine whether the defendant is lia-
reasonable effort to dispose of all out- ble for a civil penalty or assessment
286
under § 1264.102 and, if so, the appro- (7) The potential or actual impact of
priate amount of any such civil penalty the misconduct upon national defense,
or assessment considering any aggra- public health or safety, or public con-
vating or mitigating factors. fidence in the management of Govern-
(b) The authority shall prove defend- ment programs and operations, includ-
ant’s liability and any aggravating fac- ing particularly the impact on the in-
tors by a preponderance of the evi- tended beneficiaries of such programs;
dence. (8) Whether the defendant has en-
(c) The defendant shall prove any af- gaged in a pattern of the same or simi-
firmative defenses and any mitigating lar misconduct;
factors by a preponderance of the evi- (9) Whether the defendant attempted
dence. to conceal the misconduct;
(d) The hearing shall be open to the (10) The degree to which the defend-
public unless otherwise ordered by the ant has involved others in the mis-
presiding officer for good cause shown. conduct or in concealing it;
(11) Where the misconduct of employ-
§ 1264.130 Determining the amount of
penalties and assessments. ees or agents is imputed to the defend-
ant, the extent to which the defend-
(a) In determining an appropriate ant’s practices fostered or attempted
amount of civil penalties and assess- to preclude such misconduct;
ments, the presiding officer, and the (12) Whether the defendant cooper-
authority head upon appeal, should ated in or obstructed an investigation
evaluate any circumstances that miti- of the misconduct;
gate or aggravate the violation and (13) Whether the defendant assisted
should articulate in their opinions the in identifying and prosecuting other
reasons that support the penalties and wrongdoers;
assessments they impose. Because of
(14) The complexity of the program
the intangible costs of fraud, the ex-
or transaction, and the degree of the
pense of investigating such conduct,
defendant’s sophistication with respect
and the need to deter others who might
to it, including the extent of the de-
be similarly tempted, ordinarily double
fendant’s 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
claims or statements) charged in the (16) The need to deter the defendant
complaint: and others from engaging in the same
(1) The number of false, fictitious, or or similar misconduct.
fraudulent claims or statements; (c) Nothing in this section shall be
(2) The time period over which such construed to limit the presiding officer
claims or statements were made; or the authority head from considering
(3) The degree of the defendant’s cul- any other factors that in any given
pability with respect to the mis- case may mitigate or aggravate the of-
conduct; fense for which penalties and assess-
(4) The amount of money or the value ments are imposed.
of the property, services, or benefit
§ 1264.131 Location of hearing.
falsely claimed;
(5) The value of the Government’s ac- (a) The hearing may be held—
tual loss as a result of the misconduct, (1) In any judicial district of the
including foreseeable consequential United States in which the defendant
damages and the costs of investigation; resides or transacts business;
(6) The relationship of the amount (2) In any judicial district of the
imposed as civil penalties to the United States in which the claim or
amount of the Government’s loss; statement in issue was made; or
287
§ 1264.132 14 CFR Ch. V (1–1–21 Edition)
(3) In such other place as may be testimony of other witnesses. This rule
agreed upon by the defendant and the does not authorize exclusion of—
presiding officer. (1) A party who is an individual;
(b) Each party shall have the oppor- (2) In the case of a party that is not
tunity to present argument with re- an individual, an officer or employee of
spect to the location of the hearing. the party appearing for the entity pro
(c) The hearing shall be held at the se or designated by the party’s rep-
place and at the time ordered by the resentative; or
presiding officer. (3) An individual whose presence is
shown by a party to be essential to the
§ 1264.132 Witnesses. presentation of its case, including an
(a) Except as provided in paragraph individual employed by the Govern-
(b) of this section, testimony at the ment engaged in assisting the rep-
hearing shall be given orally by wit- resentative for the Government.
nesses under oath or affirmation.
(b) At the discretion of the presiding FR 600, Jan. 9, 1989]
officer, testimony may be admitted in
the form of a written statement or dep- § 1264.133 Evidence.
osition. Any such written statement
must be provided to all other parties (a) The presiding officer shall deter-
along with the last known address of mine the admissibility of evidence.
such witness, in a manner which allows (b) Except as provided herein, the
sufficient time for other parties to sub- presiding officer shall not be bound by
poena such witness for cross-examina- the Federal Rules of Evidence. How-
tion at the hearing. Prior written ever, the presiding officer may apply
statements of witnesses proposed to the Federal Rules of Evidence where
testify at the hearing and deposition appropriate, e.g., to exclude unreliable
transcripts shall be exchanged as pro- evidence.
vided in § 1264.121(a). (c) The presiding officer shall exclude
(c) The presiding officer shall exer- irrelevant and immaterial evidence.
cise reasonable control over the mode (d) Although relevant, evidence may
and order of interrogating witnesses be excluded if its probative value is
and presenting evidence so as to make substantially outweighed by the danger
the interrogation and presentation ef- of unfair prejudice, confusion of the
fective for the ascertainment of the issues, or by considerations of undue
truth, avoid needless consumption of delay or needless presentation of cumu-
time, and protect witnesses from har- lative evidence.
assment or undue embarrassment. (e) Although relevant, evidence may
(d) The presiding officer shall permit be excluded if it is privileged under
the parties to conduct such cross-ex- Federal law.
amination as may be required for a full (f) Evidence concerning offers of com-
and true disclosure of the facts. promise or settlement shall be inad-
(e) At the discretion of the presiding missible to the extent provided in Rule
officer, a witness may be cross-exam- 408 of the Federal Rules of Evidence.
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.
288
(b) The transcript of testimony, ex- right of any defendant determined to

hibits, and other evidence admitted at be liable for a civil penalty or assess-
the hearing, and all papers and re- ment to file a motion for reconsider-
quests filed in the proceeding con- ation with the presiding officer or a no-
stitute the record for the decision by tice of appeal with the authority head.
the presiding officer and the authority If the presiding officer fails to meet the
head. deadline contained in this paragraph,
(c) The record may be inspected and he or she shall notify the parties of the
copied (upon payment of a reasonable reason for the delay and shall set a new
fee) by anyone, unless otherwise or- deadline.
dered by the presiding officer pursuant (d) Unless the initial decision of the
to § 1264.123. presiding officer is timely appealed to
§ 1264.135 Post-hearing briefs. the authority head, or a motion for re-
consideration of the initial decision is
The presiding officer may require the timely filed, the initial decision shall
parties to file post-hearing briefs. In constitute the final decision of the au-
any event, upon approval of the pre- thority head and shall be final and
siding officer, any party may file a binding on the parties 30 days after it
post-hearing brief. The presiding offi- is issued by the presiding officer.
cer shall fix the time for filing such
briefs, not to exceed 60 days from the [52 FR 39498, Oct. 22, 1987, as amended at 54
date the parties receive the transcript FR 600, Jan. 9, 1989]
of the hearing or, if applicable, the
stipulated record. Such briefs may be § 1264.137 Reconsideration of initial
accompanied by proposed findings of decision.
fact and conclusions of law. The pre- (a) Except as provided in paragraph
siding officer may permit the parties to (d) of this section, any party may file a
file reply briefs, and may grant an ex- motion for reconsideration of the ini-
tension of the 60-day time period or tial decision within 20 days of receipt
other time for good cause shown. of the initial decision. If service was
made by mail, receipt will be presumed
§ 1264.136 Initial decision.
to be 5 days from the date of mailing in
(a) The presiding officer shall issue the absence of contrary proof.
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
identified in the complaint, or any por- (d) No party may file a motion for re-
tions thereof, violate § 1264.102; consideration of an initial decision
(2) If the person is liable for penalties that has been revised in response to a
or assessments, the appropriate previous motion for reconsideration.
amount of any such penalties or assess- (e) The presiding officer may dispose
ments considering any mitigating or of a motion for reconsideration by de-
aggravating factors found in the case, nying it or by issuing a revised initial
such as those described in § 1264.130. decision.
(c) The presiding officer shall (f) If the presiding officer denies a
promptly serve the initial decision on motion for reconsideration, the initial
all parties within 90 days after the decision shall constitute the final deci-
time for submission of post-hearing sion of the authority head and shall be
briefs and reply briefs (if permitted) final and binding on the parties 30 days
has expired or upon notification that after the presiding officer denies the
the record is now closed. The presiding motion, unless the initial decision is
officer shall at the same time serve all timely appealed to the authority head
parties with a statement describing the in accordance with § 1264.138.
289
§ 1264.138 14 CFR Ch. V (1–1–21 Edition)
(g) If the presiding officer issues a re- (e) The representative for the Gov-
vised initial decision, the revised deci- ernment may file a brief in opposition
sion shall constitute the final decision to exceptions within 30 days of receiv-
of the authority head and shall be final ing the notice of appeal and accom-
and binding on the parties 30 days after panying brief.
it is issued, unless it is timely appealed (f) There is no right to appear person-
to the authority head in accordance ally before the authority head.
with § 1264.138. (g) There is no right to appeal any in-
[52 FR 39498, Oct. 22, 1987, as amended at 54 terlocutory ruling by the presiding of-
FR 600, Jan. 9, 1989] ficer.
(h) In reviewing the initial decision,
§ 1264.138 Appeal to authority head. the authority head shall not consider
(a) Any defendant who has filed a any objection that was not raised be-
timely answer and who is determined fore the presiding officer unless a dem-
in an initial decision to be liable for a onstration is made of extraordinary
civil penalty or assessment may appeal circumstances causing the failure to
such decision to the authority head by raise the objection.
filing a notice of appeal with the au- (i) If any party demonstrates to the
thority head in accordance with this satisfaction of the authority head that
section. additional evidence not presented at
(b) The time for appeal to the author- such hearing is material and that there
ity head is as follows: were reasonable grounds for the failure
to present such evidence at such hear-
(1) A notice of appeal may be filed at
ing, the authority head shall remand
any time within 30 days after the pre-
the matter to the presiding officer for
siding officer issues an initial decision.
consideration of such additional evi-
However, if any other party files a mo-
dence.
tion for a reconsideration under
§ 1264.137, consideration of the appeal (j) The authority head may affirm,
shall be stayed automatically pending reduce, reverse, compromise, remand,
resolution of the motion for reconsider- or settle any penalty or assessment,
ation. determined by the presiding officer in
any initial decision.
(2) If a motion for reconsideration is
timely filed, a notice of appeal must be (k) The authority head shall prompt-
filed within 30 days after the presiding ly serve each party to the appeal with
officer denies the motion or issues a re- a copy of the decision of the authority
vised initial decision, whichever ap- head. At the same time the authority
plies. head shall serve the defendant with a
(3) If no motion for reconsideration is statement describing the defendant’s
timely filed, a notice of appeal must be right to seek judicial review.
filed within 30 days after the presiding (l) Unless a petition for review is
officer issues the initial decision. filed as provided in 31 U.S.C. 3805, after
(4) The authority head may extend a defendant has exhausted all adminis-
the initial 30-day period for an addi- trative remedies under this part and
tional 30 days if the defendant files within 60 days after the date on which
with the authority head a request for the authority head serves the defend-
an extension within the initial 30-day ant with a copy of the authority head’s
period and shows good cause. decision, a determination that a de-
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
290
finding that continuation of the admin- § 1264.144 Deposit in Treasury of

istrative process described in this part United States.
with respect to a claim or statement
All amounts collected pursuant to
may adversely affect any pending or
this part shall be deposited as miscella-
potential criminal or civil action re-
neous receipts in the Treasury of the
lated to such claim or statement, the
United States, except as provided in 31
authority head shall stay the process
U.S.C. 3806(g).
immediately. If the process is before
the presiding officer, the authority § 1264.145 Compromise or settlement.
head shall promptly transmit the find-
ing to the presiding officer, who, in (a) Parties may make offers of com-
turn, must stay the proceeding and promise or settlement at any time, in-
give notice to all parties and their rep- cluding proposals for alternative dis-
resentatives. The authority head may pute resolution.
order the process resumed only upon (b) The reviewing official has the ex-
receipt of the written authorization of clusive authority to compromise or
the Attorney General. settle a case under this part at any
time after the date on which the re-
§ 1264.140 Stay pending appeal. viewing official is permitted to refer
(a) An initial decision is stayed auto- allegations of liability to a presiding
matically pending disposition of a mo- officer and before the date on which
tion for reconsideration or of an appeal the presiding officer issues an initial
to the authority head. decision.
(b) No administrative stay is avail- (c) The authority head has exclusive
able following a final decision of the authority to compromise or settle a
authority head. case under this part at any time after
the date on which the presiding officer
§ 1264.141 Judicial review. issues an initial decision, except during
Section 3805 of Title 31, United States the pendency of any judicial review
Code, authorizes judicial review by an under § 1264.141 or during the pendency
appropriate United States District of any civil action to collect penalties
Court of a final decision of the author- and assessments under § 1264.142.
ity head imposing penalties or assess- (d) The Attorney General has exclu-
ments under this part and specifies the sive authority to compromise or settle
procedures for such review. a case under this part during the pend-
ency of any judicial review under 31
§ 1264.142 Collection of civil penalties
and assessments. U.S.C. 3805 or of any civil action to re-
cover penalties and assessments under
Sections 3806 and 3808(b) of Title 31, 31 U.S.C. 3806.
United States Code, authorize actions (e) The investigating official may
for collection of civil penalties and as- recommend settlement terms to the re-
sessments imposed under this part and viewing official, the authority head, or
specify the procedures for such actions. the Attorney General, as appropriate.
§ 1264.143 Right to administrative off- The reviewing official may recommend
set. settlement terms to the authority
head, or the Attorney General, as ap-
The amount of any penalty or assess-
propriate.
ment which has become final, or for
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
§ 1264.146 Limitations.
or settlement under § 1264.145, may be
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
291
Pt. 1264, App. A 14 CFR Ch. V (1–1–21 Edition)
under § 1264.109(b) shall be deemed a no- § 1266.100 Purpose.

tice of hearing for purposes of this sec-
The purpose of this Part is to ensure
tion.
(c) The statute of limitations may be that consistent cross-waivers of liabil-
extended by agreement of the parties. ity are included in NASA agreements
for activities related to the ISS and for
APPENDIX A TO PART 1264—NOTICE TO NASA’s science or space exploration
CONSENT TO THE CHAIRPERSON, activities unrelated to the ISS that in-
NASA BOARD OF CONTRACT APPEALS volve a launch.
(BCA), OR DESIGNEE, AS PRESIDING
OFFICER § 1266.101 Scope.
In accordance with the provisions of 14 The provisions at § 1266.102 are in-
CFR 1264.106, you are hereby notified that tended to implement the cross-waiver
the Chairperson, NASA Board of Contract requirement in Article 16 of the inter-
Appeals (BCA), or designee, in addition to governmental agreement entitled,
other duties, upon your consent, may con- ‘‘Agreement Among the Government of
duct any or all proceedings as the presiding Canada, Governments of Member
officer, pursuant to 14 CFR part 1264 which
implements the Program Fraud Civil Pen-
States of the European Space Agency,
alties Act of 1986. the Government of Japan, the Govern-
You should be aware that your decision to ment of the Russian Federation, and
consent, or not to consent, to the referral of the Government of the United States of
this case to the NASA/BCA must be entirely America concerning Cooperation on
voluntary. Only if you and the authority the Civil International Space Station
head consent to this reference will either the (IGA).’’ Article 16 establishes a cross-
Chairperson or the designee to whom the
case may be assigned be informed of your de-
waiver of liability for use by the Part-
cision. ner States and their related entities
An appeal from a decision by the presiding and requires that this reciprocal waiv-
officer under this consent procedure may be er of claims be extended to contrac-
taken in the same manner as an appeal from tually or otherwise-related entities of
a decision by any other presiding officer, as NASA by requiring those entities to
provided in 14 CFR 1264.136(d), 1264.137, make similar waivers of liability.
1264.138, and 1264.141.
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, ISS activities that fall within the
1264.109). scope of ‘‘Protected Space Operations,’’
consent: lllllllllllllllllll as defined in § 1266.102. The provisions
(Signature of person alleged to be liable) of § 1266.102 provide the regulatory
llllllllllllllllllllllll basis for cross-waiver clauses to be in-
(Print name) corporated into NASA agreements for
llllllllllllllllllllllll activities that implement the IGA and
(Date of signature) the memoranda of understanding be-
tween the United States and its respec-
PART 1266—CROSS-WAIVER OF tive international partners. The provi-
LIABILITY sions of § 1266.104 provide the regu-
latory basis for cross-waiver clauses to
Sec. be incorporated into NASA launch
1266.100 Purpose. agreements for science or space explo-
1266.101 Scope. ration activities unrelated to the ISS.
1266.102 Cross-waiver of liability for agree-
ments for activities related to the Inter-
§ 1266.102 Cross-waiver of liability for
national Space Station.
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- implement NASA’s responsibility to
national Space Station. 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
292
through the International Space Sta- tion, operation, or use of launch or

tion (ISS). The IGA declares the Part- transfer vehicles, the ISS, payloads, or
ner States’ intention that the cross- instruments, as well as related support
waiver of liability be broadly construed equipment and facilities and services;
to achieve this objective. and
(b) For the purposes of this section: (ii) All activities related to ground
(1) The term ‘‘Party’’ means a party support, test, training, simulation, or
to a NASA agreement involving activi- guidance and control equipment and
ties in connection with the ISS. related facilities or services. ‘‘Pro-
(2)(i) The term ‘‘related entity’’ tected Space Operations’’ also includes
means: all activities related to evolution of
(A) A contractor or subcontractor of the ISS, as provided for in Article 14 of
a Party or a Partner State at any tier; the IGA. ‘‘Protected Space Operations’’
(B) A user or customer of a Party or excludes activities on Earth which are
a Partner State at any tier; or conducted on return from the ISS to
(C) A contractor or subcontractor of develop further a payload’s product or
a user or customer of a Party or a process for use other than for ISS-re-
Partner State at any tier. lated activities in implementation of
(ii) The terms ‘‘contractor’’ and the IGA.
‘‘subcontractor’’ include suppliers of (7) The term ‘‘transfer vehicle’’
any kind. means any vehicle that operates in
(iii) The term ‘‘related entity’’ may space and transfers payloads or persons
also apply to a State, or an agency or
or both between two different space ob-
institution of a State, having the same
jects, between two different locations
relationship to a Partner State as de-
on the same space object, or between a
scribed in paragraphs (b)(2)(i)(A)
space object and the surface of a celes-
through (b)(2)(i)(C) of this section or
tial body. A transfer vehicle also in-
otherwise engaged in the implementa-
cludes a vehicle that departs from and
tion of Protected Space Operations as
returns to the same location on a space
defined in paragraph (b)(6) of this sec-
object.
tion.
(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-
(iv) Other direct, indirect, or con- ty specified in the Memorandum of Un-
sequential damage. derstanding (MOU) between NASA and
(4) The term ‘‘launch vehicle’’ means the Government of Japan to assist the
an object, or any part thereof, intended Government of Japan’s Cooperating
for launch, launched from Earth, or re- Agency in the implementation of that
turning to Earth which carries pay- MOU.
loads or persons, or both. (c)(1) Cross-waiver of liability: Each
(5) The term ‘‘payload’’ means all Party agrees to a cross-waiver of liabil-
property to be flown or used on or in a ity pursuant to which each Party
launch vehicle or the ISS. waives all claims against any of the en-
(6) The term ‘‘Protected Space Oper- tities or persons listed in paragraphs
ations’’ means all launch or transfer (c)(1)(i) through (c)(1)(iv) of this sec-
vehicle activities, ISS activities, and tion based on damage arising out of
payload activities on Earth, in outer Protected Space Operations. This
space, or in transit between Earth and cross-waiver shall apply only if the per-
outer space in implementation of the son, entity, or property causing the
IGA, MOUs concluded pursuant to the damage is involved in Protected Space
IGA, and implementing arrangements. Operations and the person, entity, or
It includes, but is not limited to: property damaged is damaged by virtue
(i) Research, design, development, of its involvement in Protected Space
test, manufacture, assembly, integra- Operations. The cross-waiver shall
293
§ 1266.103 14 CFR Ch. V (1–1–21 Edition)
apply to any claims for damage, what- ties, pursuant to paragraph (c)(2) of
ever the legal basis for such claims, this section; or
against: (vi) Claims by a Party arising out of
(i) Another Party; or relating to another Party’s failure
(ii) A Partner State other than the to perform its obligations under the
United States of America; agreement.
(iii) A related entity of any entity (5) Nothing in this section shall be
identified in paragraph (c)(1)(i) or construed to create the basis for a
(c)(1)(ii) of this section; or claim or suit where none would other-
(iv) The employees of any of the enti- wise exist.
ties identified in paragraphs (c)(1)(i) (6) This cross-waiver shall not be ap-
through (c)(1)(iii) of this section. plicable when 49 U.S.C. Subtitle IX,
(2) In addition, each Party shall, by Chapter. 701 is applicable.
contract or otherwise, extend the
cross-waiver of liability, as set forth in § 1266.103 [Reserved]
paragraph (c)(1) of this section, to its § 1266.104 Cross-waiver of liability for
related entities by requiring them, by launch agreements for science or
contract or otherwise, to: space exploration activities unre-
(i) Waive all claims against the enti- lated to the International Space
ties or persons identified in paragraphs Station.
(c)(1)(i) through (c)(1)(iv) of this sec- (a) The purpose of this section is to
tion; and implement a cross-waiver of liability
(ii) Require that their related enti- between the parties to agreements for
ties waive all claims against the enti- NASA’s science or space exploration
ties or persons identified in paragraphs activities that are not related to the
(c)(1)(i) through (c)(1)(iv) of this sec- International Space Station (ISS) but
tion. involve a launch. It is intended that
(3) For avoidance of doubt, this cross- the cross-waiver of liability be broadly
waiver of liability includes a cross- construed to achieve this objective.
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 (ii) The terms ‘‘contractor’’ and
own related entity or between its own ‘‘subcontractor’’ include suppliers of
related entities; any kind.
(ii) Claims made by a natural person, (iii) The term ‘‘related entity’’ may
his/her estate, survivors or subrogees also apply to a State or an agency or
(except when a subrogee is a Party to institution of a State, having the same
the agreement or is otherwise bound by relationship to a Party as described in
the terms of this cross-waiver) for bod- paragraphs (b)(2)(i)(A) through
ily injury to, or other impairment of (b)(2)(i)(C) of this section, or otherwise
health of, or death of, such person; engaged in the implementation of Pro-
(iii) Claims for damage caused by tected Space Operations as defined in
willful misconduct; paragraph (b)(6) of this section.
(iv) Intellectual property claims; (3) The term ‘‘damage’’ means:
(v) Claims for damage resulting from (i) Bodily injury to, or other impair-
a failure of a Party to extend the cross- ment of health of, or death of, any per-
waiver of liability to its related enti- son;
294
(ii) Damage to, loss of, or loss of use tion based on damage arising out of
of any property; Protected Space Operations. This
(iii) Loss of revenue or profits; or cross-waiver shall apply only if the per-
(iv) Other direct, indirect, or con- son, entity, or property causing the
sequential damage. damage is involved in Protected Space
(4) The term ‘‘launch vehicle’’ means Operations and the person, entity, or
an object, or any part thereof, intended property damaged is damaged by virtue
for launch, launched from Earth, or re- of its involvement in Protected Space
turning to Earth which carries pay- Operations. The cross-waiver shall
loads or persons, or both. apply to any claims for damage, what-
(5) The term ‘‘payload’’ means all ever the legal basis for such claims,
property to be flown or used on or in a against:
launch vehicle. (i) Another Party;
(6) The term ‘‘Protected Space Oper- (ii) A party to another NASA agree-
ations’’ means all launch or transfer ment that includes flight on the same
vehicle activities and payload activi- launch vehicle;
ties on Earth, in outer space, or in (iii) A related entity of any entity
transit between Earth and outer space identified in paragraphs (c)(1)(i) or
in implementation of an agreement for (c)(1)(ii) of this section; or
launch services. Protected Space Oper- (iv) The employees of any of the enti-
ations begins at the signature of the ties identified in paragraphs (c)(1)(i)
agreement and ends when all activities through (c)(1)(iii) of this section.
done in implementation of the agree- (2) In addition, each Party shall ex-
ment are completed. It includes, but is tend the cross-waiver of liability, as
not limited to: set forth in paragraph (c)(1) of this sec-
(i) Research, design, development, tion, to its own related entities by re-
test, manufacture, assembly, integra- quiring them, by contract or otherwise,
tion, operation, or use of launch or to:
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 payload’s product or process for use waiver of liability includes a cross-
other than for the activities within the waiver of claims arising from the Con-
scope of an agreement for launch serv- vention on International Liability for
ices. Damage Caused by Space Objects,
(7) The term ‘‘transfer vehicle’’ which entered into force on September
means any vehicle that operates in 1, 1972, where the person, entity, or
space and transfers payloads or persons property causing the damage is in-
or both between two different space ob- volved in Protected Space Operations
jects, between two different locations and the person, entity, or property
on the same space object, or between a damaged is damaged by virtue of its in-
space object and the surface of a celes- volvement in Protected Space Oper-
tial body. A transfer vehicle also in- ations.
cludes a vehicle that departs from and (4) Notwithstanding the other provi-
returns to the same location on a space sions of this section, this cross-waiver
object. of liability shall not be applicable to:
(c)(1) Cross-waiver of liability: Each (i) Claims between a Party and its
Party agrees to a cross-waiver of liabil- own related entity or between its own
ity pursuant to which each Party related entities;
waives all claims against any of the en- (ii) Claims made by a natural person,
tities or persons listed in paragraphs his/her estate, survivors, or subrogees
(c)(1)(i) through (c)(1)(iv) of this sec- (except when a subrogee is a Party to
295
the agreement or is otherwise bound by AUTHORITY: Section 319, Pub. L. 101–121 (31
the terms of this cross-waiver) for bod- U.S.C. 1352); Pub. L. 97–258 (31 U.S.C. 6301 et
ily injury to, or other impairment of seq.)
health of, or death of, such person; CROSS REFERENCE: See also Office of Man-
(iii) Claims for damage caused by agement and Budget notice published at 54
willful misconduct; FR 52306, December 20, 1989.
(iv) Intellectual property claims; SOURCE: 55 FR 6737, 6748, Feb. 26, 1990, un-
(v) Claims for damages resulting less otherwise noted.
from a failure of a Party to extend the
cross-waiver of liability to its related Subpart A—General
entities, pursuant to paragraph (c)(2) of
this section; or § 1271.100 Conditions on use of funds.
(vi) Claims by a Party arising out of (a) No appropriated funds may be ex-
or relating to another Party’s failure pended by the recipient of a Federal
to perform its obligations under the contract, grant, loan, or cooperative
agreement. ageement to pay any person for influ-
(5) Nothing in this section shall be encing or attempting to influence an
construed to create the basis for a officer or employee of any agency, a
claim or suit where none would other- Member of Congress, an officer or em-
wise exist. ployee of Congress, or an employee of a
(6) This cross-waiver shall not be ap- Member of Congress in connection with
plicable when 49 U.S.C. Subtitle IX, any of the following covered Federal
Chapter 701 is applicable. actions: the awarding of any Federal
contract, the making of any Federal
PART 1271—NEW RESTRICTIONS ON grant, the making of any Federal loan,
LOBBYING the entering into of any cooperative
agreement, and the extension, continu-
ation, renewal, amendment, or modi-
Subpart A—General
fication of any Federal contract, grant,
Sec. loan, or cooperative agreement.
1271.100 Conditions on use of funds. (b) Each person who requests or re-
1271.105 Definitions. ceives from an agency a Federal con-
1271.110 Certification and disclosure. tract, grant, loan, or cooperative
agreement shall file with that agency a
Subpart B—Activities by Own Employees certification, set forth in appendix A,
1271.200 Agency and legislative liaison. that the person has not made, and will
1271.205 Professional and technical services. not make, any payment prohibited by
1271.210 Reporting. paragraph (a) of this section.
(c) Each person who requests or re-
Subpart C—Activities by Other Than Own ceives from an agency a Federal con-
Employees tract, grant, loan, or a cooperative
1271.300 Professional and technical services. agreement shall file with that agency a
disclosure form, set forth in appendix
Subpart D—Penalties and Enforcement B, if such person has made or has
agreed to make any payment using
1271.400 Penalties. nonappropriated funds (to include prof-
1271.405 Penalty procedures. its from any covered Federal action),
1271.410 Enforcement.
which would be prohibited under para-
Subpart E—Exemptions graph (a) of this section if paid for with
appropriated funds.
1271.500 Secretary of Defense. (d) Each person who requests or re-
ceives from an agency a commitment
Subpart F—Agency Reports providing for the United States to in-
1271.600 Semi-annual compilation. sure or guarantee a loan shall file with
1271.605 Inspector General report. that agency a statement, set forth in
APPENDIX A TO PART 1271—CERTIFICATION RE- appendix A, whether that person has
GARDING LOBBYING made or has agreed to make any pay-
APPENDIX B TO PART 1271—DISCLOSURE FORM ment to influence or attempt to influ-
TO REPORT LOBBYING ence an officer or employee of any
296
agency, a Member of Congress, an offi- by the Federal Government or a direct

cer or employee of Congress, or an em- appropriation made by law to any per-
ployee of a Member of Congress in con- son. The term does not include tech-
nection with that loan insurance or nical assistance which provides serv-
guarantee. ices instead of money, or other assist-
(e) Each person who requests or re- ance in the form of revenue sharing,
ceives from an agency a commitment loans, loan guarantees, loan insurance,
providing for the United States to in- interest subsidies, insurance, or direct
sure or guarantee a loan shall file with United States cash assistance to an in-
that agency a disclosure form, set forth
dividual.
in appendix B, if that person has made
(f) Federal loan means a loan made by
or has agreed to make any payment to
influence or attempt to influence an of- an agency. The term does not include
ficer or employee of any agency, a loan guarantee or loan insurance.
Member of Congress, an officer or em- (g) Indian tribe and tribal organization
ployee of Congress, or an employee of a have the meaning provided in section 4
Member of Congress in connection with of the Indian Self-Determination and
that loan insurance or guarantee. Education Assistance Act (25 U.S.C.
450B). Alaskan Natives are included
§ 1271.105 Definitions. under the definitions of Indian tribes in
For purposes of this part: that Act.
(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;
(3) The making of any Federal loan; means an agency’s guarantee or insur-
(4) The entering into of any coopera- ance of a loan made by a person.
tive agreement; and, (j) Local government means a unit of
(5) The extension, continuation, re- government in a State and, if char-
newal, amendment, or modification of tered, established, or otherwise recog-
any Federal contract, grant, loan, or nized by a State for the performance of
cooperative agreement. a governmental duty, including a local
Covered Federal action does not in- public authority, a special district, an
clude receiving from an agency a com- intrastate district, a council of govern-
mitment providing for the United ments, a sponsor group representative
States to insure or guarantee a loan. organization, and any other instrumen-
Loan guarantees and loan insurance tality of a local government.
are addressed independently within (k) Officer or employee of an agency in-
this part. cludes the following individuals who
(c) Federal contract means an acquisi- are employed by an agency:
tion contract awarded by an agency, (1) An individual who is appointed to
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
means a cooperative agreement en- U.S. Code;
tered into by an agency. (3) A special Government employee
(e) Federal grant means an award of as defined in section 202, title 18, U.S.
financial assistance in the form of Code; and,
money, or property in lieu of money,
297
§ 1271.110 14 CFR Ch. V (1–1–21 Edition)
(4) An individual who is a member of mediately preceding the date of the

a Federal advisory committee, as de- submission that initiates agency con-
fined by the Federal Advisory Com- sideration of such person shall be con-
mittee Act, title 5, U.S. Code appendix sidered to be regularly employed as
2. soon as he or she is employed by such
(l) Person means an individual, cor- person for 130 working days.
poration, company, association, au- (q) State means a State of the United
thority, firm, partnership, society, States, the District of Columbia, the
State, and local government, regard- Commonwealth of Puerto Rico, a terri-
less of whether such entity is operated tory or possession of the United States,
for profit or not for profit. This term an agency or instrumentality of a
excludes an Indian tribe, tribal organi- State, and a multi-State, regional, or
zation, or any other Indian organiza- interstate entity having governmental
tion with respect to expenditures spe- duties and powers.
cifically permitted by other Federal
law. § 1271.110 Certification and disclosure.
(m) Reasonable compensation means, (a) Each person shall file a certifi-
with respect to a regularly employed cation, and a disclosure form, if re-
officer or employee of any person, com- quired, with each submission that ini-
pensation that is consistent with the tiates agency consideration of such
normal compensation for such officer person for:
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
Federal contract, grant, loan, or coop- (2) A Federal loan or a commitment
erative agreement. The term excludes providing for the United States to in-
an Indian tribe, tribal organization, or sure or guarantee a loan exceeding
any other Indian organization with re- $150,000,
spect to expenditures specifically per- Unless such person previously filed a
mitted by other Federal law. certification, and a disclosure form, if
(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
298
(2) A change in the person(s) or indi- but not made before December 23, 1989,
vidual(s) influencing or attempting to disclosure forms shall not be required
influence a covered Federal action; or, at time of award or commitment but
(3) A change in the officer(s), em- shall be filed within 30 days.
ployee(s), or Member(s) contacted to (h) No reporting is required for an ac-
influence or attempt to influence a tivity paid for with appropriated funds
covered Federal action. if that activity is allowable under ei-
(d) Any person who requests or re- ther subpart B or C.
ceives from a person referred to in
paragraphs (a) or (b) of this section: Subpart B—Activities by Own
(1) A subcontract exceeding $100,000 Employees
at any tier under a Federal contract;
(2) A subgrant, contract, or sub- § 1271.200 Agency and legislative liai-
contract exceeding $100,000 at any tier son.
under a Federal grant; (a) The prohibition on the use of ap-
(3) A contract or subcontract exceed- propriated funds, in § 1271.100 (a), does
ing $100,000 at any tier under a Federal not apply in the case of a payment of
loan exceeding $150,000; or, reasonable compensation made to an
(4) A contract or subcontract exceed- officer or employee of a person request-
ing $100,000 at any tier under a Federal ing or receiving a Federal contract,
cooperative agreement, grant, loan, or cooperative agreement
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 son’s 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 (2) Technical discussions and other
or disclosure constitutes a failure to activities regarding the application or
file the required certification or disclo- adaptation of the person’s products or
sure, respectively. If a person fails to services for an agency’s use.
file a required certification or disclo- (d) For purposes of paragraph (a) of
sure, the United States may pursue all this section, the following agencies and
available remedies, including those au- legislative liaison activities are allow-
thorized by section 1352, title 31, U.S. able only where they are prior to for-
Code. mal solicitation of any covered Federal
(g) For awards and commitments in action:
process prior to December 23, 1989, but (1) Providing any information not
not made before that date, certifi- specifically requested but necessary for
cations shall be required at award or an agency to make an informed deci-
commitment, covering activities oc- sion about initiation of a covered Fed-
curring between December 23, 1989, and eral action;
the date of award or commitment. (2) Technical discussions regarding
However, for awards and commitments the preparation of an unsolicited pro-
in process prior to the December 23, posal prior to its official submission;
1989 effective date of these provisions, and,
299
§ 1271.205 14 CFR Ch. V (1–1–21 Edition)
(3) Capability presentations by per- made by a lawyer that do not provide

sons seeking awards from an agency legal advice or analysis directly and
pursuant to the provisions of the Small solely related to the legal aspects of
Business Act, as amended by Public his or her client’s proposal, but gen-
Law 95–507 and other subsequent erally advocate one proposal over an-
amendments. other are not allowable under this sec-
(e) Only those activities expressly au- tion because the lawyer is not pro-
thorized by this section are allowable viding professional legal services.
under this section. Similarly, communications with the
intent to influence made by an engi-
§ 1271.205 Professional and technical neer providing an engineering analysis
services. prior to the preparation or submission
(a) The prohibition on the use of ap- of a bid or proposal are not allowable
propriated funds, in § 1271.100(a), does under this section since the engineer is
not apply in the case of a payment of providing technical services but not di-
reasonable compensation made to an rectly in the preparation, submission
officer or employee of a person request- or negotiation of a covered Federal ac-
ing or receiving a Federal contract, tion.
grant, loan, or cooperative agreement (c) Requirements imposed by or pur-
or an extension, continuation, renewal, suant to law as a condition for receiv-
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
§ 1271.210 Reporting.
condition for receiving that Federal
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 Subpart C—Activities by Other
professional or technical discipline. Than Own Employees
For example, drafting of a legal docu-
ment accompanying a bid or proposal § 1271.300 Professional and technical
by a lawyer is allowable. Similarly, services.
technical advice provided by an engi- (a) The prohibition on the use of ap-
neer on the performance or operational propriated funds, in § 1271.100(a), does
capability of a piece of equipment ren- not apply in the case of any reasonable
dered directly in the negotiation of a payment to a person, other than an of-
contract is allowable. However, com- ficer or employee of a person request-
munications with the intent to influ- ing or receiving a covered Federal ac-
ence made by a professional (such as a tion, if the payment is for professional
licensed lawyer) or a technical person or technical services rendered directly
(such as a licensed accountant) are not in the preparation, submission, or ne-
allowable under this section unless gotiation of any bid, proposal, or appli-
they provide advice and analysis dication for that Federal contract, grant,
rectly applying their professional or loan, or cooperative agreement or for
technical expertise and unless the ad- meeting requirements imposed by or
vice or analysis is rendered directly pursuant to law as a condition for re-
and solely in the preparation, submis- ceiving that Federal contract, grant,
sion or negotiation of a covered Fed- loan, or cooperative agreement.
eral action. Thus, for example, commu- (b) The reporting requirements in
nications with the intent to influence § 1271.110 (a) and (b) regarding filing a
300
disclosure form by each person, if re- (e) Persons other than officers or em-
quired, shall not apply with respect to ployees of a person requesting or re-
professional or technical services ren- ceiving a covered Federal action in-
dered directly in the preparation, sub- clude consultants and trade associa-
mission, or negotiation of any commit- tions.
ment providing for the United States (f) Only those services expressly au-
to insure or guarantee a loan. thorized by this section are allowable
(c) For purposes of paragraph (a) of under this section.
this section, ‘‘professional and tech-
nical services’’ shall be limited to ad- Subpart D—Penalties and
vice and analysis directly applying any Enforcement
professional or technical discipline.
For example, drafting or a legal docu- § 1271.400 Penalties.
ment accompanying a bid or proposal (a) Any person who makes an expend-
by a lawyer is allowable. Similarly, iture prohibited herein shall be subject
technical advice provided by an engi- to a civil penalty of not less than
neer on the performance or operational $20,489 and not more than $204,892 for
capability of a piece of equipment ren- each such expenditure.
dered directly in the negotiation of a (b) Any person who fails to file or
contract is allowable. However, com- amend the disclosure form (see appen-
munications with the intent to influ- dix B) to be filed or amended if re-
ence made by a professional (such as a quired herein, shall be subject to a civil
licensed lawyer) or a technical person penalty of not less than $20,489 and not
(such as a licensed accountant) are not more than $204,892 for each such fail-
allowable under this section unless ure.
they provide advice and analysis di- (c) A filing or amended filing on or
rectly applying their professional or after the date on which an administra-
technical expertise and unless the ad- tive action for the imposition of a civil
vice or analysis is rendered directly penalty is commenced does not prevent
and solely in the preparation, submis- the imposition of such civil penalty for
sion or negotiation of a covered Fed- a failure occurring before that date. An
eral action. Thus, for example, commu- administrative action is commenced
nications with the intent to influence with respect to a failure when an inves-
made by a lawyer that do not provide tigating official determines in writing
legal advice or analysis directly and to commence an investigation of an al-
solely related to the legal aspects of legation of such failure.
his or her client’s proposal, but gen- (d) In determining whether to impose
erally advocate one proposal over an- a civil penalty, and the amount of any
other are not allowable under this sec- such penalty, by reason of a violation
tion because the lawyer is not pro- by any person, the agency shall con-
viding professional legal services. sider the nature, circumstances, ex-
Similarly, communications with the tent, and gravity of the violation, the
intent to influence made by an engi- effect on the ability of such person to
neer providing an engineering analysis continue in business, any prior viola-
prior to the preparation or submission tions by such person, the degree of cul-
of a bid or proposal are not allowable pability of such person, the ability of
under this section since the engineer is the person to pay the penalty, and such
providing technical services but not di- other matters as may be appropriate.
rectly in the preparation, submission (e) First offenders under paragraphs
or negotiation of a covered Federal ac- (a) or (b) of this section shall be subject
tion. to a civil penalty of $20,489, absent ag-
(d) Requirements imposed by or pur- gravating circumstances. Second and
suant to law as a condition for receiv- subsequent offenses by persons shall be
ing a covered Federal award include subject to an appropriate civil penalty
those required by law or regulation, or between $20,489 and $204,892, as deter-
reasonably expected to be required by mined by the agency head or his or her
law or regulation, and any other re- designee.
quirements in the actual award docu- (f) An imposition of a civil penalty
ments. under this section does not prevent the
301
§ 1271.405 14 CFR Ch. V (1–1–21 Edition)
United States from seeking any other (b) The report, including the com-
remedy that may apply to the same pilation, shall be available for public
conduct that is the basis for the impo- inspection 30 days after receipt of the
sition of such civil penalty. report by the Secretary and the Clerk.
[55 FR 6737, 6748, Feb. 26, 1990, as amended at (c) Information that involves intel-
82 FR 28763, June 26, 2017; 82 FR 48762, Oct. 20, ligence matters shall be reported only
2017; 83 FR 2046, Jan. 16, 2018; 84 FR 13115, to the Select Committee on Intel-
Apr. 4, 2019; 85 FR 16546, Mar. 24, 2020] ligence of the Senate, the Permanent
Select Committee on Intelligence of
§ 1271.405 Penalty procedures.
the House of Representatives, and the
Agencies shall impose and collect Committees on Appropriations of the
civil penalties pursuant to the provi- Senate and the House of Representa-
sions of the Program Fraud and Civil tives in accordance with procedures
Remedies Act, 31 U.S.C. sections 3803 agreed to by such committees. Such in-
(except subsection (c)), 3804, 3805, 3806, formation shall not be available for
3807, 3808, and 3812, insofar as these pro-
public inspection.
visions are not inconsistent with the
requirements herein. (d) Information that is classified
under Executive Order 12356 or any suc-
§ 1271.410 Enforcement. cessor order shall be reported only to
The head of each agency shall take the Committee on Foreign Relations of
such actions as are necessary to ensure the Senate and the Committee on For-
that the provisions herein are vigor- eign Affairs of the House of Represent-
ously implemented and enforced in atives or the Committees on Armed
that agency. Services of the Senate and the House of
Representatives (whichever such com-
Subpart E—Exemptions mittees have jurisdiction of matters
involving such information) and to the
§ 1271.500 Secretary of Defense. Committees on Appropriations of the
(a) The Secretary of Defense may ex- Senate and the House of Representa-
empt, on a case-by-case basis, a cov- tives in accordance with procedures
ered Federal action from the prohibi- agreed to by such committees. Such in-
tion whenever the Secretary deter- formation shall not be available for
mines, in writing, that such an exemp- public inspection.
tion is in the national interest. The (e) The first semi-annual compilation
Secretary shall transmit a copy of each shall be submitted on May 31, 1990, and
such written exemption to Congress shall contain a compilation of the dis-
immediately after making such a de- closure reports received from Decem-
termination. ber 23, 1989 to March 31, 1990.
(b) The Department of Defense may (f) Major agencies, designated by the
issue supplemental regulations to im- Office of Management and Budget
plement paragraph (a) of this section. (OMB), are required to provide ma-
chine-readable compilations to the
Subpart F—Agency Reports Secretary of the Senate and the Clerk
of the House of Representatives no
§ 1271.600 Semi-annual compilation.
later than with the compilations due
(a) The head of each agency shall col- on May 31, 1991. OMB shall provide de-
lect and compile the disclosure reports tailed specifications in a memorandum
(see appendix B) and, on May 31 and to these agencies.
November 30 of each year, submit to (g) Non-major agencies are requested
the Secretary of the Senate and the to provide machine-readable compila-
Clerk of the House of Representatives a tions to the Secretary of the Senate
report containing a compilation of the
and the Clerk of the House of Rep-
information contained in the disclo-
resentatives.
sure reports received during the six-
month period ending on March 31 or (h) Agencies shall keep the originals
September 30, respectively, of that of all disclosure reports in the official
year. files of the agency.
302
National Aeronautics and Space Admin. Pt. 1271, App. A
§ 1271.605 Inspector General report. into of any cooperative agreement, and the
extension, continuation, renewal, amend-
(a) The Inspector General, or other ment, or modification of any Federal con-
official as specified in paragraph (b) of tract, grant, loan, or cooperative agreement.
this section, of each agency shall pre- (2) If any funds other than Federal appro-
pare and submit to Congress each year, priated funds have been paid or will be paid
commencing with submission of the to any person for influencing or attempting
President’s Budget in 1991, an evalua- to influence an officer or employee of any
tion of the compliance of that agency agency, a Member of Congress, an officer or
with, and the effectiveness of, the re- employee of Congress, or an employee of a
Member of Congress in connection with this
quirements herein. The evaluation may Federal contract, grant, loan, or cooperative
include any recommended changes that agreement, the undersigned shall complete
may be necessary to strengthen or im- and submit Standard Form-LLL, ‘‘Disclosure
prove the requirements. Form to Report Lobbying,’’ in accordance
(b) In the case of an agency that does with its instructions.
not have an Inspector General, the (3) The undersigned shall require that the
agency official comparable to an In- language of this certification be included in
spector General shall prepare and sub- the award documents for all subawards at all
mit the annual report, or, if there is no tiers (including subcontracts, subgrants, and
contracts under grants, loans, and coopera-
such comparable official, the head of
tive agreements) and that all subrecipients
the agency shall prepare and submit shall certify and disclose accordingly.
the annual report. This certification is a material representa-
(c) The annual report shall be sub- tion of fact upon which reliance was placed
mitted at the same time the agency when this transaction was made or entered
submits its annual budget justifica- into. Submission of this certification is a
tions to Congress. prerequisite for making or entering into this
(d) The annual report shall include transaction imposed by section 1352, title 31,
the following: All alleged violations re- U.S. Code. Any person who fails to file the
lating to the agency’s covered Federal required certification shall be subject to a
civil penalty of not less than $20,489 and not
actions during the year covered by the
more than $204,892 for each such failure.
report, the actions taken by the head
of the agency in the year covered by Statement for Loan Guarantees and Loan
the report with respect to those alleged Insurance
violations and alleged violations in The undersigned states, to the best of his
previous years, and the amounts of or her knowledge and belief, that:
civil penalties imposed by the agency If any funds have been paid or will be paid
in the year covered by the report. to any person for influencing or attempting
to influence an officer or employee of any
agency, a Member of Congress, an officer or
employee of Congress, or an employee of a
APPENDIX A TO PART 1271— Member of Congress in connection with this
commitment providing for the United States
CERTIFICATION REGARDING LOBBYING
to insure or guarantee a loan, the under-
Certification for Contracts, Grants, Loans, and signed shall complete and submit Standard
Cooperative Agreements Form-LLL, ‘‘Disclosure Form to Report Lob-
bying,’’ in accordance with its instructions.
The undersigned certifies, to the best of his Submission of this statement is a pre-
or her knowledge and belief, that: requisite for making or entering into this
(1) No Federal appropriated funds have
transaction imposed by section 1352, title 31,
been paid or will be paid, by or on behalf of
U.S. Code. Any person who fails to file the
the undersigned, to any person for influ-
required statement shall be subject to a civil
encing or attempting to influence an officer
penalty of not less than $20,489 and not more
or employee of an agency, a Member of Con-
than $204,892for each such failure.
gress, an officer or employee of Congress, or
an employee of a Member of Congress in con- [55 FR 6737, 6748, Feb. 26, 1990, as amended at
nection with the awarding of any Federal 82 FR 28763, June 26, 2017; 82 FR 48762, Oct. 20,
contract, the making of any Federal grant, 2017; 83 FR 2046, Jan. 16, 2018; 84 FR 13115,
the making of any Federal loan, the entering Apr. 4, 2019; 85 FR 16546, Mar. 24, 2020]
303
Pt. 1271, App. B 14 CFR Ch. V (1–1–21 Edition)
APPENDIX B TO PART 1271—DISCLOSURE FORM TO REPORT LOBBYING
304
EC09SE91.013</GPH>
National Aeronautics and Space Admin. Pt. 1271, App. B
305
EC09SE91.014</GPH>
Pt. 1271, App. B 14 CFR Ch. V (1–1–21 Edition)
306
EC09SE91.015</GPH>
PART 1273 [RESERVED] 1274.510 Subcontracts.
Subpart 1274.6—Reports and Records

PART 1274—COOPERATIVE AGREE-
MENTS WITH COMMERCIAL 1274.601 Retention and access requirements
for records.
FIRMS
Subpart 1274.7—Suspension or Termination
1274.701 Suspension or termination.
Sec.
1274.101 Purpose. Subpart 1274.8—Post-Award/
1274.102 Scope. Administrative Requirements
1274.104 Effect on other issuances. 1274.801 Adjustments to performance costs.
1274.105 Review requirements. 1274.802 Modifications.
1274.106 Deviations. 1274.803 Suspension and Debarment.
1274.107 Publication of requirements. 1274.804 [Reserved]
Subpart 1274.2—Pre-Award Requirements Subpart 1274.9—Other Provisions and

Special Conditions
1274.201 Purpose.
1274.202 Methods of award. 1274.901 Other provisions and special condi-
1274.203 Solicitations/Cooperative Agree- tions.
ment Notices. 1274.902 Purpose.
1274.204 Costs and payments. 1274.903 Responsibilities.
1274.205 Consortia as recipients. 1274.904 Resource sharing requirements.
1274.206 Metric Conversion Act. 1274.905 Rights in data.
1274.207 Extended agreements. 1274.906 Designation of new technology rep-
1274.208 Intellectual property. resentative and patent representative.
1274.209 Evaluation and selection. 1274.907 Disputes.
1274.210 Unsolicited proposals. 1274.908 Milestone payments.
1274.211 Award procedures. 1274.909 Term of agreement.
1274.212 Award information. 1274.910 Authority.
1274.213 Distribution of cooperative agree- 1274.911 Patent rights.
ments. 1274.912 Patent rights—retention by the re-
1274.214 Inquiries and release of informa- cipient (large business).
tion. 1274.913 Patent rights—retention by the re-
1274.215 Federal and federally funded con- cipient (small business).
struction projects. 1274.914 Requests for waiver of rights—large
business.
Subpart 1274.3—Administration 1274.915 Restrictions on sale or transfer of
technology to foreign firms or institu-
1274.301 Delegation of administration.
tions.
1274.302 Transfers, novations, and change of
1274.916 Liability and risk of loss.
name agreements.
1274.917 Additional funds.
1274.303 Public access to Federal award in-
1274.918 Incremental funding.
formation.
1274.919 Cost principles and accounting
1274.304 Reporting a determination that a
standards.
non-Federal entity is not qualified for a
1274.920 Responsibilities of the NASA Tech-
Federal award.
nical Officer.
1274.921 Publications and reports: non-pro-
Subpart 1274.4—Property
prietary research results.
1274.401 Government furnished property. 1274.922 Suspension or termination.
1274.402 Contractor acquired property. 1274.923 Equipment and other property.
1274.924 Civil rights.
Subpart 1274.5—Procurement Standards 1274.925 Subcontracts.
1274.926 Clean Air-Water Pollution Control
1274.501 Purpose of procurement standards. Acts.
1274.502 Recipient responsibilities. 1274.927 Debarment and Suspension and
1274.503 Codes of conduct. Drug-Free Workplace.
1274.504 Competition. 1274.928 Foreign national employee inves-
1274.505 Procurement procedures. tigative requirements.
1274.506 Cost and price analysis. 1274.929 Restrictions on lobbying.
1274.507 Procurement records. 1274.930 Travel and transportation.
1274.508 Contract administration. 1274.931 Electronic funds transfer payment
1274.509 Contract provisions. methods.
307
§ 1274.101 14 CFR Ch. V (1–1–21 Edition)
1274.932 Retention and examination of to stimulate or support research activ-
records. ity, a major incentive for involvement
1274.933 Summary of recipient reporting. by commercial firms (particularly
1274.934 Safety.
where costs are shared) is the profit po-
1274.935 Security classification require-
ments. tential from marketable products ex-
1274.936 Breach of safety or security. pected to result from the cooperative
1274.937 Security requirements for unclassi- agreement project.
fied information technology resources. (b) Cooperative agreements (in areas
1274.938 Modifications. or research relevant to NASA’s mis-
1274.939 Application of Federal, State, and sion) are ordinarily entered into with
Local laws and regulations. commercial firms to—
1274.940 Changes in recipient’s membership. (1) Support research and develop-
1274.941 Insurance and indemnification.
ment;
1274.942 Export licenses.
1274.943 Investigation of research mis- (2) Provide technology transfer from
conduct. the Government to the recipient; or
1274.944 Award term and condition for re- (3) Develop a capability among U.S.
cipient integrity and performance mat- firms to potentially enhance U.S. com-
ters. petitiveness.
APPENDIX TO PART 1274—LISTING OF EXHIBITS (c) Projects that normally result in a
AUTHORITY: 51 U.S.C. 20113(e) and 31 U.S.C. cooperative agreement award to a com-
6301 to 6308; 51 U.S.C. 20102, et seq. mercial entity are projects that:
(1) Are not intended for the direct
benefit of NASA;
otherwise noted.
(2) Are expected to benefit the gen-
EFFECTIVE DATE NOTE: At 85 FR 72919, Nov. eral public;
16, 2020, part 1274 was removed and reserved, (3) Require substantial cost sharing;
effective Jan. 15, 2021.
and
(4) Have commercial applications and
Subpart 1274.1—General profit generating potential.
(d) The principal purpose of coopera-
§ 1274.101 Purpose. 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 NASA’s 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 agreement’s
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 NASA’s involve- benefits that materialize under a coop-
ment and commitment of resources is erative agreement, NASA Centers
308
should ensure that the advice of legal Cooperative agreement notice (CAN).
counsel is obtained. Publication on Federal Business Oppor-
tunities (FedBizOpps) or NASA Acqui-
§ 1274.103 Definitions. sition Internet Service (NAIS) websites
Administrator. The Administrator or advertising the solicitation of competi-
Deputy Administrator of NASA. tive proposals for the award of a coop-
Agreement officer. A Government em- erative agreement.
ployee (usually a Contracting Officer Cost sharing. Arrangement whereby
or Grant Officer) who has been dele- the Government and the recipient
gated the authority to negotiate, share the funding requirements of a
program or project at an agreed upon
award, or administer the cooperative
ratio or percentage (normally 50/50).
agreement. Most often Contracting Of-
Normally, the Government’s payment
ficers are delegated this authority for
of its share of the costs is contingent
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 recipient’s 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 Government’s
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
309
§ 1274.104 14 CFR Ch. V (1–1–21 Edition)
the funds initially allotted to the coop- Technical officer. The official of the
erative agreement are less than the cognizant NASA office who is respon-
award amount. Additional funding is sible for monitoring the technical as-
added as described in § 1274.918. pects of the work under a cooperative
Non-cash or in-kind contributions. May agreement. A Contracting Officer’s
be in the form of personnel resources Technical Representative may serve as
(where cost accounting methods allow a Technical Officer.
accumulation of such costs), real prop- Termination. The cancellation of a co-
erty, equipment, supplies and other ex- operative agreement in whole or in
pendable property, and the value of part, by either party at any time prior
goods and services directly benefiting to the date of completion.
and specifically identifiable to the [67 FR 45790, July 10, 2002, as amended at 70
project or program. Costs incurred by FR 28809, May 19, 2005]
NASA to provide the services of one of
its support contractors to perform part § 1274.104 Effect on other issuances.
of NASA’s requirements under a coop- For awards subject to this part, all
erative agreement shall be included as administrative requirements of codi-
part of NASA’s cost share, and will be fied program regulations, program
counted as an in-kind contribution to manuals, handbooks and other non-reg-
the cooperative agreement. ulatory materials which are incon-
Recipient. An organization receiving sistent with the requirements of this
financial assistance under a coopera- part shall be superseded, except to the
tive agreement to carry out a project extent they are required by statute, or
or program. A recipient may be an in- authorized in accordance with the devi-
dividual firm, including sole propri- ations provision in § 1274.106.
etor, partnership, corporation, or a
consortium of business entities. § 1274.105 Review requirements.
Research misconduct is defined in 14 (a) Once the decision is made by a
CFR 1275.101. NASA policies and proce- Headquarters program office or Center
dures regarding Research misconduct procurement personnel, to pursue the
are set out in 14 CFR part 1275, ‘‘Inves- Cooperative Agreement Notice (CAN)
tigation of Research Misconduct.’’ process, for which the total NASA re-
Resource contributions. The total sources to be expended equal or exceed
value of resources provided by either $10 million (cash plus non-cash con-
party to the cooperative agreement in- tributions), a notification shall imme-
cluding both cash and non-cash con- diately be provided to the Assistant
tributions. Administrator for Procurement (Code
Subcontracting dollar threshold. The HS). The notification(s) shall be for-
dollar amount of the cooperative warded by the cognizant Headquarters
agreement subject to the small busi- program office or the Center procure-
ness subcontracting policies (includes ment office (as applicable). For any
small business, veteran-owned small CAN where NASA’s cash contributions
business, service-disabled veteran- are expected to equal or exceed $10 mil-
owned small business, historically un- lion, Headquarters program office or
derutilized small business, small dis- Center procurement personnel shall
advantaged business, women-owned also notify the Assistant Adminis-
business concerns, Historically Black trator for Small and Disadvantaged
Colleges and Universities, and minority Business Utilization (Code K). All such
educational institutions). For coopera- notifications, as described in paragraph
tive agreements, the dollar threshold (b) of this section, shall evidence con-
to which the small business subcon- currence by the cognizant Center Pro-
tracting policies apply, is established curement Officer. These review re-
by the total amount of NASA’s cash quirements also apply where an unso-
contributions. licited proposal is received from a com-
Suspension. An action by NASA or mercial firm (or from a team of recipi-
the recipient that temporarily discon- ents where one of more team members
tinues efforts under an award, pending is a commercial firm), and the planned
corrective action or pending a decision award document is a cooperative agree-
to terminate the award. ment.
310
(b) The notification shall be accom- (3) Whether Code HS will require re-
plished by sending an electronic mail view and approval of the selected
(e-mail) message to the following ad- offeror’s cost sharing arrangement
dress at NASA Headquarters: (e.g., cost sharing percentage; type of
can@hq.nasa.gov. The notification must contribution (cash, labor, etc.)).
include the following information, as a (4) Whether Code HS will require re-
minimum— view and approval of the resulting co-
(1) Identification of the cognizant operative agreement(s).
Center and program office; (d) If a response from Code HS is not
(2) Description of the proposed pro- received within 5 working days of noti-
gram for which proposals are to be so- fication, the program office or Center
licited; may proceed with release of the CAN
(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 (2) When a provision is set forth in
and NASA Policy Guidance (NPG) this regulation, but not prescribed for
7120.5 have been met. This affirmative use verbatim, and the installation sub-
statement will include a specific ref- stitutes a provision which is incon-
erence to the signed Program Commit- sistent with the intent, principle, and
ment Agreement. substance of the prescribed provision.
(c) Code HS will respond by e-mail (3) When a NASA form or other form
message to the sender, with a copy of is prescribed by this regulation, and
the message to the Procurement Offi- that form is altered or another form is
cer and the Office of Small and Dis- used in its place.
advantaged Business Utilization, with- (4) When limitations, imposed by this
in five (5) working days of receipt of regulation upon the use of a provision,
this initial notification. The response form, procedure, or any other action,
will address the following: are not adhered to.
(1) Whether Code HS agrees or dis- (c) Requests for authority to deviate
agrees with the appropriateness for from this regulation will be forwarded
using a CAN for the effort described, to Headquarters, Program Operations
(2) Whether Code HS will require re- Division (Code HS). Such requests,
view and approval of the CAN before its signed by the Procurement Officer,
issuance, shall contain as a minimum—
311
§ 1274.107 14 CFR Ch. V (1–1–21 Edition)
(1) A full description of the deviation sources committed to the Cooperative

and identification of the regulatory re- Agreement (cash and quantifiable in-
quirement from which a deviation is kind contributions).
sought;
(2) Detailed rationale for the request, § 1274.203 Solicitations/cooperative
including any pertinent background in- agreement notices.
formation; (a) Agreement officers should use
(3) The name of the recipient and every effort to issue draft pre-award
identification of the cooperative agree- cooperative agreement information.
ment affected, including the dollar Any draft documentation released for
value. comment shall contain all factors/sub-
(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 (CAN’s) or Cooperative Agreements
(5) A copy of legal counsel’s 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-
ments. tributions.
(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 1274.2—Pre-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 NASA’s 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.
312
(5) Whenever feasible, agreement offi- kind resources requested, shall be

cers should include a summary of the added to NASA’s shared cost of per-
disposition of significant comments forming the cooperative agreement,
when issuing the final CAN and/or CA. and may require increased cash or in-
(b) The evaluation section of the CAN kind contributions from the recipient
shall notify potential recipients of the to meet its percentage of the cost
relative importance of factors, and any share.
subfactors or other criteria that will be (f) To protect the integrity of the
evaluated during the selection process. competitive process, upon release of
(c) For its research projects, NASA the formal CAN the agreement officer
may publish the expected project goals
shall direct that all personnel associ-
and objectives in terms of ‘‘What’’ the
ated with the source selection refrain
commercial recipient is expected to ac-
complish. The commercial recipient from communicating with prospective
may be required to submit a proposed recipients and to refer all inquiries to
statement of work with its proposal the agreement officer or other author-
stating ‘‘How’’ the recipient will ac- ized representative. The notification to
complish the task(s). Depending on its potential recipients may be sent in any
importance to the success of the format (e.g., letter or electronic) ap-
project, for some projects the recipi- propriate to the complexity of the ac-
ent’s statement of work may be in- quisition. It is not intended that all
cluded as an evaluation criterion for communication with potential recipi-
award. In these instances, the require- ents be terminated. Agreement officers
ment for submission of the recipient’s should continue to provide information
statement of work will be clearly iden- as long as it does not create an unfair
tified as a subfactor or criterion that competitive advantage or reveal pro-
will be evaluated, and its relative prietary data.
weight or ranking in relation to other (g) If NASA anticipates that the
evaluation criteria shall be stated. In total Federal share of any award made
all cases, where the recipient submits a under a funding agreement may exceed,
statement of work in response to over the period of performance, the
NASA project objectives, NASA shall simplified acquisition threshold, the
have final approval of the acceptability
notice of funding opportunity must in-
of the statement of work.
clude the information as required in
(d) Where performance-based mile-
Appendix 1 to Part 200, paragraph E.3,
stone payments are planned, the poten-
tial recipient should be encouraged to paragraph E.4, and paragraph F.3.
suggest in its statement of work [67 FR 45790, July 10, 2002, as amended at 81
(which incorporates the project goals FR 35584, June 3, 2016]
and objectives), or elsewhere in its pro-
posal, terms and/or performance events § 1274.204 Costs and payments.
upon which milestone payments can be (a) Cost allowability. (1) Cooperative
negotiated. agreements awarded to commercial
(e) The CAN should provide a descrip- firms are subject to the cost account-
tion and value for any quantifiable
ing standards and principles of 48 CFR
non-cash or in-kind Government re-
Chapter 99, as implemented by FAR
sources (personnel, equipment, facili-
Parts 30 and 31.
ties, etc.), in addition to any cash
funds that will be offered by the Gov- (2) If the recipient is a consortium
ernment as part of its contributions to which includes non-commercial enti-
the cooperative agreement. As part of ties as members, cost allowability for
its proposal package, the recipient may those members will be determined as
also identify additional non-cash or in- follows:
kind resources it wishes NASA to con- (i) Allowability of costs incurred by
tribute. The recipient shall verify the state, local or federally-recognized In-
suitability of the requested resource(s) dian tribal governments is determined
to the work to be performed under the in accordance with the provisions of
cooperative agreement. Any additional OMB Circular A–87, ‘‘Cost Principles
verifiable and suitable non-cash or infor State and Local Governments.’’
313
§ 1274.204 14 CFR Ch. V (1–1–21 Edition)
(ii) The allowability of costs incurred tifiable amounts to determine the equi-
by non-profit organizations is deter- table dollar amounts of costs to be
mined in accordance with the provi- shared.
sions of OMB Circular A–122, ‘‘Cost (3) As is expected from the commer-
Principles for Non-Profit Organiza- cial partner, the Government’s cost
tions.’’ share should reflect certain non-cash
(iii) The allowability of costs in- as well as cash contributions to the
curred by institutions of higher edu- most practicable extent possible.
cation is determined in accordance Where quantifiable, NASA will include
with the provisions of OMB Circular A– in the calculation of the Government’s
21, ‘‘Cost Principles for Educational cost share, non-cash or in-kind con-
nstitutions.’’ tributions, which includes the value of
(iv) The allowability of costs in- equipment, personnel, and facilities.
curred by hospitals is determined in ac- Costs incurred by NASA to provide the
cordance with the provisions of Appen- services of one or more support con-
dix E of 45 CFR part 74, ‘‘Principles for tractors to perform part of NASA’s re-
Determining Costs Applicable to Re- quirements under a cooperative agree-
search and Development Under Grants ment will be counted as part of NASA’s
and Contracts with Hospitals.’’ in-kind contributions. This approach is
(3) A recipient’s method for account- also supported by the initiative to im-
ing for the expenditure of funds must plement full cost accounting methods
be consistent with generally accepted within the Federal Government.
accounting principles. (4) When other Government agencies
(b) Cost sharing. (1) Given the mutu- act as partners along with NASA (e.g.,
ally beneficial nature of, in particular, Department of Defense or Federal
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 Government’s 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 ent’s 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- cipient’s 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 cers should also consider whether other
future profitability of intellectual factors exist that demonstrate the re-
property may serve as an incentive for cipient’s financial stake or self-inter-
involvement of the commercial firm in est in the success of the cooperative
the cooperative agreement, the actual agreement.
or imputed value of such items as pat- (6) In cases where a contribution of
ent rights, data rights, trade secrets, less than 50 percent is anticipated from
etc., included in intellectual property the commercial recipient, approval of
is generally not considered a reliable the Assistant Administrator for Pro-
source for computation of the recipi- curement (Code HS) is required prior to
ent’s contributions. award. The request for approval should
(2) In most cases these costs are not address the evaluation factor in the so-
readily quantifiable. Thus, although licitation and how the proposal accom-
the value of intellectual property plishes those objectives to such a de-
rights should be factored into the in- gree that a share ratio of less than 50
centive for the recipient to share at percent is warranted.
least 50 percent of costs, intellectual (7) Once accepted for application to
property rights do not serve as quan- costs shared under the cooperative
314
agreement, cash and in-kind contribu- benchmarks. The milestone must rep-
tions including Independent Research resent the accomplishment of
and Development (IR&D) costs, may verifiable, significant event(s) and may
not be included as contributions for not be based upon the mere passage of
any other federally assisted project or time or the performance of a particular
program. level of effort. The Government tech-
(c) Fixed funding. (1) Cooperative nical officer must verify to and advise
agreements are funded by NASA the agreement officer that each mile-
through the disbursement of agreed stone has been achieved prior to au-
upon fixed payment amounts to the re- thorizing the corresponding payment.
cipient. NASA makes disbursement of (3) The amount of funds to be dis-
funds to the recipient as ‘‘Milestone bursed by NASA in recognition of the
payments’’ discussed in paragraph (d) achievement of milestones (‘‘milestone
of this section. If the recipient payments’’) shall be established con-
achieves the final milestone, final pay- sistent with the ratio of resource shar-
ment is made, which completes NASA’s ing agreed upon under the cooperative
financial responsibilities under the agreement (see paragraph (e)(2) of this
agreement. section). While the schedule for mile-
(2) Fixed payments on a cooperative stone achievement must reflect the
agreement are made by NASA based on project being undertaken, the fre-
the accomplishment by the recipient of quency should not be greater than one
predetermined tangible milestones. payment per month. For many
Any arrangement where payments are projects, scheduling milestones to be
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, NASA’s funding is limited ated payment is large enough to pro-
to milestone payments already made vide incentive to the recipient to com-
plus NASA’s 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 NASA’s 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- ment’s 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
315
§ 1274.205 14 CFR Ch. V (1–1–21 Edition)
the subcontractor is not part of the of- costs (e.g., the 50 percent recipient’s
fering team and the subcontract is an cost share or other costs of perform-
arms-length relationship. All entities ance).
that are involved in performing the re- (b) NASA enters into an agreement
search and development effort that is with only one entity (as identified by
the purpose of the cooperative agree- the consortium members). (Also see
ment shall be part of the recipient’s § 1274.940.) The inclusion of non-profit
consortium and not subcontractors. or educational institutions, small busi-
(g) Independent Research and Develop- nesses, or small disadvantaged busi-
ment (IR&D) costs. When determining nesses in the consortium could be par-
the applicable dollar amounts or rea- ticularly valuable in ensuring that the
sonableness of proposed IR&D costs to results of the consortium’s activities
be included as part of the recipient’s are disseminated.
cost share, agreement officers should (c) Key to the success of the coopera-
seek assistance from DCAA or the cog- tive agreement with a consortium is
nizant audit agency. the consortium’s Articles of Collabora-
(1) In accordance with FAR 31.205– tion, which is a definitive description
18(e), IR&D costs may include costs of the roles and responsibilities of the
contributed by contractors in per- consortium’s members. The Articles of
forming cooperative research and de- Collaboration must designate a lead
velopment agreements or similar ar- firm to represent the consortium and
rangements, entered into under sec- authority to sign on the consortium’s
tions 203(c)(5) and (6) of the National behalf. It should also address to the ex-
Aeronautics and Space Act of 1958, as tent appropriate—
amended (42 U.S.C. 2473(c)(5) and (6)). (1) Commitments of financial, per-
IR&D costs incurred by a contractor sonnel, facilities and other resources;
pursuant to these types of cooperative (2) A detailed milestone chart of con-
agreements should be considered as al- sortium activities;
lowable IR&D costs if the work per- (3) Accounting requirements;
formed would have been allowed as (4) Subcontracting procedures;
contractor IR&D had there been no co- (5) Disputes;
operative arrangement. (6) Term of the agreement;
(2) IR&D costs (or an agreed upon (7) Insurance and liability issues;
portion of IR&D costs) incurred by the (8) Internal and external reporting
recipient’s organization and deemed by requirements;
NASA as the same type of research (9) Management structure of the con-
being undertaken by the cooperative sortium;
agreement between NASA and the re- (10) Obligations of organizations
cipient may serve as part of the recipi- withdrawing from the consortia;
ent’s contribution of shared costs (11) Allocation of data and patent
under the cooperative agreement. rights among the consortia members
When considering the use of IR&D (12) Agreements, if any, to share ex-
costs as part of the recipient’s cost isting technology and data;
share, the IR&D costs offered by the re- (13) The firm that is responsible for
cipient shall meet the requirements of the completion of the consortium’s re-
FAR 31.205–18. 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 recipient’s cost share shall commit the consortium and receive
meet the criteria established by FAR payments from NASA, and address em-
31.205–18(d), Deferred IR&D Costs. ployee policy or other personnel issues.
(d) The consortium’s charter or by-
§ 1274.205 Consortia as recipients. 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
316
Collaboration do not become part of validating performance and accounting

the resulting cooperative agreement. for funds expended.
§ 1274.206 Metric Conversion Act.
FR 14535, Mar. 26, 2003]
The Metric Conversion Act, as
amended by the Omnibus Trade and § 1274.208 Intellectual property.
Competitiveness Act (15 U.S.C. 205) de- (a) Intellectual property rights. A coop-
clares that the metric system is the erative agreement covers the disposi-
preferred measurement system for U.S. tion of rights to intellectual property
trade and commerce. NASA’s policy between NASA and the recipient. If the
with respect to the metric measure- recipient is a consortium or partner-
ment system is stated in NPD 8010.2, ship, rights flowing between multiple
Use of the Metric System of Measure- organizations in a consortium must be
ment in NASA Programs. negotiated separately and formally
documented, preferably in the Articles
§ 1274.207 Extended agreements. of Collaboration.
(a) Multiple year cooperative agree- (b) Rights in patents. Patent rights
clauses are required by statute and reg-
ments are encouraged, but normally
ulation. The clauses exist for recipients
they should span no more than three
of the agreement whether they are—
years.
(1) Other than small business or non-
(b) Cooperative agreements that will profit organizations (generally referred
exceed $5 million and have a period of to as large businesses) or
performance in excess of 5 years shall (2) Small businesses or nonprofit or-
require the approval of the Assistant ganizations.
Administrator for Procurement prior (c) Inventions. There are five situa-
to award. Requests for approval shall tions in which inventions may arise
include a justification for exceeding 5 under a cooperative agreement—
years and evidence that the extended (1) Recipient Inventions;
years can be reasonably priced. Re- (2) Subcontractor Inventions;
quests for approval are not required (3) NASA Inventions;
when the 5-year limitation is exceeded (4) NASA Support Contractor Inven-
due to a no cost extension. tions; and
(c) Cooperative agreement renewals (5) Joint Inventions with Recipient.
provide for the continuation of re- (d) Recipient inventions. (1) A recipi-
search beyond the original scope, pe- ent, if a large business, is subject to
riod of performance and funding levels; section 305 of the National Aeronautics
therefore, new proposals, certifi- and Space Act of 1958 (42 U.S.C. 2457)
cations, and technical evaluations are relating to property rights in inven-
required prior to the execution of a co- tions. The term ‘‘invention’’ includes
operative agreement renewal. Renew- any invention, discovery, improve-
als will be awarded as new cooperative ment, or innovation. Title to an inven-
agreements. Continued performance tion made under a cooperative agree-
within a period specified under a mul- ment by a large business recipient ini-
tiple year cooperative agreement pro- tially vests with NASA. The recipient
vision does not constitute a renewal. may request a waiver under the NASA
(d) The provisions set forth in Patent Waiver Regulations to obtain
title to inventions made under the
§ 1274.901 are generally considered ap-
agreement. Such a request may be
propriate for agreements not exceeding
made in advance of the agreement (or
3 years and/or a Government cash con- 30 days thereafter) for all inventions
tribution not exceeding $20M. For coop- made under the agreement. Alter-
erative agreements expected to be natively, requests may be made on a
longer than 3 years and/or involve Gov- case-by-case basis any time an indi-
ernment cash contributions exceeding vidual invention is made. Such waivers
$20M, consideration should be given to are liberally and expeditiously granted
provisions which place additional re- after review by NASA’s Invention and
strictions on the recipient in terms of Contribution Board and approval by
317
§ 1274.208 14 CFR Ch. V (1–1–21 Edition)
NASA’s General Counsel. When a waiv- Rights in Inventions Made With Fed-
er is granted, any inventions made in eral Assistance,’’ apply. The subcon-
the performance of work under the tractor has the first option to elect
agreement are subject to certain re- title to any inventions made in the per-
porting, election and filing require- formance of work under the agreement,
ments, a royalty-free license to the subject to specific reporting, election
Government, march-in rights, and cer- and filing requirements, a royalty-free
tain other reservations. license to the Government, march-in
(2) A recipient, if a small business or rights, and certain other reservations
nonprofit organization, may elect to that are specifically set forth.
retain title to its inventions. The term (3) Work outside the United States. If
‘‘nonprofit organization’’ is defined in the recipient subcontracts for work to
35 U.S.C. 201(i) and includes univer- be done outside the United States, its
sities and other institutions of higher possessions or Puerto Rico, the NASA
education or an organization of the installation Patent Counsel or Intellec-
type described in section 501(c)(3) of tual Property Counsel should be con-
the Internal Revenue Code. The Gov- tacted for the proper patent rights
ernment obtains an irrevocable, non- clause to use and the procedures to fol-
exclusive, royalty-free license. low.
(e) Subcontractor inventions—(1) Large (4) Notwithstanding paragraphs
business. If a recipient enters into a (e)(1), (2), and (3) of this section, and in
subcontract (or similar arrangement) recognition of the recipient’s substan-
with a large business organization for tial contribution, the recipient is au-
experimental, developmental, research, thorized, subject to rights of NASA set
design or engineering work in support forth elsewhere in the agreement, to:
of the agreement to be performed in
(i) Acquire by negotiation and mu-
the United States, its possessions, or
tual agreement rights to a subcontrac-
Puerto Rico, section 305 of the Space
tor’s subject inventions as the recipi-
Act applies. The clause applicable to
ent may deem necessary; or
large business organizations is to be
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
318
made by its employees as a con- interest. For small business firms and
sequence of, or which bear a direct re- nonprofit organizations, the Associate
lation to, the performance of specified General Counsel (Intellectual Prop-
NASA activities under an agreement. erty) may agree to assign or transfer
Upon timely request, NASA will use its whatever rights NASA may acquire in
best efforts to a grant recipient first a subject invention from its employee
option to acquire either an exclusive or to the recipient as authorized by 35
partially-exclusive, revocable, royalty- U.S.C. 202(e). The agreement officer ne-
bearing license, on terms to be nego- gotiating the agreement with small
tiated, for any patent applications and business firms and nonprofit organiza-
patents covering such inventions. This tions can agree, up front, that NASA
exclusive or partially-exclusive license
will assign whatever rights it may ac-
to the recipient will be subject to the
quire in a subject invention from its
retention of rights by or on behalf of
the Government for Government pur- employee to the small business firm or
poses. nonprofit organization. Requests under
(g) NASA support contractor inventions. this paragraph shall be made through
It is preferred that NASA support con- the Center Patent Counsel.
tractors be excluded from performing (2) NASA support contractors may be
any of NASA’s responsibilities under joint inventors. If a NASA support con-
an agreement since the rights obtained tractor employee is a joint inventor
by a NASA support contractor could with a NASA employee, the same pro-
work against the rights needed by the visions apply as those for NASA sup-
recipient. In the event NASA support port contractor inventions (see para-
contractors are tasked by NASA to graph (g) of this section). The NASA
work under the agreement and inven- support contractor will retain or ob-
tions are made by support contractor tain nonexclusive licenses to those in-
employees, the support contractor will ventions in which NASA obtains title.
normally retain title to its employee If a NASA support contractor employee
inventions in accordance with 35 U.S.C. is a joint inventor with a recipient em-
202, 14 CFR part 1245, and E.O. 12591. In ployee, the NASA support contractor
the event the recipient decides not to and recipient will become joint owners
pursue right to title in any such inven- of those inventions in which they have
tion and NASA obtains title to such in-
elected to retain title or requested and
ventions, upon timely request, NASA
have been granted waiver of title.
will use its best efforts to grant the re-
Where the NASA support contractor
cipient first option to acquire either an
exclusive or partially exclusive, rev- has not elected to retain title or has
ocable, royalty-bearing license, upon not been granted waiver of title, NASA
terms to be negotiated, for any patent will jointly own the invention with the
applications and patents covering such Recipient.
inventions. This exclusive or partially- (i) Licenses to recipient(s). (1) Any ex-
exclusive license to the recipient will clusive or partially exclusive commer-
be subject to the retention of rights by cial licenses are to be royalty-bearing
or on behalf of the Government for consistent with Government-wide pol-
Government purposes. icy in licensing its inventions. It also
(h) Joint inventions. (1) NASA and the provides an opportunity for royalty-
recipient agree to use reasonable ef- sharing with the employee-inventor,
forts to identify and report to each consistent with Government-wide pol-
other any inventions made jointly be- icy under the Federal Technology
tween NASA employees (or employees Transfer Act.
of NASA support contractors) and em- (2) Upon application in compliance
ployees of Recipient. For large busi- with 37 CFR Part 404—Licensing of
nesses, the Associate General Counsel Government Owned Inventions, all re-
(Intellectual Property) may agree that cipients shall be granted a revocable,
the United States will refrain, for a
nonexclusive, royalty-free license in
specified period, from exercising its un-
each patent application filed in any
divided interest in a manner incon-
sistent with the recipient’s commercial country on a subject invention and any
319
§ 1274.208 14 CFR Ch. V (1–1–21 Edition)
resulting patent in which the Govern- tially in the United States, may be
ment obtains title. Because coopera- waived by the Assistant Administrator
tive agreements are cost sharing coop- for Procurement (Code HS) upon a
erative arrangements with a purpose of showing by the recipient that under
benefiting the public by improving the the circumstances domestic manufac-
competitiveness of the recipient and ture is not commercially feasible.
the Government receives an irrev- (k) Space Act agreements. Invention
ocable, nonexclusive, royalty-free li- and patent rights in cooperative agree-
cense in each recipient subject inven- ments must comply with statutory and
tion, it is only equitable that the re- regulatory provisions. Where cir-
cipient receive, at a minimum, a rev- cumstances permit, a Space Act Agree-
ocable, nonexclusive, royalty-free li- ment is available as an alternative in-
cense in NASA inventions and NASA strument which can be more flexible in
contractor inventions where NASA has the area of invention and patent rights.
acquired title. (l) Data rights. Data rights provisions
(3) Once a recipient has exercised its can and should be tailored to best
option to apply for an exclusive or par- achieve the needs and objectives of the
tially exclusive license, a notice, iden- respective parties concerned.
tifying the invention and the recipient, (1) The data rights clause at § 1274.905
is published in the FEDERAL REGISTER, assumes a substantially equal cost
providing the public opportunity for sharing relationship where collabo-
filing written objections for 60 days. rative research, experimental, develop-
(j) Preference for United States manu- mental, engineering, demonstration, or
facture. Despite any other provision, design activities are to be carried out,
the recipient agrees that any products such that it is likely that ‘‘propri-
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
320
after which the data first produced by tained from a private participant, will
the recipient in the performance of the be marked with an appropriate legend
agreement will be made public. and maintained in confidence for an
(3) Data can be generated from dif- agreed to period of up to five years (the
ferent sources and can have various re- maximum allowed by law). This does
strictions placed on its dissemination. not apply to data other than that for
Recipient data furnished to NASA can which there has been agreement re-
exist prior to, or be produced outside garding publication or distribution.
of, the agreement or be produced under The period of time during which data
the agreement. NASA can also produce first produced by NASA is maintained
data in carrying out its responsibilities in confidence should be consistent with
under the agreement. Each of these the period of time determined in ac-
areas must be covered. cordance with paragraph (h)(2) of this
(4) For data, including software, first section, before which data first pro-
produced by the recipient under the duced by the recipient will be made
agreement, the recipient may assert public. Also, NASA itself may use the
copyright. Data exchanged with a no- marked data (under suitable protective
tice showing that the data is protected conditions) for agreed-to purposes.
by copyright must include appropriate
licenses in order for NASA to use the § 1274.209 Evaluation and selection.
data as needed.
(a) Factor development. The agreement
(5) Recognizing that the dissemina-
officer, along with the NASA evalua-
tion of the results of NASA’s activities
tion team has discretion to determine
is a primary objective of a cooperative
the relevant evaluation criteria based
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
the cooperative agreement entitled (b) Communications during non-com-
‘‘Publication and Reports: Non-Propri- petitive awards. For cooperative agree-
etary Research Results.’’ Any such ments awarded non-competitively (see
agreement on the publication of results § 1274.202(b)), there are no restrictions
should be stated to take precedence on communications between NASA and
over any other clause in the coopera- the recipient. In addition, there is no
tive agreement. requirement for the development and
(6) Section 1274.905(b)(3) requires the publication of formal evaluation or
recipient to provide NASA a govern- source selection criteria.
ment purpose license for data first pro- (c) Communications during competitive
duced by the Recipient that con- awards. As discussed in § 1274.203(c),
stitutes trade secrets or confidential when a competitive source selection
business or financial information. process will be followed to select the
NASA and the recipient shall deter- recipient, an appropriate level of care
mine the scope of this license at the shall be taken by NASA personnel in
time of award of the cooperative agree- order to protect the integrity of the
ment. In addition to the purposes given source selection process. Therefore,
as examples in § 1274.905(b)(3), the li- upon release of the formal cooperative
cense should provide NASA the right to agreement notice (CAN), the agree-
use this data under a separate coopera- ment officer shall direct all procure-
tive agreement or contract issued to a ment personnel associated with the
party other than the recipient for the source selection to refrain from com-
purpose of continuing the project in municating with prospective recipients
the event the cooperative agreement is and that all inquiries be referred to the
terminated by either party. agreement officer, or other authorized
(7) In accordance with section 303(b) representative.
of the Space Act, any data first pro- (d) Selection factors and subfactors. (1)
duced by NASA under the agreement At a minimum, the selection process
which embodies trade secrets or finan- for the competitive award of coopera-
cial information that would be privi- tive agreements to commercial entities
leged or confidential if it had been ob- shall include evaluation of potential
321
§ 1274.209 14 CFR Ch. V (1–1–21 Edition)
recipients’ proposals for merit and rel- ards, if it is determined that the infor-
evance to NASA’s mission require- mation is not relevant to the current
ments through their responses to the Federal award under consideration or
publication of NASA evaluation fac- there are specific conditions that can
tors. The evaluation factors should in- appropriately mitigate the effects of
clude technical and management capa- the non-Federal entity’s risk in accord-
bilities (mission suitability), past per- ance with 2 CFR 200.207, Specific condi-
formance, and proposed costs (includ- tions.
ing proposed cost share). (f) Other factors and subfactors. Other
(2) For programs that may involve factors and subfactors may include—
potentially hazardous operations re- (1) The composition or appropriate-
lated to flight, and/or mission critical ness of the business relationship of pro-
ground systems, NASA’s selection fac- posed team members or consortium, ar-
tors and subfactors shall provide for ticles of collaboration, participation of
evaluation of the recipient’s proposed an appropriate mix of small business,
approach to managing risk (e.g., tech- veteran-owned small business, service-
nology being applied or developed, disabled veteran-owned small business,
technical complexity, performance historically underutilized small busi-
specifications and tolerances, delivery ness, small disadvantaged business, and
schedule, etc.). women-owned business concerns, as
(3) As part of the evaluation process, well as non-profits and educational in-
the factors, subfactors, or other cri- stitutions, including historically black
teria should be tailored to properly ad- colleges and universities and minority
dress the requirements of the coopera- institutions).
tive agreement.
(2) Other considerations may include
(e)(1) Prior to making a Federal
enhancing U.S. competitiveness, devel-
award, agreement officers are required
oping a capability among U.S. firms,
by 31 U.S.C. 3321 and 41 U.S.C. 2313
identification of potential markets, ap-
note, to review information available
propriateness of business risks.
through any OMB-designated reposi-
tories of governmentwide eligibility (g) Proposal evaluation. The proposals
qualification, currently the System of shall be evaluated in accordance with
Award Management (SAM), or finan- the criteria published in the CAN. Pro-
cial integrity information (currently posals selected for award will be sup-
Federal Awardee Performance and In- ported by documentation as described
tegrity Information System (FAPIIS)), in 1274.211(b). When evaluation results
as appropriate. See also suspension and in a proposal not being selected, the
debarment requirements at 2 CFR part proposer will be notified in accordance
180 as well as individual Federal agency with the CAN.
suspension and debarment regulations (h) Technical evaluation. The tech-
in title 2 of the Code of Federal Regula- nical evaluation of proposals may in-
tions. clude peer reviews. Because the busi-
(2) In accordance with 41 U.S.C. 2313, ness sense of a cooperative agreement
agreement officers are required to re- proposal is critical to its success,
view the non-public segment of FAPIIS NASA may reserve the right to utilize
prior to making a Federal award where appropriate outside evaluators to as-
the Federal share is expected to exceed sist in the evaluation of such proposal
the simplified acquisition threshold, elements as the business base projec-
defined in 41 U.S.C. 134, over the period tions, the market for proposed prod-
of performance. At a minimum, the in- ucts, and/or the impact of anticipated
formation in the system for a prior product price reductions.
Federal award recipient must dem- (i) Cost/price evaluation. (1) Prior to
onstrate a satisfactory record of exe- award of a cooperative agreement,
cuting programs or activities under agreement officers shall ensure that
Federal grants, cooperative agree- proposed costs are accurate and reason-
ments, or procurement awards; and in- able. In order to do so, cost and pricing
tegrity and business ethics. NASA may data may be required. The level of cost
make a Federal award to a recipient and pricing data to be requested shall
who does not fully meet these stand- be commensurate with the analysis
322
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 NASA’s 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. 106–391, as part of
can assist in determining whether cost the evaluation of costs and benefits of
and pricing data are necessary and the entering into an obligation to conduct
level of analysis required. While com- a space mission in which a foreign enti-
petition may be present (i.e., more ty will participate as a supplier of the
than one proposal is received), in most spacecraft, spacecraft system, or
cases companies are proposing com- launch system, NASA shall solicit
peting technologies and varying ap- comment on the potential impact of
proaches that reflect very different such participation, through notice pub-
methods (and accompanying costs) to lished in the FedBizOpps or NAIS.
satisfy NASA’s project objectives. Con- (k) Safe-guarding proposals. Competi-
sequently, this type of competitive en- tive proposal information shall be pro-
vironment is very different from an en- tected in accordance with FAR 15.207,
vironment where competitive proposals Handling proposals and information.
are submitted in response to a request Unsolicited proposals shall be pro-
for proposals leading to award of a con- tected in accordance with FAR 15.608,
tract for relatively well-defined pro- Prohibitions, and FAR 15.609, Limited
gram or project requirements. use of data.
(2) During evaluation of the cost pro- (1) Evaluation team members, the
posal, the agreement officer, along source selection authority, and agree-
with other NASA evaluation team ment officers are responsible for pro-
members and/or pricing support per- tecting sensitive information on the
sonnel, shall determine the reasonable- award of a grant or cooperative agree-
ness of the overall proposed project ment and for determining who is au-
costs, including verifying the value of thorized to receive such information.
the recipient’s proposed non-cash and Sensitive information includes: infor-
in-kind contributions. Commitments mation contained in proposals; infor-
should be obtained and verified to the mation prepared for NASA’s evaluation
extent practicable from the recipient of proposals; the rankings of proposals
or any associated team members, from for an award; reports and evaluations
which proposed contributions will be of source selection panels, boards, or
made. advisory councils; and other informa-
(3) If the recipient’s proposed con- tion deemed sensitive by the source se-
tributions include application of IR&D lection authority or by the agreement
costs, see § 1274.204(g). officer.
(j) Awards to foreign governments and (2) No sensitive information shall be
firms. (1) An award may not be made to disclosed to persons not on the evalua-
a foreign government. However, if se- tion team or evaluation panel, unless
lected as the best available source, an the Selecting Official or the agreement
award may be made to a foreign firm. officer has approved disclosure based
If a proposal is selected from a foreign upon an unequivocal ‘‘need-to-know’’
firm sponsored by their respective gov- and the individual receiving the infor-
ernment agency, or from entities con- mation has signed a Non-Disclosure
sidered quasi-governmental, approval Certificate. All attendees at formal
must be obtained from Headquarters, source selection presentations and
Program Operations Division (Code briefings shall be required to sign an
HS). Such requests must include de- Attendance Roster and a Disclosure
tailed rationale for the selection, to in- Certificate. The attendance rosters and
clude the funding source of the foreign certificates shall be maintained in offi-
participant. The approval of the Assist- cial files for a minimum of six months
ant Administrator for Procurement is after award.
323
§ 1274.210 14 CFR Ch. V (1–1–21 Edition)
(3) The improper disclosure of sen- nical office will prepare and furnish to
sitive information could result in the Agreement Officer, a justification
criminal prosecution or an adverse ac- for acceptance of an unsolicited pro-
tion. posal (JAUP). The JAUP shall be sub-
(l) Controls on the use of outside eval- mitted for the approval of the agree-
uators. The use of outside evaluators ment officer after review and concur-
shall be approved in accordance with rence at a level above the technical of-
NFS 1815.207–70(b). A cover sheet with ficer. The evaluator shall consider the
the following legend shall be affixed to following factors, in addition to any
data provided to outside evaluators: others appropriate for the particular
proposal:
GOVERNMENT NOTICE FOR HANDLING (1) Unique and innovative methods,
PROPOSALS approaches or concepts demonstrated
This proposal shall be used and dis- by the proposal.
closed for evaluation purposes only, (2) Overall scientific or technical
and a copy of this Government notice merits of the proposal.
shall be applied to any reproduction or (3) The offeror’s capabilities, related
abstract thereof. Any authorized re- experience, facilities, techniques, or
strictive notices which the submitter unique combinations of these which are
places on this proposal shall also be integral factors for achieving the pro-
strictly complied with. posal objectives.
(m) Printing, binding, and duplicating. (4) The qualifications, capabilities,
Proposals for efforts that involve print- and experience of the proposed key per-
ing, binding, and duplicating in excess sonnel who are critical in achieving the
of 25,000 pages are subject to the regu- proposal objectives.
lations of the Congressional Joint (5) Current, open solicitations under
Committee on Printing. The technical which the unsolicited proposal could be
office will refer such proposals to the evaluated.
Installation Central Printing Manage- (c) Unsolicited proposals shall be
ment Officer (ICPMO) to ensure com- handled in accordance with NFS
pliance with NPD 1490.1. The Agree- 1815.606, ‘‘Agency Procedures’’.
ment Officer will be advised in writing (d) Unsolicited proposals from for-
of the results of the ICPMO review. eign sources are subject to NPD 1360.2,
[67 FR 45790, July 10, 2002, as amended at 81 ‘‘Development of International Co-
FR 35584, June 3, 2016] operation in Space and Aeronautics
Programs’’.
§ 1274.210 Unsolicited proposals. (e) There is no requirement for a pub-
(a) For a proposal to be considered a lic announcement of the award of a co-
valid unsolicited proposal, the submis- operative agreement. In addition, there
sion must— is no requirement for announcement of
(1) Be innovative and unique; awards resulting from unsolicited pro-
(2) Be independently originated and posals. However, in those instances
developed by the recipient; where a public announcement is
(3) Be prepared without Government planned and the award is the result of
supervision, endorsement, direction or an unsolicited proposal, in addition to
direct Government involvement; the requirements of NFS 1805.303–
(4) Include sufficient technical and 71(a)(3), NASA personnel must take
cost detail to permit a determination measures that ensure protection of the
that Government support could be data and intellectual property rights of
worthwhile and the proposed work submitters of unsolicited proposals as
could benefit the agency’s research and provided by FAR 5.202(a)(8).
development or other mission respon- (f) Additional information regarding
sibilities; and unsolicited proposals is available in
(5) Not be an advance proposal for a the handbook entitled, ‘‘Guidance for
known agency requirement that can be the Preparation and Submission of Un-
acquired by competitive methods. solicited Proposals’’, which is available
(b) For each unsolicited proposal se- on the NASA Acquisition Internet
lected for award, the cognizant tech- Service Website at: http://
324
ec.msfc.nasa.gov/hq/library/unSol- the requirements of 14 CFR 1271.110 and

Prop.html. 1260.117.
(4) Unless a copy is on file at the
§ 1274.211 Award procedures. NASA center, recipients must furnish
(a) In accordance with NFS 1805.303– an assurance on NASA Form (NF) 1206
71, the NASA Administrator shall be on compliance with Civil Rights stat-
notified at least three (3) workdays be- utes specified in 14 CFR parts 1250
fore a planned public announcement for through 1253.
(5) The non-Federal entity or appli-
award of a cooperative agreement (re-
cant for a Federal award must disclose,
gardless of dollar value), if it is
in a timely manner, in writing to the
thought the agreement may be of sig-
assigned agreement officer or pass-
nificant interest to Headquarters.
through entity all violations of Federal
(b) For awards that are the result of criminal law involving fraud, bribery,
a competitive source selection, the or gratuity violations potentially af-
technical officer will prepare and fur- fecting the Federal award. Non-Federal
nish to the agreement officer a signed entities that have received a Federal
selection statement based on the selec- award including the term and condi-
tion criteria stated in the solicitation. tion outlined in Appendix XII—Award
(1) Bilateral award. All cooperative Term and Condition for Recipient In-
agreements shall be awarded on a bilat- tegrity and Performance Matters are
eral basis. required to report certain civil, crimi-
(2) Consortium awards. If the coopera- nal, or administrative proceedings to
tive agreement is to be awarded to a SAM. Failure to make required disclo-
consortium, a completed, formally exe- sures can result in any of the remedies
cuted Articles of Collaboration is re- described in § 200.338 Remedies for non-
quired prior to award. compliance, including suspension or
(c) System for Award Management debarment. (See also 2 CFR part 180, 31
(SAM) Prior to implementation of the U.S.C. 3321, and 41 U.S.C. 2313.)
Integrated Financial Management
(IFM) System at each center, all grant FR 62210, Oct. 24, 2006; 72 FR 19785, Apr. 20,
and cooperative agreement recipients 2007; 81 FR 35584, June 3, 2016]
are required to register in the System
for Award Management database. Reg- § 1274.212 Award information.
istration is required in order to obtain (a) Formats. Agreement officers shall
a Commercial and Government Entity use NF 1687A (available via the Inter-
(CAGE) code, which will be used as a net at https://extranet.hq.nasa.gov/nef/
grant and cooperative agreement iden- user/formlsearch.cfm), with minimum
tification number for the new system. modification, as the standard coopera-
The agreement officer shall verify that tive agreement cover page for the
the prospective awardee is registered in award of all cooperative agreements.
the SAM database using the DUNS (b) Cooperative agreement numbering
number or, if applicable, the DUNS+4 system. Cooperative agreement num-
number, via the Internet at https:// bering may be changed once the Inte-
www.sam.gov. grated Financial Management (IFM) is
(d) Certifications, Disclosures, and As- implemented. Until IFM is imple-
surances. (1) Agreement officers are re- mented, cooperative agreement num-
quired to ensure that all necessary cer- bering shall conform to NFS 1804.7102,
tifications, disclosures, and assurances except that a NCC prefix will be used in
have been obtained prior to awarding a lieu of the NAS prefix. Along with the
cooperative agreement. prefix NCC, a one or two digit Center
(2) Each new proposal shall include a Identification Number, and a sequence
certification for debarment and suspen- number of up to five digits will be used.
sion under the requirements of 2 CFR Inclusive of the prefix and fiscal year,
180.510 and 1260.117. the total number of characters, digits,
(3) Each new proposal for an award and spaces cannot exceed 11.
exceeding $100,000 shall include a cer- (c) Recipient integrity and performance
tification, and a disclosure form (SF matters. If the total Federal share of
LLL) if required, on Lobbying under the Federal award is more than $500,000
325
§ 1274.213 14 CFR Ch. V (1–1–21 Edition)
over the period of performance, agree- (2) Otherwise discriminate against re-
ment officers must include the terms cipients, potential recipients or sub-
and conditions in § 1274.944 of this chap- recipients for becoming, refusing to be-
ter. come, or remaining signatories or oth-
erwise adhering to agreements with
one or more organizations, on the same
FR 35584, June 3, 2016]
or other related construction projects.
§ 1274.213 Distribution of cooperative (b) Nothing in this section prohibits
agreements. the recipient, potential recipients or
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 recipient’s 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
news media or the general public. The order to avert an imminent threat to
procedures established by NFS 1805.403 public health or safety, or to serve the
shall be followed when responding to national security. A finding of ‘‘special
inquiries from members of Congress. circumstances’’ may not be based on
the possibility or presence of a labor
§ 1274.215 Federal and federally fund- dispute concerning the use of contrac-
ed construction projects. tors or subcontractors who are nonsig-
natories to, or otherwise do not adhere
(a) In accordance with E.O. 13202 of
to, agreements with one or more labor
February 17, 2001, ‘‘Preservation of
organizations, or concerning employees
Open Competition and Government
on the project who are not members of,
Neutrality Towards Government Con-
or affiliated with, a labor organization.
tractors’ Labor Relations on Federal
and Federally Funded Construction [67 FR 77668, Dec. 19, 2002]
Projects’’, as amended on April 6, 2001,
the Government, or any construction Subpart 1274.3—Administration
manager acting on behalf of the Gov-
ernment, shall not— § 1274.301 Delegation of administra-
(1) Require or prohibit recipients, po- tion.
tential recipients or subrecipients to Cooperative agreements may be ad-
enter into or adhere to agreements ministered by the awarding activity or
with one or more labor organizations the awarding activity may obtain addi-
(as defined in 42 U.S.C. 2000e(d)) on the tional administration services in ac-
same or other related construction cordance with the procedures provided
projects; or by NFS 1842.202. NASA Form 1678,
326
NASA Technical Officer Delegation for the non-Federal entity does not meet
Cooperative Agreements with Commer- either or both of the minimum quali-
cial Firms, will be used to delegate re- fication standards, as described in
sponsibilities to the NASA Technical paragraph (a)(2) of 2 CFR 200.205, the
Officer. agreement officer must report that de-
termination in FAPIIS, accessible
§ 1274.302 Transfers, novations, and through SAM, only if all of the fol-
change of name agreements.
lowing apply:
(a) Transfer of cooperative agreements. (1) The only basis for the determina-
Novation is the only means by which a tion described in paragraph (a) of this
cooperative agreement may be trans- section is the non-Federal entity’s
ferred from one recipient to another. prior record of executing programs or
(b) Novation and change of name. activities under Federal awards or its
NASA legal counsel shall review, for record of integrity and business ethics,
legal sufficiency, all novation agree- as described in paragraph (a)(2) of 2
ments or change of name agreements of CFR 200.205, (i.e., the entity was deter-
the recipient, prior to formal execution mined to be qualified based on all fac-
by the agreement officer. tors other than those two standards);
§ 1274.303 Public access to Federal and
award information. (2) The total Federal share of the
Federal award that otherwise would be
(a) In accordance with statutory re-
made to the non-Federal entity is ex-
quirements for Federal spending trans-
parency (e.g., FFATA), except as noted pected to exceed the simplified acquisi-
in this section, for applicable Federal tion threshold over the period of per-
awards NASA must announce all Fed- formance.
eral awards publicly and publish the re- (b) Agreement officers are not re-
quired information at quired to report a determination that a
www.USAspending.gov. non-Federal entity is not qualified for
(b) All information posted in FAPIIS, a Federal award if they make the Fed-
accessible through SAM, on or after eral award to the non-Federal entity
April 15, 2011 will be publicly available and includes specific award terms and
after a waiting period of 14 calendar conditions (see § 1274.209).
days, except for— (c) If the agreement officer reports a
(1) Past performance reviews required determination that a non-Federal enti-
by Federal Government contractors in ty is not qualified for a Federal award,
accordance with the Federal Acquisi- as described in paragraph (a) of this
tion Regulation (FAR) 42.15; section, the agreement officer also
(2) Information that was entered must notify the non-Federal entity
prior to April 15, 2011; or that—
(3) Information that is withdrawn (1) The determination was made and
during the 14-calendar day waiting pe- reported to FAPIIS, accessible through
riod by the Federal Government offi- SAM, and include with the notification
cial. an explanation of the basis for the de-
(c) Nothing in this section may be termination;
construed as requiring the publication (2) The information will be kept in
of information otherwise exempt under the system for a period of five years
the Freedom of Information Act (5 from the date of the determination, as
U.S.C. 552), or controlled unclassified required by section 872 of Public Law
information pursuant to Executive 110–417, as amended (41 U.S.C. 2313),
Order 13556. then archived;
[81 FR 35584, June 3, 2016] (3) Agreement officers making a Fed-
eral award to the non-Federal entity
§ 1274.304 Reporting a determination during that five year period must con-
that a non-Federal entity is not sider the information found in FAPIIS
qualified for a Federal award. when judging whether the non-Federal
(a) If NASA does not make a Federal entity is qualified to receive the Fed-
award to a non-Federal entity because eral award when the total Federal
the agreement officer determines that share of the Federal award is expected
327
§ 1274.401 14 CFR Ch. V (1–1–21 Edition)
to include an amount of Federal fund- Subpart 1274.4—Property

ing in excess of the simplified acquisi-
tion threshold over the period of per- § 1274.401 Government furnished prop-
formance of the award; erty.
(4) The non-Federal entity may go to Property or equipment owned by the
the awardee integrity and performance Government that will be used in the
portal accessible through SAM (cur- performance of a cooperative agree-
rently the Contractor Performance As- ment shall be included as part of the
sessment Reporting System (CPARS)) Government’s percentage (usually 50
and comment on any information the percent) of shared costs. In most cases
system contains about the non-Federal the property or equipment will be cat-
egorized as non-cash contributions.
entity itself; and
Agreement officers may use the proce-
(5) Agreement officers will consider dures promulgated by FAR Subpart
that non-Federal entity’s comments in 45.2, as guidelines to calculate the
determining whether the non-Federal value of the property or equipment.
entity is qualified for a future Federal
award. § 1274.402 Contractor acquired prop-
(d) If the agreement officer enters in- erty.
formation into FAPIIS about a deter- As provided in § 1274.923(c), title to
mination that a non-Federal entity is property acquired with government
not qualified for a Federal award and funds vests in the government. Under a
subsequently— cost shared cooperative agreement,
(1) Learns that any of that informa- joint ownership of property equal to
tion is erroneous, the agreement officer the cost-sharing ratio will result if the
must correct the information in the parties make no specific arrangements
system within three business days; and regarding such property. The disposi-
tion of acquired property should be ad-
(2) Obtains an update to that infor-
dressed in the cooperative agreement
mation that could be helpful to other
at the time of award. The cooperative
Federal awarding agencies, the agree- agreement may provide that all such
ment officer is strongly encouraged to property be contributed by the recipi-
amend the information in the system ent as a non-cash contribution. A rea-
to incorporate the update in a timely sonable dollar value must be specified
way. and adequately supported. In this case,
(e) The agreement officer shall not title will vest in the recipient. Alter-
post any information that will be made natively, NASA and the recipient may
publicly available in the non-public include in the cooperative agreement
segment of designated integrity and any other appropriate arrangement for
performance system that is covered by the disposition of acquired property
a disclosure exemption under the Free- upon completion of the effort.
dom of Information Act. If the recipi-
ent asserts within seven calendar days Subpart 1274.5—Procurement
to NASA that some or all of the infor- Standards
mation made publicly available is cov-
ered by a disclosure exemption under § 1274.501 Purpose of procurement
standards.
the Freedom of Information Act, agree-
ment officers must remove the posting (a) The procurement standards stated
within seven calendar days of receiving in §§ 1274.502 through 1274.510, may not
the assertion. Prior to reposting the re- apply to or may supplement the proce-
leasable information, agreement offi- dures of a commercial recipient that
cers must resolve the issue in accord- has a purchasing system approved in
accordance with the requirements of
ance with the agency’s Freedom of In-
FAR Subpart 44.3 and NFS 1844.3.
formation Act procedures.
(b) Sections 1274.502 through 1274.510
[81 FR 35584, June 3, 2016] set forth standards for use by recipi-
ents in establishing procedures for the
procurement of supplies and other ex-
pendable property, equipment, real
328
property and other services with Fed- § 1274.504 Competition.

eral funds. These standards are fur- All procurement transactions shall
nished to ensure that such materials be conducted in a manner to provide,
and services are obtained in an effec- to the maximum extent practical, open
tive manner and in compliance with and free competition. The recipient
the provisions of applicable Federal shall be alert to organizational con-
statutes and executive orders. flicts of interest as well as noncompeti-
§ 1274.502 Recipient responsibilities. tive practices among contractors that
may restrict or eliminate competition
The standards contained in this sec- or otherwise restrain trade. In order to
tion do not relieve the recipient of the ensure objective contractor perform-
contractual responsibilities arising ance and eliminate unfair competitive
under its contract(s). The recipient is advantage, contractors that develop or
the responsible authority, without re- draft specifications, requirements,
course to NASA, regarding the settle- statements of work, invitations for
ment and satisfaction of all contrac- bids and/or requests for proposals shall
tual and administrative issues arising normally be excluded from competing
out of procurements entered into in for such procurements, unless conflicts
support of an award or other agree- or apparent conflicts of interest issues
ment. This includes disputes, claims, have been resolved. Awards shall be
protests of award, source evaluation or made to the bidder or offeror whose bid
other matters of a contractual nature. or offer is responsive to the solicitation
Matters concerning violation of statute and is most advantageous to the recipi-
are to be referred to such Federal, ent, price, quality and other factors
State or local authority as may have considered. Solicitations shall clearly
proper jurisdiction. set forth all requirements that the bid-
der or offeror shall fulfill in order for
§ 1274.503 Codes of conduct.
the bid or offer to be evaluated by the
The recipient shall maintain written recipient. Any and all bids or offers
standards of conduct governing the may be rejected when it is in the re-
performance of its employees engaged cipient’s interest to do so.
in the award and administration of
contracts. No employee, officer, or § 1274.505 Procurement procedures.
agent shall participate in the selection, (a) All recipients shall establish writ-
award, or administration of a contract ten procurement procedures. These
supported by Federal funds if a real or procedures shall provide at a min-
apparent conflict of interest would be imum, that the conditions in para-
involved. Such a conflict would arise graphs (a)(1), (2) and (3) of this section
when the employee, officer, or agent, apply.
any member of his or her immediate (1) Recipients avoid purchasing un-
family, his or her partner, or an orga- necessary items.
nization which employs or is about to (2) Where appropriate, an analysis is
employ any of the parties indicated made of lease and purchase alter-
herein, has a financial or other interest natives to determine which would be
in the firm selected for an award. The the most economical and practical pro-
officers, employees, and agents of the curement for the Federal Government.
recipient shall neither solicit nor ac- (3) Solicitations for goods and serv-
cept gratuities, favors, or anything of ices provide for all of the following:
monetary value from contractors, or (i) A clear and accurate description
parties to subagreements. However, re- of the technical requirements for the
cipients may set standards for situa- material, product or service to be pro-
tions in which the financial interest is cured. In competitive procurements,
not substantial or the gift is an unso- such a description shall not contain
licited item of nominal value. The features that unduly restrict competi-
standards of conduct shall provide for tion.
disciplinary actions to be applied for (ii) Requirements that the bidder/of-
violations of such standards by offi- feror must fulfill and all other factors
cers, employees, or agents of the re- to be used in evaluating bids or pro-
cipient. posals.
329
§ 1274.506 14 CFR Ch. V (1–1–21 Edition)
(iii) A description, whenever prac- curement and for promoting the best
ticable, of technical requirements in interest of the program or project in-
terms of functions to be performed or volved. The ‘‘cost-plus-a-percentage-of-
performance required, including the cost’’ or ‘‘percentage of construction
range of acceptable characteristics or cost’’ methods of contracting shall not
minimum acceptable standards. be used.
(iv) The specific features of ‘‘brand (d) Contracts shall be made only with
name or equal’’ descriptions that bid- responsible contractors who possess
ders are required to meet when such the potential ability to perform suc-
items are included in the solicitation. cessfully under the terms and condi-
(v) The acceptance, to the extent tions of the proposed procurement.
practicable and economically feasible, Consideration shall be given to such
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 recipient’s 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 NASA’s
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 Commerce’s Minor- creases the contract amount by more
ity Business Development Agency in than the amount of the simplified ac-
the solicitation and utilization of quisition threshold.
small businesses, minority-owned firms
and women’s business enterprises. [67 FR 45790, July 10, 2002, as amended at 72
(c) The type of procuring instruments FR 19785, Apr. 20, 2007]
used (e.g., fixed price contracts, cost
reimbursable contracts, purchase or- § 1274.506 Cost and price analysis.
ders, and incentive contracts) shall be Some form of cost or price analysis
determined by the recipient but shall shall be made and documented in the
be appropriate for the particular pro- procurement files in connection with
330
every procurement action. Price anal- well as conditions where the contract
ysis may be accomplished in various may be terminated because of cir-
ways, including the comparison of cumstances beyond the control of the
price quotations submitted, market contractor.
prices and similar indicies, together (c) All negotiated contracts (except
with discounts. Cost analysis is the re- those for less than the simplified ac-
view and evaluation of each element of quisition threshold) awarded by recipi-
cost to determine reasonableness, ents shall include a provision to the ef-
allocability and allowability. fect that the recipient, NASA, the
Comptroller General of the United
§ 1274.507 Procurement records. States, or any of their duly authorized
Procurement records and files for representatives, shall have access to
purchases in excess of the simplified any books, documents, papers and
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-
quired by statute, an award that re-
§ 1274.508 Contract administration. 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- contracts or subcontracts exceeding
priate, whether contractors have met $100,000, NASA may accept the bonding
the terms, conditions and specifica- policy and requirements of the recipi-
tions of the contract. ent, provided NASA has made a deter-
mination that the Federal Govern-
§ 1274.509 Contract provisions. ment’s interest is adequately pro-
The recipient shall include, in addi- tected. If such a determination has not
tion to provisions to define a sound and been made, the minimum requirements
complete agreement, the following pro- shall be as follows:
visions in all contracts. The following (1) A bid guarantee from each bidder
provisions shall also be applied to sub- equivalent to five percent of the bid
contracts: price. The ‘‘bid guarantee’’ shall con-
(a) Contracts in excess of the sim- sist of a firm commitment such as a
plified acquisition threshold (currently bid bond, certified check, or other ne-
$100,000) shall contain contractual pro- gotiable instrument accompanying a
visions or conditions that allow for ad- bid as assurance that the bidder shall,
ministrative, contractual, or legal upon acceptance of his bid, execute
remedies in instances in which a con- such contractual documents as may be
tractor violates or breaches the con- required within the time specified.
tract terms, and provide for such reme- (2) A performance bond on the part of
dial actions as may be appropriate. the contractor for 100 percent of the
(b) All contracts in excess of the sim- contract price. A ‘‘performance bond’’
plified acquisition threshold shall con- is one executed in connection with a
tain suitable provisions for termi- contract to secure fulfillment of all the
nation by the recipient, including the contractor’s obligations under such
manner by which termination shall be contract.
effected and the basis for settlement. (3) A payment bond on the part of the
In addition, such contracts shall de- contractor for 100 percent of the con-
scribe conditions under which the contract price. A ‘‘payment bond’’ is one
tract may be terminated for default as executed in connection with a contract
331
§ 1274.510 14 CFR Ch. V (1–1–21 Edition)
to assure payment as required by stat- (4) Indirect cost rate proposals, cost
ute of all persons supplying labor and allocations plans, etc., as specified in
material in the execution of the work paragraph (g) of this section.
provided for in the contract. (c) Copies of original records may be
(4) Where bonds are required in the substituted for the original records if
situations described in this section, the authorized by NASA.
bonds shall be obtained from compa- (d) NASA shall request transfer of
nies holding certificates of authority certain records to its custody from re-
as acceptable sureties pursuant to 31 cipients when it determines that the
CFR part 223, ‘‘Surety companies doing records possess long term retention
business with the United States.’’ value. However, in order to avoid dupli-
cate record keeping, NASA may make
§ 1274.510 Subcontracts. 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 recipient’s 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 recipient’s per-
quirements cited in § 1274.925. sonnel for the purpose of interview and
discussion related to such documents.
Subpart 1274.6—Reports 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
332
form the basis for negotiation of the 1274.905(b). See § 1274.208(l)(6) to assure
rate, then the 3-year retention period that appropriate language is contained
for its supporting records starts on the in § 1274.905(b).
date of such submission. (5) When NASA terminates a Federal
(2) If not submitted for negotiation. If award prior to the end of the period of
the recipient is not required to submit performance due to the non-Federal en-
to NASA or the subrecipient is not re- tity’s material failure to comply with
quired to submit to the recipient the the Federal award terms and condi-
proposal, plan, or other computation tions, NASA must report the termi-
for negotiation purposes, then the 3- nation in FAPIIS.
year retention period for the proposal, (6) The information required under
plan, or other computation and its sup- paragraph (b) of this section is not to
porting records starts at the end of the be reported to designated integrity and
fiscal year (or other accounting period) performance system until the non-Fed-
covered by the proposal, plan, or other eral entity either—
computation. (i) Has exhausted its opportunities to
object or challenge the decision, see
Subpart 1274.7—Suspension or § 200.341 Opportunities to object, hear-
Termination ings and appeals; or
(ii) Has not, within 30 calendar days
§ 1274.701 Suspension or termination. after being notified of the termination,
(a) Suspension. NASA or the recipient informed the agreement officer that it
may suspend the cooperative agree- intends to appeal the decision to termi-
ment for a mutually agreeable period nate.
of time, if an assessment is required to (7) If the agreement officer, after en-
determine whether the agreement tering information into FAPIIS about
should be terminated. a termination, subsequently:
(b) Termination. (1) A cooperative (i) Learns that any of that informa-
agreement provides both NASA and the tion is erroneous, the agreement officer
recipient the ability to terminate the must correct the information in the
Agreement if it is in their best inter- system within three business days;
ests to do so, by giving the other party (ii) Obtains an update to that infor-
prior written notice. Upon receipt of a mation that could be helpful to other
notice of termination, the receiving Federal awarding agencies, the agree-
party shall take immediate steps to ment officer is strongly encouraged to
stop the accrual of any additional obli- amend the information in the system
gations, which might require payment. to incorporate the update in a timely
(2) NASA may, for example, termi- way.
nate the Agreement if the recipient is (8) Agreement officers shall not post
not making anticipated technical any information that will be made pub-
progress, if the recipient materially licly available in the non-public seg-
changes the objectives of the agreement of designated integrity and per-
ment, or if appropriated funds are not formance system that is covered by a
available to support the program. disclosure exemption under the Free-
(3) Similarly, the recipient may ter- dom of Information Act. If the non-
minate the agreement if, for example, Federal entity asserts within seven cal-
technical progress is not being made, if endar days to the Federal awarding
the commercial recipient shifts its agency who posted the information
technical emphasis, or if other techno- that some of the information made
logical advances have made the effort publicly available is covered by a dis-
obsolete. closure exemption under the Freedom
(4) If the cooperative agreement is of Information Act, agreement officers
terminated by either NASA or the re- must remove the posting within seven
cipient and NASA elects to continue calendar days of receiving the asser-
the project with a party other than the tion. Prior to reposting the releasable
recipient, the right of the government information, agreement officers must
to use data first produced by either resolve the issue in accordance with
NASA or the recipient in the perform- the agency’s Freedom of Information
ance of this agreement is covered by Act procedures.
333
§ 1274.801 14 CFR Ch. V (1–1–21 Edition)
(c) When a Federal award is termi- ment may be needed. There may also
nated or partially terminated, both be occasions where actual costs of
NASA or the pass-through entity and NASA and the recipient may be less
the non-Federal entity remain respon- than initially agreed. In cases where
sible for compliance with the closeout program costs are adjusted, prior to
and post-closeout requirements and execution of a modification to the
continuing responsibilities. agreement, mutual agreement between
(d) Notification of termination require- NASA and the recipient shall also be
ment. If the Federal award is termi-
reached on the corresponding changes
nated for the non-Federal entity’s ma-
in program requirements such as
terial failure to comply with the Fed-
eral statutes, regulations, or terms and schedule, work statements and mile-
conditions of the Federal award, the stone payments. Funding for any work
notification must state that— required beyond the initial funding
(1) The termination decision will be level of the cooperative agreement,
reported in FAPIIS, accessible through shall require submission by the recipi-
SAM; ent of a detailed proposal to the agree-
(2) The information will be available ment officer. Prior to execution of a
in FAPIIS for a period of five years modification increasing NASA’s initial
from the date of the termination, then cost share or funding levels, detailed
archived; cost analysis techniques may be ap-
(3) When considering making a Fed- plied, which may include requests for
eral award to the non-Federal entity audits services and/or application of
during that five year period, NASA other pricing support techniques. Any
must consider that information in adjustments or modifications that re-
judging whether the non-Federal entity sult in a change to the performance
is qualified to receive the Federal costs of the cooperative agreement
award, when the Federal share of the
shall continue to maintain the share
Federal award is expected to exceed
the simplified acquisition threshold ratio requirements (normally 50/50)
over the period of performance; stated in § 1274.204(b).
(4) The non-Federal entity may com-
§ 1274.802 Modifications.
ment on any information that the
OMB-designated integrity and perform- Modifications to the cooperative
ance system contains about the non- agreement in particular, modifications
Federal entity for future consideration that affect funding, milestone pay-
by NASA. The non-Federal entity may ments, program schedule and state-
submit comments to the awardee in- ment of work requirements shall be ex-
tegrity and performance portal acces- ecuted on a bilateral basis.
sible through SAM (currently
(CPARS). § 1274.803 Suspension and Debarment.
(5) Agreement officers will consider
non-Federal entity comments when de- Non-federal entities are subject to
termining whether the non-Federal en- the non-procurement debarment and
tity is qualified for a future Federal suspension regulations implementing
award. Executive Orders 12549 and 12689, 2 CFR
part 180, adopted by NASA at 2 CFR
part 1880. These regulations restrict
FR 35585, June 3, 2016]
awards, subawards, and contracts with
certain parties that are debarred, sus-
Subpart 1274.8—Post-Award/ pended, or otherwise excluded from or
Administrative Requirements ineligible for participation in Federal
§ 1274.801 Adjustments to performance assistance programs or activities.
costs. [81 FR 35585, June 3, 2016]
In order to accomplish program ob-
jectives, there may be occasions where
additional contributions (cash and/or
in-kind contributions) by NASA and
the recipient beyond the initial agree-
334
§thnsp;1274.804 [Reserved] (c) Recipient Responsibilities. The Recipi-

ent shall be responsible for particular as-
pects of project performance as set forth in
Subpart 1274.9—Other Provisions the technical proposal dated llllllll,
and Special Conditions attached hereto (or Statement of Work dated
llllllllll, attached hereto). The
§ 1274.901 Other provisions and spe- following responsibilities are hereby set
cial conditions. forth effective upon the start date, which un-
less stated otherwise, shall be the execution
Where applicable, the provisions set date of this bilateral Cooperative Agree-
forth in this subpart are to be incor- ment. The end date stated below, may be
porated in and made a part of all coop- changed by a written bilateral modification:
erative agreements with commercial
Responsibilities Start Date End Date
firms. When included, the provisions at
§ 1274.902 through § 1274.909 and the pro- (d) Since NASA contractors may obtain
visions at § 1274.933 through § 1274.942 certain intellectual property rights arising
are to be incorporated in full text sub- from work for NASA in support of this agree-
stantially as stated in this regulation. ment, NASA will inform Recipient whenever
NASA intends to use NASA contractors to
When required, the provisions at perform technical engineering services in
§ 1274.910 through § 1274.932, may be in- support of this agreement.
corporated by reference in an enclosure (e) Unless the Cooperative Agreement is
to each cooperative agreement. For in- terminated by the parties, end date can only
clusion of provisions in subcontracts, be changed by execution of a bilateral modi-
see Exhibit A of this part, and fication.
§ 1274.925.
[End of provision]
§ 1274.902 Purpose.
§ 1274.904 Resource sharing require-
PURPOSE ments.
July 2002 RESOURCE SHARING REQUIREMENTS
The purpose of this cooperative agreement
July 2002
is to conduct a shared resource project that
will lead to llllllll. This cooperative Where NASA and other Government agen-
agreement will advance the technology de- cies are involved in the cooperative agree-
velopments and research which have been ment, ‘‘NASA’’ shall also mean ‘‘Federal
performed on lllllllll. The specific Government’’.
objective is to llllllllll. This work (a) NASA and the Recipient will share in
will culminate in llllllllll. providing the resources necessary to perform
the agreement. NASA funding and non-cash
[End of provision] contributions (personnel, equipment, facili-
ties, etc.) and the dollar value of the Recipi-
§ 1274.903 Responsibilities. ent’s cash and/or non-cash contribution will
be on a ll percent (NASA)—ll percent
RESPONSIBILITIES (Recipient) basis. Criteria and
July 2002 procedures for the allowability and
allocability of cash and non-cash
(a) This Cooperative Agreement will in- contributions shall be governed by
clude substantial NASA participation during FAR Parts 30 and 31, and
performance of the effort. NASA and the Re- NFS Parts 1830 and 1831.
cipient agree to the following Responsibil- (b) The funding and non-cash contributions
ities, a statement of cooperative inter- by both parties are represented by the fol-
actions to occur during the performance of lowing dollar amounts:
this effort. NASA and the Recipient shall
Government Share lllllllllllll
exert all reasonable efforts to fulfill the re-
sponsibilities stated below. Recipient Share lllllllllllllll
(b) NASA Responsibilities. The following Total Amount llllllllllllllll
NASA responsibilities are hereby set forth
(c) The Recipient’s share shall not be
effective upon the start date, which unless
charged to the Government under this
stated otherwise, shall be the execution date
Agreement or under any other contract,
of this bilateral Cooperative Agreement. The
grant, or cooperative agreement, except to
end date stated below, may be changed by a
the extent that the Recipient’s contribution
written bilateral modification:
may be allowable IR&D costs pursuant to
Responsibilities Start Date End Date FAR 31.205–18(e).
335
§ 1274.905 14 CFR Ch. V (1–1–21 Edition)
[End of provision] its contractors (under suitable protective

conditions) only for the purpose of carrying
[67 FR 45790, July 10, 2002, as amended at 71 out NASA’s responsibilities under this coop-
FR 51714, Aug. 31, 2006] erative agreement. Upon completion of ac-
tivities under this agreement, such Data will
§ 1274.905 Rights in data. be disposed of as requested by Recipient.
(3) Data first produced by Recipient. In the
As noted in § 1274.208(l)(1), the fol- event Data first produced by Recipient in
lowing provision assumes a substan- carrying out Recipient’s responsibilities
tially equal cost sharing relationship under this cooperative agreement is fur-
where collaborative research, experi- nished to NASA, and Recipient considers
mental, developmental, engineering, such Data to embody trade secrets or to
comprise commercial or financial informa-
demonstration, or design activities are tion which is privileged or confidential, and
to be carried out, such that it is likely such Data is so identified with a suitable no-
that ‘‘proprietary’’ information will be tice or legend, the Data will be maintained
developed and/or exchanged under the in confidence for a period of [insert ‘‘two’’ to
agreement. If cost sharing is unequal ‘‘five’’] years after development of the data
or no extensive research, experimental, 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-
tions) only for [insert appropriate purpose;
likely, a different set of provisions may for example: experimental; evaluation; re-
be appropriate. The Agreement Officer search; development, etc.] by or on behalf of
is expected to complete and/or select [‘‘NASA’’ or ‘‘the Government’’ as appro-
the appropriate bracketed language priate] during that period. In order that
under the provision for those para- [‘‘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
Recipient, shall have the right to review and
in consultation with the Center’s Pat- request delivery of Data first produced by
ent or Intellectual Property Counsel, Recipient. Delivery shall be made within a
tailor the provision to fit the par- time period specified by NASA.
ticular circumstances of the program (4) Data first produced by NASA. As to data
and/or the recipient’s need to protect first produced by NASA in carrying out
specific proprietary information. NASA’s responsibilities under this coopera-
tive agreement and which Data would em-
RIGHTS IN DATA body trade secrets or would comprise com-
mercial or financial information that is priv-
July 2002 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 NASA’s 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.
336
Copyright Office, the following paid-up li- suitable notice or legend indicating the data
censes shall apply: was generated under this cooperative agree-
(A) If it is indicated on the Data that the ment.
Data existed prior to, or was produced out- (d) Lower tier agreements. The Recipient
side of, this agreement, the receiving party shall include this provision, suitably modi-
and others acting on its behalf, may repro- fied to identify the parties, in all sub-
duce, distribute, and prepare derivative
contracts or lower tier agreements, regard-
works for the purpose of carrying out the re-
less of tier, for experimental, developmental,
ceiving party’s responsibilities under this co-
operative agreement; and or research work.
(B) If the furnished Data does not contain
the indication of paragraph (b)(5)(i)(A) of [End of provision]
this section, it will be assumed that the Data
was first produced under this agreement, and § 1274.906 Designation of New Tech-
the receiving party and others acting on its nology Representative and Patent
behalf, shall be granted a paid up, nonexclu- Representative.
sive, irrevocable, world-wide license for all
such Data to reproduce, distribute copies to DESIGNATION OF NEW TECHNOLOGY REP-
the public, prepare derivative works, dis- RESENTATIVE AND PATENT REPRESENTA-
tribute copies to the public, and perform TIVE
publicly and display publicly, by or on behalf
of the receiving party. For Data that is com- July 2002
puter software, the right to distribute shall
(a) For purposes of administration of the
be limited to potential users in the United
clause of this cooperative agreement entitled
States.
(ii) When claim is made to copyright, the ‘‘PATENT RIGHTS—RETENTION BY THE
Recipient shall affix the applicable copyright CONTRACTOR (LARGE BUSINESS)’’ or
notice of 17 U.S.C. 401 or 402 and acknowledg- ‘‘PATENT RIGHTS—RETENTION BY THE
ment of Government sponsorship to the data CONTRACTOR (SMALL BUSINESS)’’ the
when and if the data are delivered to the following named representatives are hereby
Government. designated by the Agreement Officer to ad-
(6) Oral and visual information. If informa- minister such clause:
tion which the Recipient considers to em-
body trade secrets or to comprise commer- Office
Title Address
cial or financial information which is privi- code
leged or confidential is disclosed orally or New Technology
visually to NASA, such information must be Representative
reduced to tangible, recorded form (i.e., con- Patent
verted into Data as defined herein), identi- Representative
fied and marked with a suitable notice or
legend, and furnished to NASA within 10 (b) Reports of reportable items, and disclo-
days after such oral or visual disclosure, or sure of subject inventions, interim reports,
NASA shall have no duty to limit or restrict, final reports, utilization reports, and other
and shall not incur any liability for, any dis- reports required by the clause, as well as any
closure and use of such information. correspondence with respect to such matters,
(7) Disclaimer of liability. Notwithstanding
should be directed to the New Technology
the above, NASA shall not be restricted in,
Representative unless transmitted in re-
nor incur any liability for, the disclosure and
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
this section; nor rights, or related matters should be directed
(ii) Information contained in any Data for to the Patent Representative. This clause
which disclosure and use is restricted under shall be included in any subcontract here-
paragraphs (b)(2) or (3) of this section, if such under requiring ‘‘PATENT RIGHTS—RE-
information is or becomes generally known TENTION BY THE CONTRACTOR (LARGE
without breach of the above, is known to or BUSINESS)’’ clause or ‘‘PATENT RIGHTS—
is generated by NASA independently of car- RETENTION BY THE CONTRACTOR
rying out responsibilities under this agree- (SMALL BUSINESS)’’ clause, unless other-
ment, is rightfully received from a third wise authorized or directed by the Agree-
party without restriction, or is included in ment Officer. The respective responsibilities
data which Participant has, or is required to and authorities of the above-named rep-
furnish to the U.S. Government without re- resentatives are set forth in NFS 1827.305–370.
striction on disclosure and use.
(c) Marking of data. Any Data delivered
under this cooperative agreement, by NASA
or the Recipient, shall be marked with a
337
§ 1274.907 14 CFR Ch. V (1–1–21 Edition)
[End of provision] stone, the Agreement Officer shall authorize

payment. Payment shall be made within 30
§ 1274.907 Disputes. calendar days after receipt of proper invoice.
Payment shall be considered as being made
DISPUTES on the date of electronic funds transfer. A
July 2002 proper invoice must include the following:
(i) Name and address of the recipient.
(a) In the event that a disagreement arises, (ii) Invoice date (The Recipient is encour-
representatives of the parties shall enter
aged to date invoices as close as possible to
into discussions in good faith and in a timely
the date of the mailing or transmission).
and cooperative manner to seek resolution.
If these discussions do not result in a satis- (iii) Cooperative agreement number.
factory solution, the aggrieved party may (iv) Description, milestone, and extended
seek a decision from the Dispute Resolution price of efforts/tasks performed.
Official under paragraph (b) of this provi- (v) Payment terms.
sion. This request must be presented no more (vi) Name and address of Recipient official
than (3) three months after the events giving to whom payment is to be sent. (Must be the
rise to the disagreement have occurred. same as that in the cooperative agreement
(b) The aggrieved party may submit a writ- or in a proper notice of assignment).
ten request for a decision to the Center Om- (vii) Name (where practicable), title, phone
budsman, who is designated as the Dispute
number, and mailing address of the person to
Resolution Official. The written request
be notified in the event of a defective in-
shall include a statement of the relevant
facts, a discussion of the unresolved issues, voice.
and a specification of the clarification, re- (viii) Any other information or documenta-
lief, or remedy sought. A copy of this written tion required by the cooperative agreement.
request and all accompanying materials (ix) Taxpayer identification number (TIN).
must be provided to the other party at the (x) While not required, the recipient is
same time. The other party shall submit a strongly encouraged to assign an identifica-
written position on the matters in dispute tion number to each invoice.
within thirty (30) calendar days after receiv- (d) A payment milestone may be success-
ing this notification that a decision has been fully completed in advance of the date ap-
requested. The Dispute Resolution Official pearing in paragraph (b) of this section. How-
shall conduct a review of the matters in dis- ever, payment shall not be made prior to
pute and render a decision in writing within
that date without the written consent of the
thirty (30) calendar days of receipt of such
Agreement Officer.
written position.
(e) The recipient is not entitled to partial
[End of provision] payment for partial completion of a payment
milestone.
§ 1274.908 Milestone payments. (f) Unless approved by the Agreement Offi-
cer, all preceding payment milestones must
MILESTONE PAYMENTS be completed before payment can be made
July 2002 for the next payment milestone.
(g) (i) If the Recipient is authorized to sub-
(a) By submission of the first invoice, the mit invoices directly to the NASA paying of-
Recipient is certifying that it has an estab- fice, the original invoice should be submitted
lished accounting system which complies to:
with generally accepted accounting prin-
[Insert the mailing address for submission
ciples, with the requirements of this agree-
ment, and that appropriate arrangements of cost vouchers]
have been made for receiving, distributing, (ii) If the Recipient is not authorized to
and accounting for Federal funds received submit invoices directly to the NASA paying
under this agreement. office, the original invoice should be sub-
(b) Payments will be made upon the fol- mitted to the Agreement Officer for certifi-
lowing milestones: [The schedule for pay- cation.
ments may be based upon the Recipient’s (iii) Copies of the recipient’s invoice should
completion of specific tasks, submission of be submitted to the following offices:
specified reports, or whatever is appro- (A) Copy 1—NASA Agreement Officer.
priate.] (B) Copy 2—Auditor.
Date Payment Amount (C) Copy 3—Contract administration office.
Milestone (D) Copy 4—Project management office.
(c) Upon submission by the recipient of in- (E) Copy 5—Other recipients as designated
voices in accordance with the provisions of by the Agreement Officer.
the agreement and upon certification by
NASA of completion of the payable mile-
338
[End of provision] cational organization qualified under a State

nonprofit organization statute.
§ 1274.909 Term of agreement. (5) Practical application means to manufac-
ture, in the case of a composition or product;
TERM OF AGREEMENT to practice, in the case of a process or meth-
od; or to operate, in the case of a machine or
July 2002
system; and, in each case, under such condi-
(a) The agreement commences on the effec- tions as to establish that the invention is
tive date indicated on the attached cover being utilized and that its benefits are, to
sheet and continues until the expiration date the extent permitted by law or Government
indicated on the attached cover sheet unless regulations, available to the public on rea-
terminated by either party. If all resources sonable terms.
are expended prior to the expiration date of (6) Recipient means:
the agreement, the parties have no obliga- (i) The signatory Recipient party or par-
tion to continue performance and may elect ties or;
to cease at that point. The parties may ex- (ii) The Consortium, where a Consortium
tend the expiration date if additional time is has been formed for carrying out Recipient
required to complete the milestones at no in- responsibilities under this agreement.
crease in Government resources. Requests (7) Small Business Firm means a domestic
for approval for no-cost extensions must be small business concern as defined at 15
forwarded to the NASA Agreement Officer no U.S.C. 632 and implementing regulations of
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
§ 1274.910 Authority. States means the product must have over 50
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-
minations have been made in accordance
July 2002 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 RIGHTS—RETENTION
(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 RIGHTS—RETENTION 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 (2) NASA Inventions. NASA will use reason-
Revenue Code of 1954 (26 U.S.C. 501(c)) and able efforts to report inventions made by
exempt from taxation under Section 501(a) of NASA employees as a consequence of, or
the Internal Revenue Code (26 U.S.C. 501(a)), which bear a direct relation to, the perform-
or any domestic nonprofit scientific or edu- ance of specified NASA activities under this
339
§ 1274.911 14 CFR Ch. V (1–1–21 Edition)
cooperative agreement and, upon timely re- employees (or employees of NASA contrac-
quest, NASA will use its best efforts to grant tors) and employees of Recipient.
the Recipient or designated Consortium (i) For other than small business firms and
Member (if applicable) the first option to ac- nonprofit organizations the Administrator
quire either an exclusive or partially exclu- may agree that the United States will re-
sive, revocable, royalty-bearing license, on frain from exercising its undivided interest
terms to be subsequently negotiated, for any in a manner inconsistent with Recipient’s
patent applications and patents covering commercial interest and to cooperate with
such inventions, and subject to the license Recipient in obtaining patent protection on
reserved in paragraph (b)(5)(i) of this section. its undivided interest on any waived inven-
Upon application in compliance with 37 CFR tions subject, however, to the condition that
Part 404—Licensing of Government Owned Recipient makes its best efforts to bring the
Inventions, the Recipient or each Consor- invention to the point of practical applica-
tium Member (if applicable), shall be granted tion at the earliest practicable time. In the
a revocable, nonexclusive, royalty-free li- event that the Administrator determines
cense in each patent application filed in any that such efforts are not undertaken, the Ad-
country on a subject invention and any re- ministrator may void NASA’s agreement to
sulting patent in which the Government ac- refrain from exercising its undivided interest
quires title. Each nonexclusive license may and grant licenses for the practice of the in-
extend to subsidiaries and affiliates, if any, vention so as to further its development. In
within the corporate structure of the li- the event that the Administrator decides to
censee and includes the right to grant sub- void NASA’s agreement to refrain from exer-
licenses of the same scope to the extent the cising its undivided interest and grant li-
licensee was legally obligated to do so at the censes for this reason, notice shall be given
time the cooperative agreement was signed. to the Inventions and Contributions Board as
(3) NASA Contractor Inventions. In the event to why such action should not be taken. Ei-
NASA contractors are tasked to perform ther alternative will be subject to the appli-
work in support of specified NASA activities cable license or licenses reserved in para-
under this cooperative agreement and inven- graph (b)(5) of this section.
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- the invention by or on behalf of the United
ent applications and patents covering such States; and
inventions, and subject to the license re- (ii) As to inventions made solely by, or
served in paragraph (b)(5)(ii) of this section. jointly with, employees of NASA contrac-
Upon application in compliance with 37 CFR tors, the rights in the Government of the
Part 404—Licensing of Government Owned United States as set forth in paragraph
Inventions, the Recipient or each Consor- (b)(5)(i) of this section, as well as the rev-
tium Member (if applicable), shall be granted ocable, nonexclusive, royalty-free license in
a revocable, nonexclusive, royalty-free li- the contractor as set forth in 14 CFR 1245.108.
cense in each patent application filed in any (6) Preference for United States manufacture.
country on a subject invention and any re- The Recipient agrees that any products em-
sulting patent in which the Government ac- bodying subject inventions or produced
quires title. Each nonexclusive license may through the use of subject inventions shall
extend to subsidiaries and affiliates, if any, be manufactured substantially in the United
within the corporate structure of the li- States. However, in individual cases, the re-
censee and includes the right to grant sub- quirement to manufacture substantially in
licenses of the same scope to the extent the the United States may be waived by the As-
licensee was legally obligated to do so at the sistant Administrator for Procurement (Code
time the cooperative agreement was signed. HS) with the concurrence of the Associate
(4) Joint NASA and Recipient Inventions. General Counsel for Intellectual Property
NASA and Recipient agree to use reasonable upon a showing by the Recipient that under
efforts to identify and report to each other the circumstances domestic manufacture is
any inventions made jointly between NASA not commercially feasible.
340
(7) Work performed by the Recipient under (7) Small business firm, as used in this
this cooperative agreement is considered un- clause, means a domestic small business con-
dertaken to carry out a public purpose of cern as defined at 15 U.S.C. 632 and imple-
support and/or stimulation rather than for menting regulations of the Administrator of
acquiring property or services for the direct the Small Business Administration. (For the
benefit or use of the Government. Accord- purpose of this definition, the size standard
ingly, such work by the Recipient is not con- contained in 13 CFR 121.901 through 121.911
sidered ‘‘by or for the United States’’ and the will be used.)
Government assumes no liability for in- (8) Subject invention, as used in this clause,
fringement by the Recipient under 28 U.S.C. means any reportable item which is or may
1498. be patentable or otherwise protectable under
Title 35 of the United States Code, or any
[End of provision] novel variety of plant that is or may be
protectable under the Plant Variety Protec-
§ 1274.912 Patent rights—retention by tion Act (7 U.S.C. 2321, et seq).
the recipient (large business). (9) Manufactured substantially in the United
States means the product must have over 50
PATENT RIGHTS—RETENTION BY THE percent of its components manufactured in
RECIPIENT (LARGE BUSINESS) the United States. This requirement is met if
the cost to the Recipient of the components
July 2002
mined, produced, or manufactured in the
(a) Definitions. (1) Administrator, as used in United States exceeds 50 percent of the cost
this clause, means the Administrator of the of all components required to make the prod-
National Aeronautics and Space Administra- uct. (In making this determination only the
tion (NASA) or duly authorized representa- product and its components shall be consid-
tive. ered.) The cost of each component includes
(2) Invention, as used in this clause, means transportation costs to the place of incorpo-
any invention or discovery which is or may ration into the product and any applicable
be patentable or otherwise protectable under duty (whether or not a duty-free entry cer-
title 35 of the U.S.C. tificate is issued). Components of foreign ori-
(3) Made, as used in relation to any inven- gin of the same class or kind for which deter-
tion, means the conception or first actual re- minations have been made in accordance
duction to practice such invention. with Federal Acquisition Regulation
(4) Nonprofit organization, as used in this 25.102(a)(3) and (4) are treated as domestic.
clause, means a domestic university or other Scrap generated, collected, and prepared for
institution of higher education or an organi- processing in the United States is considered
zation of the type described in section domestic.
501(c)(3) of the Internal Revenue Code of 1954 (b) Allocation of principal rights—(1) Pre-
(26 U.S.C. 501(c)) and exempt from taxation sumption of title. (i) Any reportable item that
under section 501(a) of the Internal Revenue the Administrator considers to be a subject
Code (26 U.S.C. 501(a)), or any domestic non- invention shall be presumed to have been
profit scientific or educational organization made in the manner specified in paragraph
qualified under a State nonprofit organiza- (1) or (2) of section 305(a) of the National
tion statute. Aeronautics and Space Act of 1958 (42 U.S.C.
(5) Practical application, as used in this 2457(a)) (hereinafter called ‘‘the Act’’), and
clause, means to manufacture, in the case of the above presumption shall be conclusive
a composition or product; to practice, in the unless at the time of reporting the report-
case of a process or method; or to operate, in able item the Recipient submits to the
case of a machine or system; and, in each, Agreement Officer a written statement, con-
case, under such conditions as to establish taining supporting details, demonstrating
that the invention is being utilized and that that the reportable item was not made in the
its benefits are, to the extent permitted by manner specified in paragraph (1) or (2) of
law or Government regulations, available to section 305(a) of the Act.
the public on reasonable terms. (ii) Regardless of whether title to a given
(6) Reportable item, as used in this clause, subject invention would otherwise be subject
means any invention, discovery, improve- to an advance waiver or is the subject of a
ment, or innovation of the Recipient, wheth- petition for waiver, the Recipient may never-
er or not the same is or may be patentable or theless file the statement described in para-
otherwise protectable under Title 35 of the graph (b)(1)(i) of this section. The Adminis-
United States Code, conceived or first actu- trator will review the information furnished
ally reduced to practice in the performance by the Recipient in any such statement and
of any work under this contract or in the any other available information relating to
performance of any work that is reimburs- the circumstances surrounding the making
able under any clause in this contract proof the subject invention and will notify the
viding for reimbursement of costs incurred Recipient whether the Administrator has de-
prior to the effective date of this contract. termined that the subject invention was
341
§ 1274.912 14 CFR Ch. V (1–1–21 Edition)
made in the manner specified in paragraph ent in which the Government acquires title,
(1) or (2) of section 305(a) of the Act. unless the Recipient fails to disclose the sub-
(2) Property rights in subject inventions. Each ject invention within the times specified in
subject invention for which the presumption paragraph (e)(2) of this section. The Recipi-
of paragraph (b)(1)(i) of this section is con- ent’s license extends to its domestic subsidi-
clusive or for which there has been a deter- aries and affiliates, if any, within the cor-
mination that it was made in the manner porate structure of which the Recipient is a
specified in paragraph (1) or (2) of section party and includes the right to grant sub-
305(a) of the Act shall be the exclusive prop- licenses of the same scope to the extent the
erty of the United States as represented by Recipient was legally obligated to do so at
NASA unless the Administrator waives all or the time the contract was awarded. The li-
any part of the rights of the United States, cense is transferable only with the approval
as provided in paragraph (b)(3) of this sec- of the Administrator except when trans-
tion. ferred to the successor of that part of the Re-
(3) Waiver of rights. (i) Section 305(f) of the cipient’s business to which the invention
Act provides for the promulgation of regula- pertains.
tions by which the Administrator may waive (2) The Recipient’s 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-
part 1, Recipients may petition, either prior the benefits of the invention reasonably ac-
to execution of the Agreement or within 30 cessible to the public. The license in any for-
days after execution of the Agreement, for eign country may be revoked or modified at
advance waiver of rights to any or all of the the discretion of the Administrator to the
inventions that may be made under an extent the Recipient, its licensees, or its do-
Agreement. If such a petition is not sub- mestic subsidiaries or affiliates have failed
mitted, or if after submission it is denied, to achieve practical application in that for-
the Recipient (or an employee inventor of eign country.
the Recipient may petition for waiver of (3) Before revocation or modification of the
rights to an identified subject invention license, the Recipient will be provided a
within eight months of first disclosure of in- written notice of the Administrator’s inten-
vention in accordance with paragraph (e)(2) tion to revoke or modify the license, and the
of this section or within such longer period Recipient will be allowed 30 days (or such
as may be authorized in accordance with 14 other time as may be authorized by the Ad-
CFR 1245.105. Further procedures are pro- ministrator for good cause shown by the Re-
vided in the REQUESTS FOR WAIVER OF cipient) after the notice to show cause why
RIGHTS—LARGE BUSINESS provision. the license should not be revoked or modi-
(c) Minimum rights reserved by the Govern- fied. The Recipient has the right to appeal,
ment. (1) With respect to each Recipient sub- in accordance with 14 CFR 1245.112, any deci-
ject invention for which a waiver of rights is sion concerning the revocation or modifica-
applicable in accordance with 14 CFR part tion of its license.
1245, subpart 1, the Government reserves— (e) Invention identification, disclosures, and
(i) An irrevocable, royalty-free license for reports. (1) The Recipient shall establish and
the practice of such invention throughout maintain active and effective procedures to
the world by or on behalf of the United assure that reportable items are promptly
States or any foreign government in accord- identified and disclosed to Recipient per-
ance with any treaty or agreement with the sonnel responsible for the administration of
United States; and this clause within six months of conception
(ii) Such other rights as stated in 14 CFR and/or first actual reduction to practice,
1245.107. whichever occurs first in the performance of
(2) Nothing contained in this paragraph work under this contract. These procedures
shall be considered to grant to the Govern- shall include the maintenance of laboratory
ment any rights with respect to any inven- notebooks or equivalent records and other
tion other than a subject invention. records as are reasonably necessary to docu-
(d) Minimum rights to the Recipient. (1) The ment the conception and/or the first actual
Recipient is hereby granted a revocable, non- reduction to practice of the reportable
exclusive, royalty-free license in each patent items, and records that show that the proce-
application filed in any country on a Recipi- dures for identifying and disclosing report-
ent subject invention and any resulting pat- able items are followed. Upon request, the
342
Recipient shall furnish the Agreement Offi- duplicate and disclose subject invention dis-
cer a description of such procedures for eval- closures and all other reports and papers fur-
uation and for determination as to their ef- nished or required to be furnished pursuant
fectiveness. to this clause.
(2) The Recipient will disclose each report- (f) Examination of records relating to inven-
able item to the Agreement Officer within tions. (1) The Agreement Officer or any au-
two months after the inventor discloses it in thorized representative shall, pursuant to
writing to Recipient personnel responsible the Retention and Examination of Records
for the administration of this clause or, if provision of this cooperative agreement,
earlier, within six months after the Recipi- have the right to examine any books (includ-
ent becomes aware that a reportable item ing laboratory notebooks), records, and doc-
has been made, but in any event for subject uments of the Recipient relating to the con-
inventions before any on sale, public use, or ception or first actual reduction to practice
publication of such invention known to the of inventions in the same field of technology
Recipient. The disclosure to the agency shall as the work under this contract to determine
be in the form of a written report and shall whether—
identify the Agreement under which the re- (i) Any such inventions are subject inven-
portable item was made and the inventor(s) tions;
or innovator(s). It shall be sufficiently com- (ii) The Recipient has established and
plete in technical detail to convey a clear maintained the procedures required by para-
understanding, to the extent known at the graph (e)(1) of this section; and
time of the disclosure, of the nature, pur- (iii) The Recipient and its inventors have
pose, operation, and physical, chemical, bio- complied with the procedures.
logical, or electrical characteristics of the (2) If the Agreement Officer learns of an
reportable item. The disclosure shall also unreported Recipient invention that the
identify any publication, on sale, or public Agreement Officer believes may be a subject
use of any subject invention and whether a inventions, the Recipient may be required to
manuscript describing such invention has disclose the invention to the agency for a de-
been submitted for publication and, if so, termination of ownership rights.
whether it has been accepted for publication (3) Any examination of records under this
at the time of disclosure. In addition, after paragraph will be subject to appropriate con-
disclosure to the agency, the Recipient will ditions to protect the confidentiality of the
promptly notify the agency of the accept- information involved.
ance of any manuscript describing a subject (g) Subcontracts. (1) Unless otherwise au-
invention for publication or of any on sale or thorized or directed by the Agreement Offi-
public use planned by the Recipient for such cer, the Recipient shall—
invention. (i) Include this Clause Patent Rights—Re-
(3) The Recipient shall furnish the Agree- tention by the Recipient—(Large Business)
ment Officer the following: (suitably modified to identify the parties) in
(i) Interim reports every 12 months (or any subcontract hereunder (regardless of
such longer period as may be specified by the tier) with other than a small business firm
Agreement Officer) from the date of the or nonprofit organization for the perform-
Agreement, listing reportable items during ance of experimental, developmental, or re-
that period, and certifying that all report- search work; and
able items have been disclosed (or that there (ii) Include the clause Patent Right—Re-
are no such inventions) and that the proce- tention by the Recipient—(Small Business)
dures required by paragraph (e)(1) of this sec- (suitably modified to identify the parties) in
tion have been followed. any subcontract hereunder (regardless of
(ii) A final report, within three months tier) with a small business firm or nonprofit
after completion of the work, listing all reorganization for the performance of experi-
portable items or certifying that there were mental, developmental, or research work.
no such reportable items, and listing all sub- (2) In the event of a refusal by a prospec-
contracts at any tier containing a patent tive subcontractor to accept such a clause
rights clause or certifying that there were no the Recipient—
such subcontracts. (i) Shall promptly submit a written notice
(4) The Recipient agrees, upon written re- to the Agreement Officer setting forth the
quest of the Agreement Officer, to furnish subcontractor’s reasons for such refusal and
additional technical and other information other pertinent information that may expe-
available to the Recipient as is necessary for dite disposition of the matter; and
the preparation of a patent application on a (ii) Shall not proceed with such sub-
subject invention and for the prosecution of contract without the written authorization
the patent application, and to execute all pa- of the Agreement Officer.
pers necessary to file patent applications on (3) The Recipient shall promptly notify the
subject inventions and to establish the Gov- Agreement Officer in writing upon the award
ernment’s rights in the subject inventions. of any subcontract at any tier containing a
(5) The Recipient agrees, subject to 48 CFR patent rights clause by identifying the sub-
(FAR) 27.302(j), that the Government may contractor, the applicable patent rights
343
§ 1274.913 14 CFR Ch. V (1–1–21 Edition)
clause, the work to be performed under the bodying subject inventions or produced
subcontract, and the dates of award and esti- through the use of subject inventions shall
mated completion. Upon request of the be manufactured substantially in the United
Agreement Officer, the Recipient shall fur- States. However, in individual cases, the re-
nish a copy of such subcontract, and, no quirement to manufacture substantially in
more frequently than annually, a listing of the United States may be waived by the As-
the subcontracts that have been awarded. sistant Administrator for Procurement (Code
(4) The subcontractor will retain all rights HS) with the concurrence of the Associate
provided for the Recipient in the clause of General Counsel for Intellectual Property
paragraph (g)(1)(i) or (1)(ii) of this section, upon a showing by the Recipient that under
whichever is included in the subcontract, the circumstances domestic manufacture is
and the Recipient will not, as part of the not commercially feasible.
consideration for awarding the subcontract, (i) March-in rights. The Recipient agrees
obtain rights in the subcontractor’s subject that, with respect to any subject invention
inventions. in which it has acquired title, NASA has the
(5) Notwithstanding paragraph (g)(4) of this right in accordance with the procedures in 37
section, and in recognition of the contrac- CFR 401.6 and any supplemental regulations
tor’s substantial contribution of funds, fa- of the agency to require the Recipient, an as-
cilities and/or equipment to the work per- signee or exclusive licensee of a subject in-
formed under this cooperative agreement, vention to grant a nonexclusive, partially
the Recipient is authorized, subject to the exclusive, or exclusive license in any field of
rights of NASA set forth elsewhere in this use to a responsible applicant or applicants,
clause, to: upon terms that are reasonable under the
(i) Acquire by negotiation and mutual circumstances, and if the Subcontractor, as-
agreement rights to a subcontractor’s sub- signee, or exclusive licensee refuses such a
ject inventions as the Recipient may deem request NASA has the right to grant such a
necessary to obtaining and maintaining of license itself if the Federal agency deter-
such private support; and mines that—
(ii) Request, in the event of inability to (1) Such action is necessary because the
reach agreement pursuant to paragraph Recipient or assignee has not taken, or is
(g)(5)(i) of this section, that NASA invoke not expected to take within a reasonable
exceptional circumstances as necessary pur- time, effective steps to achieve practical ap-
suant to 37 CFR 401.3(a)(2) if the prospective 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 rights—retention 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 RIGHTS—RETENTION BY THE
ject invention (42 U.S.C. 2457, as amended, RECIPIENT (SMALL BUSINESS)
sec. 305). If a waiver is not requested or
July 2002
granted, the Recipient may request a license
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.
344
(3) Nonprofit organization, as used in this States the subject invention throughout the
clause, means a university or other institu- world.
tion of higher education or an organization (c) Invention disclosure, election of title, and
of the type described in section 501(c)(3) of filing of patent application by Recipient. (1)
the Internal Revenue Code of 1954 (26 U.S.C. The Recipient will disclose each subject in-
501(c)) and exempt from taxation under sec- vention to NASA within two months after
tion 501(a) of the Internal Revenue Code (26 the inventor discloses it in writing to Recipi-
U.S.C. 501(a)) or any nonprofit scientific or ent personnel responsible for patent matters.
educational organization qualified under a The disclosure to the agency shall be in the
state nonprofit organization statute. form of a written report and shall identify
(4) Practical application, as used in this the contract under which the invention was
clause, means to manufacture, in the case of made and the inventor(s). It shall be suffi-
a composition of product; to practice, in the ciently complete in technical detail to con-
case of a process or method, or to operate, in vey a clear understanding to the extent
the case of a machine or system; and, in each known at the time of the disclosure, of the
case, under such conditions as to establish nature, purpose, operation, and the physical,
that the invention is being utilized and that chemical, biological or electrical character-
its benefits are, to the extent permitted by istics of the invention. The disclosure shall
law or Government regulations, available to also identify any publication, on sale or pub-
the public on reasonable terms. lic use of the invention and whether a manu-
(5) Small business firm, as used in this script describing the invention has been sub-
clause, means a small business concern as mitted for publication and, if so, whether it
defined at Section 2 of Pub. L. 85–536 (15 has been accepted for publication at the time
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
(2) The Recipient will elect in writing
121.911 will be used.
whether or not to retain title to any such in-
(6) Subject invention, as used in this clause, vention by notifying NASA within two years
means any invention of the Subcontractor of disclosure to the Federal agency. How-
conceived or first actually reduced to prac- ever, in any case where publication, on sale
tice in the performance of work under this or public use has initiated the one-year stat-
Agreement. utory period wherein valid patent protection
(7) Manufactured substantially in the United can still be obtained in the United States,
States means the product must have over 50 the period for election of title may be short-
percent of its components manufactured in ened by the agency to a date that is no more
the United States. This requirement is met if than 60 days prior to the end of the statutory
the cost to the Recipient of the components period.
mined, produced, or manufactured in the (3) The Recipient will file its initial patent
United States exceeds 50 percent of the cost application on a subject invention to which
of all components required to make the prod- it elects to retain title within one year after
uct. (In making this determination only the election of title or, if earlier, prior to the end
product and its components shall be consid- of any statutory period wherein valid patent
ered.) The cost of each component includes protection can be obtained in the United
transportation costs to the place of incorpo- States after a publication, on sale, or public
ration into the product and any applicable use. The Recipient will file patent applica-
duty (whether or not a duty-free entry cer- tions in additional countries or international
tificate is issued). Components of foreign ori- patent offices within either 10 months of the
gin of the same class or kind for which deter- corresponding initial patent application of
minations have been made in accordance six months from the date permission is
with FAR 25.102(a)(3) and (4) are treated as granted by the Commissioner of Patents and
domestic. Scrap generated, collected, and Trademarks to file foreign patent applica-
prepared for processing in the United States tions where such filing has been prohibited
is considered domestic. by a Secrecy Order.
(b) Allocation of principal rights. The Recipi- (4) Requests for extension of the time for
ent may retain the entire right, title, and in- disclosure election, and filing under para-
terest throughout the world to each subject graphs (c)(1), (2), and (3) of this section may,
invention subject to the provisions of this at the discretion of the agency, be granted.
clause and 35 U.S.C. 203. With respect to any (d) Conditions when the Government may ob-
subject invention in which the Recipient retain title. The Recipient will convey to
tains title, the Federal Government shall NASA, upon written request, title to any
have a nonexclusive, nontransferable, irrev- subject invention—
ocable, paid-up license to practice or have (1) If the Recipient fails to disclose or elect
practiced for or on behalf of the United title to the subject invention within the
345
§ 1274.913 14 CFR Ch. V (1–1–21 Edition)
times specified in paragraph (c) of this sec- cause why the license should not be revoked
tion, or elects not to retain title; provided, or modified. The Recipient has the right to
that the agency may only request title with- appeal, in accordance with applicable regula-
in 60 days after learning of the failure of the tions in 37 CFR Part 404 and 14 CFR Subpart
Recipient to disclose or elect within the 1245.1, concerning the licensing of Govern-
specified times. ment-owned inventions, any decision con-
(2) In those countries in which the Recipi- cerning the revocation or modification of the
ent fails to file patent applications within license.
the times specified in paragraph (c) of this (f) Recipient action to protect the Govern-
section; provided, however, that if the Re- ment’s interest. (1) The Recipient agrees to
cipient has filed a patent application in a execute or to have executed and promptly
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
subject invention to which the Government disclose promptly in writing to personnel
obtains title, except if the Recipient fails to identified as responsible for the administra-
disclose the invention within the times spec- tion of patent matters and in a format sug-
ified in paragraph (c) of this section. The Re- gested by the Recipient each subject inven-
cipient’s license extends to its domestic sub- tion made under contract in order that the
sidiary and affiliates, if any, within the cor- Recipient can comply with the disclosure
porate structure of which the Recipient is a provisions of paragraph (c) of this section,
party and includes the right to grant sub- and to execute all papers necessary to file
licenses of the same scope to the extent the patent applications on subject inventions
Recipient was legally obligated to do so at and to establish the Government’s rights in
the time the agreement was awarded. The li- the subject inventions. This disclosure for-
cense is transferable only with the approval mat should require, as a minimum, the infor-
of NASA, except when transferred to the suc- mation required by paragraph (c)(1) of this
cessor of that part of the Recipient’s busi- section. The Recipient shall instruct such
ness to which the invention pertains. employees, through employee agreements or
(2) The Contractor’s domestic license may other suitable educational programs, on the
be revoked or modified by NASA to the ex- importance of reporting inventions in suffi-
tent necessary to achieve expeditious prac- cient time to permit the filing of patent ap-
tical application of subject invention pursu- plications prior to U.S. or foreign statutory
ant to an application for an exclusive license bars.
submitted in accordance with applicable pro- (3) The Recipient will notify NASA of any
visions at 37 CFR Part 404 and agency licens- decisions not to continue the prosecution of
ing regulations (if any). This license will not a patent application, pay maintenance fees,
be revoked in that field of use or the geo- or defend in a reexamination or opposition
graphical areas in which the Subcontractor proceeding on a patent, in any country, not
has achieved practical application and con- less than 30 days before the expiration of the
tinues to make the benefits of the invention response period required by the relevant pat-
reasonable accessible to the public. The li- ent office.
cense in any foreign country may be revoked (4) The Recipient agrees to include, within
or modified at the discretion of NASA to the the specification of any United States patent
extent the Subcontractor, its licensees, or application and any patent issuing thereon
the domestic subsidiaries or affiliates have covering a subject invention the following
failed to achieve practical application in statement, ‘‘This invention was made with
that foreign country. Government support under (identify the
(3) Before revocation or modification of the agreement) awarded by NASA. The Govern-
license, NASA will furnish the Recipient a ment has certain rights in the invention.’’
written notice of its intention to revoke or (5) The Recipient shall provide the Agree-
modify the license, and the Recipient will be ment Officer the following:
allowed 30 days (or such other time as may (i) A listing every 12 months (or such
be authorized by NASA for good cause shown longer period as the Agreement Officer may
by the Recipient) after the notice to show specify) from the date of the Agreement, of
346
all subject inventions required to be dis- rights of NASA set forth elsewhere in this
closed during the period. clause, to—
(ii) A final report prior to closeout of the (i) Acquire by negotiation and mutual
Agreement listing all subject inventions or agreement rights to a subcontractor’s sub-
certifying that there were none. ject inventions as the Recipient may deem
(iii) Upon request, the filing date, serial necessary to obtaining and maintaining of
number, and title, a copy of the patent appli- such private support; and
cation, and patent number and issue date for (ii) Request, in the event of inability to
any subject invention in any country in reach agreement pursuant to paragraph
which the Recipient has applied for patents. (g)(5)(i) of this section that NASA invoke ex-
(iv) An irrevocable power to inspect and ceptional circumstances as necessary pursu-
make copies of the patent application file, ant to 37 CFR 401.3(a)(2) if the prospective
by the Government, when a Federal Govern- subcontractor is a small business firm or or-
ment employee is a co-inventor. ganization, or for all other organizations, re-
(g) Subcontracts. (1) Unless otherwise au- quest that such rights for the Recipient be
thorized or directed by the Agreement Offi- included as an additional reservation in a
cer, the Recipient shall— waiver granted pursuant to 14 CFR part 1245,
(i) Include this clause (Patent Rights—Re- subpart 1. Any such requests to NASA should
tention by the Recipient (Small Business)), be prepared in consideration of the following
suitably modified to identify the parties, in guidance and submitted to the contract of-
all subcontracts, regardless of tier, for exper- fice:
imental, developmental, or research work to
(A) Exceptional circumstances. A request
be performed by a small business firm or do-
that NASA make an ‘‘exceptional cir-
mestic nonprofit organization; and
cumstances’’ determination pursuant to 37
(ii) Include in all other subcontracts, re-
CFR 401.3(a)(2) must state the scope of rights
gardless of tier, for experimental, develop-
sought by the Recipient pursuant to such de-
mental, or research work the patent rights
termination; identify the proposed subcon-
clause (Patent Rights—Retention by the Re-
tractor and the work to be performed under
cipient (Large Business).
the subcontract; and state the need for the
(2) In the event of a refusal by a prospec-
determination.
tive subcontractor to accept such a clause
the Recipient— (B) Waiver petition. The subcontractor
(i) Shall promptly submit a written notice should be advised that unless it requests a
to the Agreement Officer setting forth the waiver of title pursuant to the NASA Patent
subcontractor’s reasons for such refusal and Waiver Regulations (14 CFR part 1245, sub-
other pertinent information that may expe- part 1), NASA will acquire title to the sub-
dite disposition of the matter; and ject invention (42 U.S.C. 2457, as amended,
(ii) Shall not proceed with such sub- sec. 305). If a waiver is not requested or
contract without the written authorization granted, the Recipient may request a license
of the Agreement Officer. from NASA (see licensing of NASA inven-
(3) The Recipient shall promptly notify the tions, 14 CFR part 1245, subpart 3). A subcon-
Agreement Officer in writing upon the award tractor requesting a waiver must follow the
of any subcontract at any tier containing a procedures set forth in the REQUESTS FOR
patent rights clause by identifying the sub- WAIVER OF RIGHTS—LARGE BUSINESS
contractor, the applicable patent rights provision.
clause, the work to be performed under the (h) Reporting on utilization of subject inven-
subcontract, and the dates of award and esti- tions. The Recipient agrees to submit, on re-
mated completion. Upon request of the quest, periodic reports no more frequently
Agreement Officer, the Recipient shall fur- than annually on the utilization of a subject
nish a copy of such subcontract, and, no invention or on efforts at obtaining such uti-
more frequently than annually, a listing of lization that are being made by the Recipi-
the subcontracts that have been awarded. ent or its licensees or assignees. Such re-
(4) The subcontractor will retain all rights ports shall include information regarding the
provided for the Recipient in the clause status of development, date of first commer-
under paragraph (g)(1)(i) or (g)(1)(ii) of this cial sale or use, gross royalties received by
section, whichever is included in the sub- the Recipient, and such other data and infor-
contract, and the Recipient will not, as part mation as the agency may reasonably speci-
of the consideration for awarding the sub- fy. The Recipient also agrees to provide addi-
contract, obtain rights in the subcontrac- tional reports as may be requested by the
tor’s subject inventions. agency in connection with any march-in pro-
(5) Notwithstanding paragraph (g)(4) of this ceeding under-taken by the agency in ac-
section, and in recognition of the contrac- cordance with paragraph (i) of this section.
tor’s substantial contribution of funds, fa- As required by 35 U.S.C. 202(c)(5), the agency
cilities and/or equipment to the work per- agrees it will not disclose such information
formed under this cooperative agreement, to persons outside the Government without
the Recipient is authorized, subject to the permission of the Recipient.
347
§ 1274.913 14 CFR Ch. V (1–1–21 Edition)
(i) Preference for United States manufacture. subject invention is assigned in accordance
The Recipient agrees that any products em- with 35 U.S.C. 202(e) and 37 CFR 401.10;
bodying subject inventions or produced (3) The balance of any royalties or income
through the use of subject inventions shall earned by the Recipient with respect to sub-
be manufactured substantially in the United ject inventions, after payment of expenses
States. However, in individual cases, the re- (including payments to inventors) incidental
quirement to manufacture substantially in to the administration of subject inventions
the United States may be waived by the As-
will be utilized for the support of scientific
sistant Administrator for Procurement (Code
HS) with the concurrence of the Associate research or education; and
General Counsel for Intellectual Property (4) It will make efforts that are reasonable
upon a showing by the Recipient that under under the circumstances to attract licensees
the circumstances domestic manufacture is of subject inventions that are small business
not commercially feasible. firms, and that it will give a preference to a
(j) March-in rights. The Recipient agrees small business firm when licensing a subject
that, with respect to any subject invention invention if the Recipient determines that
in which it has acquired title, NASA has the the small business firm has a plan or pro-
right in accordance with the procedures in 37 posal for marketing the invention which, if
CFR 401.6 and any supplemental regulations executed, is equally as likely to bring the in-
of the agency to require the Recipient, an as- vention to practical application as any plans
signee or exclusive licensee of a subject in- or proposals from applicants that are not
vention to grant a nonexclusive, partially small business firms; provided that the Re-
exclusive, or exclusive license in any field of
cipient is also satisfied that the small busi-
use to a responsible applicant or applicants,
ness firm has the capability and resources to
upon terms that are reasonable under the
circumstances, and if the Subcontractor, as- carry out its plan or proposal. The decision
signee, or exclusive licensee refuses such a whether to give a preference in any specific
request NASA has the right to grant such a case will be at the discretion of the Recipi-
license itself if the Federal agency deter- ent. However, the Recipient agrees that the
mines that— Secretary of Commerce may review the Con-
(1) Such action is necessary because the tractor’s licensing program and decisions re-
Recipient or assignee has not taken, or is garding small business applicants, and the
not expected to take within a reasonable Recipient will negotiate changes to its li-
time, effective steps to achieve practical ap- censing policies, procedures, or practices
plication of the subject invention in such with the Secretary of Commerce when the
field of use; Secretary’s review discloses that the Recipi-
(2) Such action is necessary to alleviate ent could take reasonable steps to more ef-
health or safety needs which are not reason- fectively implement the requirements of this
ably satisfied by the Recipient, assignee, or paragraph.
their licensees;
(l) Documentation submissions. A copy of all
(3) Such action is necessary to meet re-
quirements for public use specified by Fed- submissions or requests required by this
eral regulations and such requirements are clause, plus a copy of any reports, manu-
not reasonably satisfied by the Recipient, as- scripts, publications, or similar material
signee, or licensees; or bearing on patent matters, shall be sent to
(4) Such action is necessary because the the installation Patent Counsel in addition
agreement required by paragraph (i) of this to any other submission requirements in the
section has not been obtained or waived or cooperative agreement. If any reports con-
because a licensee of the exclusive right to tain information describing a ‘‘subject in-
use or sell any subject invention in the vention’’ for which the Recipient has elected
United States is in breach of such agree- or may elect title, NASA will use reasonable
ment. efforts to delay public release by NASA or
(k) Special provisions for Agreements with publication by NASA in a NASA technical
nonprofit organizations. If the Recipient is a series, in order for a patent application to be
nonprofit organization, it agrees that— filed, provided that the Recipient identify
(1) Rights to a subject invention in the the information and the ‘‘subject invention’’
United States may not be assigned without to which it relates at the time of submittal.
the approval of NASA, except where such as-
If required by the Agreement Officer, the Re-
signment is made to an organization which
cipient shall provide the filing date, serial
has one of its primary functions the manage-
number and title, a copy of the patent appli-
ment of inventions; provided, that such as-
signee will be subject to the same provisions cation, and a patent number and issue date
as the Recipient; for any ‘‘subject invention’’ in any country
(2) The Recipient will share royalties col- in which the Recipient has applied for pat-
lected on a subject invention with the inven- ents.
tor, including Federal employee co-inventors
(when NASA deems it appropriate) when the
348
[End of provision] waiver be granted, and will notify the peti-

tioner and the Agreement Officer of the Ad-
§ 1274.914 Requests for waiver of ministrator’s determination. The Agreement
rights—large business. Officer will be informed by the Board when-
ever there is insufficient time or information
REQUESTS FOR WAIVER OF RIGHTS—LARGE or other reasons to permit a decision to be
BUSINESS made without unduly delaying the execution
of the agreement. In the latter event, the pe-
July 2002 titioner will be so notified by the Agreement
(a) In accordance with the NASA Patent Officer. All other petitions will be processed
Waiver Regulations, 14 CFR part 1245, sub- by installation Patent Counsel and for-
part 1, waiver of rights to any or all inven- warded to the Board. The Board shall notify
tions made or that may be made under a the petitioner of its action and if waiver is
NASA agreement, contract or subcontract granted, the conditions, reservations, and
with other than a small business firm or a obligations thereof will be included in the
domestic nonprofit organization may be re- Instrument of Waiver. Whenever the Board
quested at different time periods. Advance notifies a petitioner of a recommendation
waiver of rights to any or all inventions that adverse to, or different from, the waiver re-
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 [End of provision]
the installation Patent Counsel for proc-
essing and then to the Inventions and Con- § 1274.916 Liability and risk of loss.
tributions Board. The Board will consider
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
349
§ 1274.917 14 CFR Ch. V (1–1–21 Edition)
projects that are subject to Section 431 action required of the Recipient. NASA is
of Public Law 105–276, which addresses not obligated to make payments in excess of
insurance for, or indemnification of, the total funds obligated.
developers of experimental aerospace [End of provision]
vehicles.
LIABILITY AND RISK OF LOSS § 1274.919 Cost principles and account-
ing standards.
July 2002
COST PRINCIPLES AND ACCOUNTING STANDARDS
(a) With regard to activities undertaken
pursuant to this agreement, neither party July 2002
shall make any claim against the other, em- The expenditure of Government funds by
ployees of the other, the other’s related enti- the Recipient and the allowability of costs
ties (e.g., contractors, subcontractors, etc.), recognized as a resource contribution by the
or employees of the other’s related entities Recipient (See clause entitled ‘‘Resource
for any injury to or death of its own employ- Sharing Requirements’’) shall be governed
ees or employees of its related entities, or by the FAR cost principles implemented by
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 party’s 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 A–122, ‘‘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 A–21, ‘‘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-
nical Officer for this cooperative agreement
INCREMENTAL FUNDING are identified on the cooperative agreement
cover sheet.
July 2002
(b) The Agreement Officer shall serve as
(a) Of the award amount indicated on the NASA’s authorized representative for the ad-
cover page of this Agreement, only the obli- ministrative elements of all work to be per-
gated amount indicated on the cover page of formed under the agreement.
this agreement is available for payment. (c) The Technical Officer shall have the au-
NASA may supplement the Agreement, as thority to issue written Technical Advice
required, until it is fully funded. Any work which suggests redirecting the project work
beyond the funding limit will be at the re- (e.g., by changing the emphasis among dif-
cipient’s risk. ferent tasks), or pursuing specific lines of in-
(b) These funds will be obligated as appro- quiry likely to assist in accomplishing the
priated funds become available without any effort. The Technical Officer shall have the
350
authority to approve or disapprove those agreement. This report is intended to sum-
technical reports, plans, and other technical marize the entire research accomplished dur-
information the Recipient is required to sub- ing the duration of the cooperative agree-
mit to NASA for approval. The Technical Of- ment.
ficer is not authorized to issue and the Re- (e) Progress reports and summaries of re-
cipient shall not follow any Technical Ad- search shall display the following on the
vice which constitutes work which is not first page:
contemplated under this agreement; which
(1) Title of the cooperative agreement.
in any manner causes an increase or decrease
in the resource sharing or in the time re- (2) Type of report.
quired for performance of the project; which (3) Period covered by the report.
has the effect of changing any of the terms (4) Name and address of the Recipient’s or-
or conditions of the cooperative agreement; ganization.
or which interferes with the Recipient’s (5) Cooperative agreement number.
right to perform the project in accordance (f) An original and two copies, one of which
with the terms and conditions of this cooper- shall be of suitable quality to permit micro-
ative agreement. In the event of perceived reproduction, shall be sent as follows:
interference, dispute resolution procedures (1) Original—Agreement Officer.
apply as set forth in 1274.907.
(2) Copy—Technical Officer
[End of provision] (3) Micro-reproducible copy—NASA Center
for Aerospace Information (CASI), Parkway
§ 1274.921 Publications and reports: Center, Attn: Document Processing Section,
non-proprietary research results. 7121 Standard Drive, Hanover, MD 21076.
The requirements set forth under [End of provision]
this provision may be modified by the
Agreement Officer based on specific re- § 1274.922 Suspension or termination.
port needs for the particular grant or
cooperative agreement. SUSPENSION OR TERMINATION
PUBLICATIONS AND REPORTS: NON- July 2002

PROPRIETARY RESEARCH RESULTS
(a) This cooperative agreement may be
July 2002 suspended or terminated in whole or in part
(a) NASA encourages the widest prac- by the Recipient or by NASA after consulta-
ticable dissemination of research results at tion with the other party. With prior written
all times during the course of the investiga- notice, NASA may terminate the agreement,
tion consistent with the other terms of this for example, if the Recipient is not making
agreement. anticipated technical progress, if the Recipi-
(b) All information disseminated as a re- ent materially fails to comply with the
sult of the cooperative agreement shall con- terms of the agreement, if the Recipient ma-
tain a statement which acknowledges terially changes the objective of the agree-
NASA’s support and identifies the coopera- ment, or if appropriated funds are not avail-
tive agreement by number. able to support the program.
(c) Prior approval by the NASA Technical (b) Upon fifteen (15) days written notice to
Officer is required only where the Recipient the other party, either party may tempo-
requests that the results of the research be rarily suspend the cooperative agreement,
published in a NASA scientific or technical pending corrective action or a decision to
publication. Two copies of each draft publi-
terminate the cooperative agreement. The
cation shall accompany the approval re-
notice should express the reasons why the
quest.
(d) Reports shall contain full bibliographic agreement is being suspended.
references, abstracts of publications and lists (c) In the event of termination by either
of all other media in which the research was party, the Recipient shall not be entitled to
discussed. The Recipient shall submit the additional funds or payments except as may
following technical reports: be required by the Recipient to meet NASA’s
(1) A progress report for every year of the share of commitments which had in the judg-
cooperative agreement (except the final ment of NASA become firm prior to the ef-
year). Each report is due 60 days before the fective date of termination and are otherwise
anniversary date of the cooperative agree- appropriate. In no event, shall these addi-
ment and shall describe research accom- tional funds or payments exceed the amount
plished during the report period. of the next payable milestone billing
(2) A summary of research is due by 90 days amount.
after the expiration date of the cooperative
agreement, regardless of whether or not sup-
port is continued under another cooperative
351
§ 1274.923 14 CFR Ch. V (1–1–21 Edition)
[End of provision] (g) As of the date of this rewrite, process

changes have been made to facilitate elec-
§ 1274.923 Equipment and other prop- tronic submission of NF 1018. Recipients may
erty. use the procedures established by NASA Pro-
curement Notice (PN) 97–64, issued on Au-
EQUIPMENT AND OTHER PROPERTY gust 9, 2001.
February 2004
[End of provision]
(a) Under no circumstances shall coopera-
tive agreement funds be used to acquire land [67 FR 45790, July 10, 2002, as amended at 69
or any interest therein, to acquire or con- FR 5017, Feb. 3, 2004]
struct facilities (as defined in 48 CFR (FAR)
45.301), or to procure passenger carrying ve-
§ 1274.924 Civil rights.
hicles.
(b) Contractor acquired equipment or prop- CIVIL RIGHTS
erty used in performance of the Cooperative
Agreement shall be controlled in accordance July 2002
with 48 CFR (FAR) 45.6.
(c) The government shall have title to Work on NASA cooperative agreements is
equipment and other personal property ac- subject to the provisions of Title VI of the
quired with government funds. Such prop- Civil Rights Act of 1964 (Public Law 88–352; 42
erty shall be disposed of pursuant to 48 CFR U.S.C. 2000d-l), Title IX of the Education
(FAR) 45.603. The Recipient shall have title Amendments of 1972 (20 U.S.C. 1680 et seq.),
to equipment and other personal property section 504 of the Rehabilitation Act of 1973,
acquired with Recipient funds. Such prop- as amended (29 U.S.C. 794), the Age Discrimi-
erty shall remain with the Recipient at the nation Act of 1975 (42 U.S.C. 6101 et seq.), and
conclusion of the cooperative agreement. the NASA implementing regulations (14 CFR
Under a shared cost arrangement, the Gov- parts 1250, 1251, 1252 and 1253).
ernment and the Recipient have joint owner-
ship of acquired property in accordance with [End of provision]
the cost share ratio. Jointly owned property
shall be disposed of as agreed to by the par- § 1274.925 Subcontracts.
ties.
(d) Title to Government furnished equip- SUBCONTRACTS
ment (including equipment, title to which
has been transferred to the Government July 2002
prior to completion of the work) will remain (a) Recipients are not authorized to issue
with the Government. grants or cooperative agreements.
(e) The Recipient shall establish and main- (b) NASA Agreement Officer consent is re-
tain property management standards for quired for subcontracts over[dollar threshold
Government property and otherwise manage inserted by Agreement Officer] and/or sub-
such property as set forth in 48 CFR (FAR)
contracts for [critical systems, subsystems,
45.5 and 48 CFR (NFS) 1845.5.
components, or services inserted by Agree-
(f) Recipients shall submit annually a
ment Officer and Cognizant NASA Project
NASA Form 1018, NASA Property in the Cus-
Office]lll.
tody of Contractors, in accordance with the
instructions on the form, the provisions of 48 (c) If not submitted by the Recipient and
CFR (NFS) 1845.71 and any supplemental in- accepted by NASA in the original proposal.
structions that may be issued by NASA for The Recipient shall provide the following in-
the current reporting period. The original formation to the Agreement Officer:
NF 1018 shall be submitted to the center Dep- (1) A copy of the proposed subcontract.
uty Chief Financial Officer, Finance, with (2) Basis for subcontractor selection.
three copies sent concurrently to the center (3) Justification for lack of competition
Industrial Property Officer. The annual re- when competitive bids or offers are not ob-
porting period shall be from October 1 of tained.
each year through September 30 of the fol- (4) Basis for award cost or award price.
lowing year. The report shall be submitted in (d) The Recipient shall utilize small busi-
time to be received by October 15. Negative ness, veteran-owned small business, service-
reports (i.e. no reportable property) are re- disabled veteran-owned small business, his-
quired. The information contained in the re- torically underutilized small business, small
ports is entered into the NASA accounting disadvantaged business, women-owned busi-
system to reflect current asset values for ness concerns, Historically Black Colleges
agency financial statement purposes. There- and Universities, and minority educational
fore, it is essential that required reports be institutions as subcontractors to the max-
received no later than October 15. A final re- imum extent practicable.
port is required within 30 days after expira- (e) All entities that are involved in per-
tion of the agreement. forming the research and development effort
352
that is the purpose of the cooperative agree- [End of Provision]
ment shall be part of the Recipient’s consor-
tium and not subcontractors.
[79 FR 56488, Sept. 22, 2014]
[End of provision]
§ 1274.928 Foreign national employee
§ 1274.926 Clean Air-Water Pollution investigative requirements.
Control Acts. FOREIGN NATIONAL EMPLOYEE INVESTIGATIVE
CLEAN AIR-WATER POLLUTION CONTROL ACTS REQUIREMENTS
July 2002 July 2002

If this cooperative agreement or supple- (a) The Recipient shall submit a properly
ment thereto is in excess of $100,000, the Re- executed Name Check Request (NASA Form
cipient agrees to notify the Agreement Offi- 531) and a completed applicant fingerprint
cer promptly of the receipt, whether prior or card (Federal Bureau of Investigation Card
subsequent to the Recipient’s acceptance of FD–258) for each foreign national employee
this cooperative agreement, of any commu- requiring access to a NASA Installation.
nication from the Director, Office of Federal These documents shall be submitted to the
Activities, Environmental Protection Agen- Installation’s Security Office at least 75 days
cy (EPA), indicating that a facility to be uti- prior to the estimated duty date. The NASA
lized under or in the performance of this co- Installation Security Office will request a
operative agreement or any subcontract National Agency Check (NAC) for foreign na-
thereunder is under consideration to be list- tional employees requiring access to NASA
ed on the EPA ‘‘List of Violating Facilities’’ facilities. The NASA Form 531 and finger-
published pursuant to 40 CFR 15.20. By ac- print card may be obtained from the NASA
ceptance of a cooperative agreement in ex- Installation Security Office.
cess of $100,000, the Recipient— (b) The Installation Security Office will re-
(a) Stipulates that any facility to be uti- quest from NASA Headquarters, Code I, ap-
lized thereunder is not listed on the EPA proval for each foreign national’s access to
‘‘List of Violating Facilities’’ as of the date the Installation prior to providing access to
of acceptance; the Installation. If the access approval is ob-
(b) Agrees to comply with all requirements tained from NASA Headquarters prior to
of section 114 of the Clean Air Act, as amend- completion of the NAC and performance of
ed (42 U.S.C. 1857 et seq. as amended by Pub- the cooperative agreement requires a foreign
lic Law 91–604) and section 308 of the Federal national to be given access immediately, the
Water Pollution Control Act, as amended (33 Technical Officer may submit an escort re-
U.S.C. 1251 et seq. as amended by Public Law quest to the Installation’s Chief of Security.
92–500) relating to inspection, monitoring,
entry, reports and information, and all other [End of provision]
requirements specified in the aforemen-
tioned sections, as well as all regulations § 1274.929 Restrictions on lobbying.
and guidelines issued thereunder after award
of and applicable to the cooperative agree- RESTRICTIONS ON LOBBYING
ment; and
(c) Agrees to include the criteria and re- July 2002
quirements of this clause in every sub- This award is subject to the provisions of
contract hereunder in excess of $100,000, and 14 CFR part 1271 ‘‘New Restrictions on Lob-
to take such action as the Contracting or bying.’’
Grant Officer may direct to enforce such cri-
teria and requirements. [End of provision]
[End of provision] § 1274.930 Travel and transportation.
§ 1274.927 Debarment and Suspension TRAVEL AND TRANSPORTATION
and Drug-Free Workplace.
July 2002
DEBARMENT AND SUSPENSION AND DRUG-FREE
(a) For travel funded by the government
WORKPLACE (SEP 2014)
under this agreement, section 5 of the Inter-
NASA cooperative agreements are subject national Air Transportation Fair Competi-
to the provisions of 2 CFR Part 180, Govern- tive Practices Act of 1974 (49 U.S.C. 40118)
ment-wide Debarment and Suspension (Non- (Fly America Act) requires the Recipient to
procurement) and 2 CFR Part 182, Govern- use U.S.-flag air carriers for international
ment-wide requirements for Drug-Free air transportation of personnel and property
Workplace, unless excepted by 2 CFR 180.110 to the extent that service by those carriers
or 180.610. is available.
353
§ 1274.931 14 CFR Ch. V (1–1–21 Edition)
(b) Department of Transportation regula- tution for the receipt of any payment made
tions, 49 CFR part 173, govern Recipient ship- using electronic funds transfer procedures,
ment of hazardous materials and other notification of such change and the required
items. information specified above must be received
by the appropriate Government official 30
[End of provision] days prior to the date such change is to be-
come effective.
§ 1274.931 Electronic funds transfer (d) The documents furnishing the informa-
payment methods. tion required in this clause must be dated
and contain the signature, title, and tele-
ELECTRONIC FUNDS TRANSFER PAYMENT phone number of the Recipient official au-
METHODS thorized to provide it, as well as the Recipi-
ent’s name and contract number.
July 2002
(e) Failure to properly designate a finan-
Payments under this cooperative agree- cial institution or to provide appropriate
ment will be made by the Government by payee bank account information may delay
electronic funds transfer through the Treas- payments of amounts otherwise properly
ury Fedline Payment System (FEDLINE) or due.
the Automated Clearing House (ACH), at the
option of the Government. After award, but [End of provision]
no later than 14 days before an invoice is
submitted, the Recipient shall designate a fi- § 1274.932 Retention and examination
nancial institution for receipt of electronic of records.
funds transfer payments, and shall submit
this designation to the Agreement Officer or RETENTION AND EXAMINATION OF RECORDS
other Government official, as directed.
July 2002
(a) For payment through FEDLINE, the
Recipient shall provide the following infor- Financial records, supporting documents,
mation: statistical records, and all other records (or
(1) Name, address, and telegraphic abbre- microfilm copies) pertinent to this coopera-
viation of the financial institution receiving tive agreement shall be retained for a period
payment. of 3 years, except that records for non-
(2) The American Bankers Association 9- expendable property acquired with coopera-
digit identifying number for wire transfers of tive agreement funds shall be retained for 3
the financing institution receiving payment years after its final disposition and, if any
if the institution has access to the Federal litigation, claim, or audit is started before
Reserve Communication System. the expiration of the 3-year period, the
(3) Payee’s account number at the finan- records shall be retained until all litigation,
cial institution where funds are to be trans- claims, or audit findings involving the
ferred. records have been resolved. The retention pe-
(4) If the financial institution does not riod starts from the date of the submission
have access to the Federal Reserve Commu- of the final invoice. The Administrator of
nications System, name, address, and tele- NASA and the Comptroller General of the
graphic abbreviation of the correspondent fi- United States, or any of their duly author-
nancial institution through which the finan- ized representatives, shall have access to any
cial institution receiving payment obtains pertinent books, documents, papers, and
wire transfer activity. Provide the tele- records of the Recipient and of subcontrac-
graphic abbreviation and American Bankers tors to make audits, examinations, excerpts,
Association identifying number for the cor- and transcripts. All provisions of this clause
respondent institution. shall apply to any subcontractor performing
(b) For payment through ACH, the Recipi- substantive work under this cooperative
ent shall provide the following information: agreement.
(1) Routing transit number of the financial
institution receiving payment (same as [End of provision]
American Bankers Association identifying
number used for FEDLINE). § 1274.933 Summary of recipient re-
(2) Number of account to which funds are porting responsibilities.
to be deposited.
(3) Type of depositor account (‘‘C’’ for SUMMARY OF RECIPIENT REPORTING
checking, ‘‘S’’ for savings). RESPONSIBILITIES
(4) If the Recipient is a new enrollee to the
July 2004
ACH system, a ‘‘Payment Information
Form,’’ SF 3881, must be completed before This cooperative agreement requires the
payment can be processed. recipient to submit a number of reports.
(c) In the event the Recipient, during the These reporting requirements are summa-
performance of this cooperative agreement, rized below. In the event of a conflict be-
elects to designate a different financial insti- tween this provision and other provisions of
354
the cooperative agreement requiring report- [The Agreement Officer may add/delete report-
ing, the other provisions take precedence. 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 Rights—Retention by
the Recipient (Large Business)
(Paragraph (e)(3)(i))
Final Report of Reportable Items .............. 3 months after completion ....................... 1274.912 Patent Rights—Retention 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 Rights—Retention 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 Rights—Retention 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 Rights—Retention 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 Rights—Retention 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 Rights—Retention by
the Recipient (Large Busi-
ness)(Paragraph (g)(3))
or 1274.913 Patent Rights—Retention
by the Recipient (Small Business)
(Paragraph (g)(3))
Utilization of Subject Invention .................. Annually ................................................... 1274.913 Patent Rights—Retention 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 this cooperative agreement. The recipient
FR 41936, July 13, 2004] shall comply with all applicable federal,
state, and local laws relating to safety. The
§ 1274.934 Safety. Recipient shall maintain a record of, and
will notify the NASA Agreement Officer im-
SAFETY mediately (within one workday) of any acci-
July 2002 dent involving death, disabling injury or sub-
stantial loss of property. The Recipient will
NASA’s safety priority is to protect: (1) immediately (within one workday) advise
The public, (2) astronauts and pilots, (3) the NASA of hazards that come to its attention
NASA workforce (including contractor em- as a result of the work performed.
ployees working on NASA contracts), and (4) (b) Where the work under this cooperative
high-value equipment and property.
agreement involves flight hardware, the haz-
(a) The Recipient shall act responsibly in
ardous aspects, if any, of such hardware will
matters of safety and shall take all reason-
be identified, in writing, by the Recipient.
able safety measures in performing under
355
§ 1274.935 14 CFR Ch. V (1–1–21 Edition)
Compliance with this provision by sub- or change of Recipient’s personnel from per-
contractors shall be the responsibility of the forming under the Cooperative Agreement. A
Recipient. major breach of security may occur on or off
Government installations, but must be re-
[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 52.204–2 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
resources.
BREACH OF SAFETY OR SECURITY
SECURITY REQUIREMENTS FOR UNCLASSIFIED
July 2002 INFORMATION TECHNOLOGY RESOURCES
Safety is the freedom from those condi-
July 2002
tions that can cause death, injury, occupa-
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. NASA’s 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 that includes information technology re-
NASA contracts); and high-value equipment sources or services in which the Recipient
and property. A major breach of safety by must have physical or electronic access to
the Recipient entitles the Government to NASA’s sensitive information contained in
remedies (pending corrective measures by unclassified systems that directly support
the Recipient) which includes, suspension or the mission of the Agency. This includes in-
termination of the Cooperative Agreement, formation technology, hardware, software,
require removal or change of Recipient’s per- and the management, operation, mainte-
sonnel from performing under the Agree- nance, programming, and system adminis-
ment. A major breach of safety must be re- tration of computer systems, networks, and
lated directly to the work on the Agreement. telecommunications systems. Examples of
A major breach of safety is an act or omis- tasks that require security provisions in-
sion of the Recipient that consists of an acci- clude:
dent, incident, or exposure resulting in a fa- (1) Computer control of spacecraft, sat-
tality or mission failure; or in damage to ellites, or aircraft or their payloads;
equipment or property equal to or greater (2) Acquisition, transmission or analysis of
than $1 million; or in any ‘‘willful’’ or ‘‘re- data owned by NASA with significant re-
peat’’ violation cited by the Occupational placement cost should the Recipient’s copy
Safety and Health Administration (OSHA) or be corrupted; and
by a state agency operating under an OSHA (3) Access to NASA networks or computers
approved plan. at a level beyond that granted the general
(a) Security is the condition of safe- public, e.g. bypassing a firewall.
guarding against espionage, sabotage, crime (b) The Recipient shall provide, imple-
(including computer crime), or attack. A ment, and maintain an IT Security Plan.
major breach of security by the Recipient This plan shall describe the processes and
entitles the Government to remedies (pend- procedures that will be followed to ensure
ing corrective measures by the Recipient) appropriate security of IT resources that are
which includes, suspension or termination of developed, processed, or used under this co-
the Cooperative Agreement, require removal operative agreement. The plan shall describe
356
those parts of the cooperative agreement to commands directly modifying the behavior
which this provision applies. The Recipient’s of spacecraft, satellites or aircraft.
IT Security Plan shall be compliant with (ii) IT–2—Individuals having privileged ac-
Federal laws that include, but are not lim- cess or limited privileged access to systems
ited to, the Computer Security Act of 1987 (40 whose misuse can cause serious adverse im-
U.S.C. 1441 et seq.) and the Government Infor- pact to NASA missions. These systems in-
mation Security Reform Act of 2000. The clude, for example, those that can transmit
plan shall meet IT security requirements in commands directly modifying the behavior
accordance with Federal and NASA policies of payloads on spacecraft, satellites or air-
and procedures that include, but are not lim- craft; and those that contain the primary
ited to: copy of ‘‘level 1’’ data whose cost to replace
(1) OMB Circular A–130, Management of exceeds one million dollars.
Federal Information Resources, Appendix III, (iii) IT–3—Individuals having privileged ac-
Security of Federal Automated Information cess or limited privileged access to systems
Resources; whose misuse can cause significant adverse
(2) NASA Procedures and Guidelines (NPG) impact to NASA missions. These systems in-
2810.1, Security of Information Technology; clude, for example, those that interconnect
and with a NASA network in a way that exceeds
(3) Chapter 3 of NPG 1620.1, NASA Security access by the general public, such as bypass-
Procedures and Guidelines. ing firewalls; and systems operated by the
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-
ent’s proposal that resulted in the award of lows:
this cooperative agreement and in compli- (i) IT–1: 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) IT–2: FC 258 and SF 85, Questionnaire
into the cooperative agreement as a compli- for Non-Sensitive Positions; and
ance document. (iii) IT–3: NASA Form 531, Name Check,
(d)(1) Recipient personnel requiring privi- and FC 258.
leged access or limited privileged access to (4) The Agreement Officer may allow the
systems operated by the Recipient for NASA Recipient to conduct its own screening of in-
or interconnected to a NASA network shall dividuals requiring privileged access or lim-
be screened at an appropriate level in ac- ited privileged access provided the Recipient
cordance with NPG 2810.1, Section 4.5; NPG can demonstrate that the procedures used by
1620.1, Chapter 3; and paragraph (d)(2) of this the Recipient are equivalent to NASA’s per-
provision. Those Recipient personnel with sonnel screening procedures. As used here,
non-privileged access do not require per- equivalent includes a check for criminal his-
sonnel screening. NASA shall provide screen- tory, as would be conducted by NASA, and
ing using standard personnel screening Na- completion of a questionnaire covering the
tional Agency Check (NAC) forms listed in same information as would be required by
paragraph (d)(3) of this provision, unless Re- NASA.
cipient screening in accordance with para- (5) Screening of Recipient personnel may
graph (d)(4) is approved. The Recipient shall be waived by the Agreement Officer for those
submit the required forms to the NASA Cen- individuals who have proof of—
ter Chief of Security (CCS) within fourteen (i) Current or recent national security
(14) days after cooperative agreement award clearances (within last three years);
or assignment of an individual to a position (ii) Screening conducted by NASA within
requiring screening. The forms may be ob- last three years; or
tained from the CCS. At the option of the (iii) Screening conducted by the Recipient,
government, interim access may be granted within last three years, that is equivalent to
pending completion of the NAC. the NASA personnel screening procedures as
(2) Guidance for selecting the appropriate approved by the Agreement Officer under
level of screening is based on the risk of ad- paragraph (d)(4) of this provision.
verse impact to NASA missions. NASA de- (e) The Recipient shall ensure that its em-
fines three levels of risk for which screening ployees, in performance of the cooperative
is required (IT–1 has the highest level of agreement, receive annual IT security train-
risk): ing in NASA IT Security policies, proce-
(i) IT–1—Individuals having privileged ac- dures, computer ethics, and best practices in
cess or limited privileged access to systems accordance with NPG 2810.1, Section 4.3 re-
whose misuse can cause very serious adverse quirements. The Recipient may use web-
impact to NASA missions. These systems in- based training available from NASA to meet
clude, for example, those that can transmit this requirement.
357
§ 1274.938 14 CFR Ch. V (1–1–21 Edition)
(f) The Recipient shall afford NASA, in- territorial law; however, if any of the provi-
cluding the Office of Inspector General, ac- sions of the Cooperative Agreement violate
cess to the Recipient’s, subcontractors’ or any applicable State or territorial law, or if
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 Recipient’s conduct of litiga-
MODIFICATIONS tion that may affect the Government’s inter-
ests in the Project or the Government’s ad-
July 2002 ministration or enforcement of applicable
Federal laws or regulations. Before the Re-
During the term of this agreement and in cipient may name the Government as a
the interest of achieving program objectives, party to litigation for any reason, the Re-
the parties may agree to changes that affect
cipient agrees to inform the Government;
the responsibility statements, milestones, or
this proviso applies to any type of litigation
other provisions of this agreement. Any
whatsoever, in any forum.
changes to this agreement will be accom-
(d) No Government Obligations to Third Par-
plished by a written bilateral modification.
ties. Absent the Government’s 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
party subcontractors or any other person(s).
July 2002
(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 recipient’s mem-
related administrative practices applicable bership.
to this Cooperative Agreement on the date
the Agreement is executed. The Recipient CHANGES IN RECIPIENT’S MEMBERSHIP
understands that such Federal laws, regula- July 2002
tions, policies, and related administrative
practices may be modified from time to The Recipient shall notify the cognizant
time. The Recipient agrees to consider modi- Agreement Officer within seven (7) days of
fying this Agreement to be governed by any change in the corporate membership
those later modified Federal laws, regula- (ownership) structure of the Recipient, in-
tions, policies, and related administrative cluding the addition or withdrawal of any of
practices that directly affect performance of the Recipient’s affiliated members (e.g., Con-
the Project. sortium Member). If NASA reasonably deter-
(b) State or Territorial Law and Local Law. mines that any change in the corporate
Except to the extent that a Federal statute membership (ownership) of Recipient will
or regulation preempts State or territorial conflict with NASA’s objectives for the
law, nothing in the Cooperative Agreement lll Project or any statutory or regulatory
shall require the Recipient to observe or en- restriction applicable to the agency, NASA
force compliance with any provision thereof, may terminate this Agreement after giving
perform any other act, or do any other thing the Agreement Recipient at least ninety (90)
in contravention of any applicable State or days prior written notice of such perceived
358
conflict and a reasonable opportunity to cure (1) Within 30/60 days after the execution of
such conflict. the modification adding this provision to the
Agreement;
[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.
The following provision is applicable Moreover, the Recipient shall promptly no-
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 105–276, (e) Notification of Claims. The Recipient
which addresses insurance for, or in- shall—
demnification of, developers of experi- (1) Promptly notify the Agreement Officer
mental aerospace vehicles. of any third party claim or suit against the
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;
(a) General. The Recipient has applied, (2) Furnish evidence or proof of any such
under the provisions of Section 431 of Public claim, suit or damages, in the form required
Law 105–276 (Section 431), for indemnification by NASA; and
by the Government against certain third (3) Immediately furnish to NASA, or its
party damage claims that might arise under designee, copies of all information received
the Agreement. Under Section 431, a nec- by the Recipient, or by any related entity,
essary prerequisite to, and consideration for, employee or insurer that is pertinent to such
the Government’s granting such indem- claim, suit or damages.
nification is the Recipient’s obtaining insur- (f) NASA Concurrence in Settlements. NASA
ance against an initial increment of such shall concur or not concur in each settle-
damages arising from certain third party ment of a third party claim by the Recipi-
claims. This provision sets forth the require- ent’s insurer(s). For purposes of determining
ments for this insurance prerequisite to a the amount of indemnification under this co-
Government grant of indemnification. operative agreement. Adjudicated claims
(b) Definitions. The definitions at 14 CFR shall be deemed concurred in by NASA.
1266, Cross-Waivers and Indemnification,
apply to this provision. [End of provision]
(c) Insurance. The Recipient shall obtain,
as part of its financial contribution, insur- § 1274.942 Export licenses.
ance that meets the following parameters:
(1) The insurance policy or policies shall EXPORT LICENSES
insure against damages incurred by third
July 2002
parties arising from covered activities;
(2) The amount of insurance applicable to (a) The Recipient shall comply with all
each launch shall be [Amount to be inserted U.S. export control laws and regulations, in-
by the contracting officer]. The Government cluding the International Traffic in Arms
may subsequently increase the amount of in- Regulations (ITAR), 22 CFR Parts 120
surance the Recipient is required to main- through 130, and the Export Administration
tain to qualify for indemnification, for one Regulations (EAR), 15 CFR parts 730 through
or more launches, and the Recipient shall 799, in the performance of this Cooperative
pay the additional cost of such increases Agreement. In the absence of available li-
from its financial contribution; and cense exemptions/exceptions, the Recipient
(3) The insurance policy or policies shall shall be responsible for obtaining the appro-
name the parties and their related entities, priate licenses or other approvals, if re-
and the employees of the parties and their quired, for exports of hardware, technical
related entities, as named insureds. data, and software, or for the provision of
Nothing in this provision precludes the Re- technical assistance.
cipient from obtaining, at no cost to the (b) The Recipient shall be responsible for
Government, such other insurance as the Re- obtaining export licenses, if required, before
cipient determines advisable to protect its utilizing foreign persons in the performance
business interests. of this Cooperative Agreement, including in-
(d) Proof of Insurance. The Recipient shall stances where the work is to be performed
provide proof of insurance that meets the pa- on-site at [insert name of NASA installa-
rameters in paragraph (c) of this provision tion], where the foreign person will have ac-
and that is acceptable to the Agreement Offi- cess to export-controlled technical data or
cer: software.
359
§ 1274.943 14 CFR Ch. V (1–1–21 Edition)
(c) The Recipient shall be responsible for (2) Proceedings about which you must
all regulatory record keeping requirements report. Submit the information re-
associated with the use of licenses and li- quired about each proceeding that—
cense exemptions/exceptions.
(i) Is in connection with the award or
(d) The Recipient shall be responsible for
ensuring that the requirements of this provi-
performance of a grant, cooperative
sion apply to its subcontractors. agreement, or procurement contract
(e) The Recipient may request, in writing, from the Federal Government;
that the Agreement Officer authorize it to (ii) Reached its final disposition dur-
export ITAR-controlled technical data (in- ing the most recent five year period;
cluding software) pursuant to the exemption and
at 22 CFR 125.4(b)(3). The Agreement Officer (iii) Is one of the following:
or designated representative may authorize (A) A criminal proceeding that re-
or direct the use of the exemption where the
sulted in a conviction, as defined in
data does not disclose details of the design,
development, production, or manufacture of paragraph (a)(5)(ii) of this section.
any defense article. (B) A civil proceeding that resulted
in a finding of fault and liability and
[End of provision] payment of a monetary fine, penalty,
reimbursement, restitution, or dam-
§ 1274.943 Investigation of research ages of $5,000 or more.
misconduct. (C) An administrative proceeding, as
INVESTIGATION OF RESEARCH MISCONDUCT defined in paragraph (a)(5)(i) of this
award term and condition, that re-
May 2005 sulted in a finding of fault and liability
Recipients of this cooperative agreement and your payment of either a monetary
are subject to the requirements of 14 CFR fine or penalty of $5,000 or more or re-
part 1275, ‘‘Investigation of Research Mis- imbursement, restitution, or damages
conduct.’’ in excess of $100,000.
(D) Any other criminal, civil, or ad-
[End of provision] ministrative proceeding if—
(1) It could have led to an outcome
[70 FR 28809, May 19, 2005] described in paragraph (a)(2)(iii)(A),
(B), or (C) of this section;
§ 1274.944 Award term and condition (2) It had a different disposition ar-
for recipient integrity and perform- rived at by consent or compromise
ance matters. with an acknowledgment of fault on
(a) Reporting of matters related to re- your part; and
cipient integrity and performance—(1) (3) The requirement in this award
General reporting requirement. (i) If the term and condition to disclose infor-
total value of your currently active mation about the proceeding does not
grants, cooperative agreements, and conflict with applicable laws and regu-
procurement contracts from all Fed- lations.
eral awarding agencies exceeds (3) Reporting procedures. Enter in the
$10,000,000 for any period during the pe- SAM Entity Management area the in-
riod of performance of this Federal formation that SAM requires about
award, then you as the recipient during each proceeding described in paragraph
that period of time must maintain the (a)(4) of this section. You do not need
currency of information reported in to submit the information a second
FAPIIS about civil, criminal, or ad- time under assistance awards that you
ministrative proceedings described in received if you already provided the in-
paragraph (a)(2) of this section. This is formation through SAM, because you
a statutory requirement under section were required to do so under Federal
872 of Public Law 110–417, as amended procurement contracts that you were
(41 U.S.C. 2313). awarded.
(ii) As required by section 3010 of (4) Reporting frequency. During any
Public Law 111–212, all information period of time when you are subject to
posted in FAPIIS on or after April 15, the requirement in paragraph (a)(1) of
2011, except past performance reviews this section, you must report pro-
required for Federal procurement con- ceedings information through SAM for
tracts, will be publicly available. the most recent five year period, either
360
National Aeronautics and Space Admin. Pt. 1274, App.
to report new information about any 11375, ‘‘Amending Executive Order 11246 Re-
proceeding(s) that you have not relating to Equal Employment Opportunity,’’
ported previously or affirm that there and as supplemented by regulations at 41
CFR Part 60, ‘‘Office of Federal Contract
is no new information to report. Re- Compliance Programs, Equal Employment
cipients that have Federal contract, Opportunity, Department of Labor.’’
grant, and cooperative agreement 2. Copeland ‘‘Anti-Kickback’’ Act (18
awards with a cumulative total value U.S.C. 874 and 40 U.S.C. 276c)—All contracts
greater than $10,000,000 must disclose in excess of $50,000 for construction or repair
semiannually any information about awarded by Recipients and subrecipients
the criminal, civil, and administrative shall include a provision for compliance with
the Copeland ‘‘Anti-Kickback’’ Act (18 U.S.C.
proceedings.
874), as supplemented by Department of
(5) Definitions. For purposes of this Labor regulations (29 CFR part 3, ‘‘Contrac-
section: tors and Subcontractors on Public Building
(i) Administrative proceeding means or Public Work Financed in Whole or in Part
a non-judicial process that is adjudica- by Loans or Grants from the United
tory in nature in order to make a de- States’’). The Act provides that each recipi-
termination of fault or liability (e.g., ent or subrecipient shall be prohibited from
Securities and Exchange Commission inducing, by any means, any person em-
ployed in the construction, completion, or
Administrative proceedings, Civilian repair of public work, to give up any part of
Board of Contract Appeals proceedings, the compensation to which he is otherwise
and Armed Services Board of Contract entitled. The recipient shall report all sus-
Appeals proceedings). This includes pected or reported violations to NASA.
proceedings at the Federal and State 3. Contract Work Hours and Safety Stand-
level but only in connection with per- ards Act (40 U.S.C. 327–333)—Where applica-
formance of a Federal contract or ble, all contracts awarded by recipients in
excess of $2,000 for construction contracts
grant. It does not include audits, site and in excess of $50,000 for other contracts,
visits, corrective plans, or inspection of other than contracts for commercial items,
deliverables. that involve the employment of mechanics
(ii) Conviction, for purposes of this or laborers shall include a provision for com-
award term and condition, means a pliance with sections 102 and 107 of the Con-
judgment or conviction of a criminal tract Work Hours and Safety Standards Act
offense by any court of competent ju- (40 U.S.C. 327–333), as supplemented by De-
partment of Labor regulations (29 CFR part
risdiction, whether entered upon a ver-
5). Under Subsection 102 of the Act, each re-
dict or a plea, and includes a convic- cipient shall be required to compute the
tion entered upon a plea of nolo wages of every mechanic and laborer on the
contendere. basis of a standard work week of 40 hours.
(6) Total value of currently active Work in excess of the standard work week is
grants, cooperative agreements, and permissible provided that the worker is com-
procurement contracts includes— pensated at a rate of not less than 11⁄2 times
(i) Only the Federal share of the the basic rate of pay for all hours worked in
excess of 40 hours in the work week. Section
funding under any Federal award with
107 of the Act is applicable to construction
a recipient cost share or match; and work and provides that no laborer or me-
(ii) The value of all expected funding chanic shall be required to work in sur-
increments under a Federal award and roundings or under working conditions
options, even if not yet exercised. which are unsanitary, hazardous or dan-
(b) [Reserved] gerous. These requirements do not apply to
the purchases of supplies or materials or ar-
[81 FR 35586, June 3, 2016] ticles ordinarily available on the open mar-
ket, or contracts for transportation or trans-
APPENDIX TO PART 1274—LISTING OF mission of intelligence.
EXHIBITS 4. Rights to Inventions Made Under a Con-
tract or Agreement—
EXHIBIT A TO PART 1274—CONTRACT
Contracts or agreements for the perform-
PROVISIONS
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 Opportunity—All 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
361
any implementing regulations issued by the 2. Disclosure of Lobbying Activities (SFLLL)
awarding agency.
(a) Agreement Officers shall provide one
5. Clean Air Act (42 U.S.C. 7401 et seq.) and copy of each SF LLL furnished under 14 CFR
the Federal Water 1271.110 to the Procurement Officer for trans-
Pollution Control Act (33 U.S.C. 1251 et mittal to the Director, Analysis Division
seq.), as amended—Contracts, other than (Code HC).
contracts for commercial items, of amounts (b) Suspected violations of the statutory
in excess of $100,000 shall contain a provision prohibitions imple mented by 14 CFR part
that requires the Recipient to agree to com- 1271 shall be reported to the Director, Con-
ply with all applicable standards, orders or tract Management Division (Code HK).
regulations issued pursuant to the Clean Air
Act (42 U.S.C. 7401 et seq.) and the Federal FR 40066, July 23, 2007]
Water Pollution Control Act as amended (33
U.S.C. 1251 et seq.). Violations shall be re-
ported to NASA and the Regional Office of PART 1275—RESEARCH
the Environmental Protection Agency MISCONDUCT
(EPA).
6. Byrd Anti-Lobbying Amendment (31 Sec.
U.S.C. 1352)—Contractors who apply or bid 1275.100 Purpose and scope.
for an award of $100,000 or more shall file the 1275.101 Definitions.
required certification. Each tier certifies to 1275.102 OIG handling of research mis-
the tier above that it will not and has not conduct matters.
used Federal appropriated funds to pay any 1275.103 Role of awardee institutions.
person or organization for influencing or at- 1275.104 Conduct of Inquiry by the OIG.
tempting to influence an officer or employee 1275.105 Conduct of the OIG investigation of
of any agency, a member of Congress, officer research misconduct.
or employee of Congress, or an employee of a 1275.106 Administrative actions.
member of Congress in connection with ob- 1275.107 Adjudication.
taining any Federal contract, grant or any 1275.108 Appeals.
other award covered by 31 U.S.C. 1352. Each APPENDIX: NASA RESEARCH DISCIPLINES AND
tier shall also disclose any lobbying with RESPECTIVE ASSOCIATED ENTERPRISES
non-Federal funds that takes place in con- AUTHORITY: Pub. L. 85–568, 72 Stat. 426, 42
nection with obtaining any Federal award. U.S.C. 2473.
Such disclosures are forwarded from tier to
tier up to the Recipient. SOURCE: 69 FR 42103, July 14, 2004, unless
otherwise noted.
7. Debarment and Suspension (E.O.s 12549
and 12689)—No contract shall be made to par-
ties listed on the General Services Adminis-
tration’s 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
by NASA; and
EXHIBIT B TO PART 1274—REPORTS (2) Recommendations on appropriate
1. Property Reporting. administrative actions that may be un-
dertaken by NASA in response to re-
As provided in paragraph (f) of § 1274.923, an search misconduct determined to have
annual NASA Form (NF) 1018, NASA Prop- occurred.
erty in the Custody of Contractors, will be
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- any research conducted by a public or
ance). private entity receiving NASA funds or
362
using NASA facilities, equipment or 5 U.S.C. 552, the Freedom of Informa-

personnel, under a contract, grant, co- tion Act, as amended, and 5 U.S.C. 552a,
operative agreement, Space Act agree- the Privacy Act, as amended.
ment, or other transaction with NASA. [69 FR 42103, July 14, 2004, as amended at 77
(c) NASA shall make a determination FR 44440, July 30, 2012]
of research misconduct only after care-
ful inquiry and investigation by an § 1275.101 Definitions.
awardee institution, another Federal (a) Research misconduct means fab-
agency, or NASA, and an adjudication rication, falsification, or plagiarism in
conducted by NASA. NASA shall afford proposing, performing, or reviewing re-
the accused individual or institution a search, or in reporting research results.
chance to comment on the investiga- Research misconduct does not include
tion report and a chance to appeal the honest error or differences of opinion.
decision resulting from the adjudica- Research as used in this part includes
tion. In structuring procedures in indi- all basic and applied research as de-
vidual cases, NASA may take into ac- fined in OMB Circular A–11 in all fields
count procedures already followed by of science, engineering, and mathe-
other entities investigating the same matics, including, but not limited to,
allegation of research misconduct. In- research in space and Earth sciences,
vestigation of allegations which, if economics, education, linguistics, med-
true, would constitute criminal of- icine, psychology, social sciences, sta-
fenses, are not covered by this part. tistics, and biological and physical re-
(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- results such that the research is not
ments, or other transactions, depend- accurately represented in the research
ing on the type of agreement used to record.
fund or support the research in ques- (d) Plagiarism means the appropria-
tion. Administrative actions involving tion of another person’s ideas, proc-
NASA civil service employees may be esses, results, or words without giving
imposed only in compliance with all appropriate credit.
relevant Federal laws and policies. (e) Awardee institution means any
(e) Allegations of research mis- public or private entity or organization
conduct concerning NASA research (including a Federal, State, or local
may be transmitted to NASA in one of agency) that is a party to a NASA con-
the following ways: By mail address to tract, grant, cooperative agreement,
the Office of Inspector General (OIG), Space Act agreement, or to any other
National Aeronautics and Space Ad- transaction with NASA, whose purpose
ministration, 300 E Street SW., Wash- includes the conduct of research.
ington, DC 20546–0001 via the NASA OIG (f) NASA research means research
Hotline at 1–800–424–9183, or cyber hot- wholly or partially funded or supported
line at http://oig.nasa.gov/hotline.html. by NASA involving an awardee institu-
(f) To the extent permitted by law, tion or a NASA installation. This defi-
the identity of the Complainant, wit- nition includes research wholly or par-
nesses, or other sources of information tially funded by NASA appropriated
who wish to remain anonymous shall funds, or research involving the use of
be kept confidential. To the extent per- NASA facilities, equipment, or per-
mitted by law, NASA shall protect the sonnel.
research misconduct inquiry, inves- (g) NASA research discipline means
tigation, adjudication, and appeal one of the following areas of research
records maintained by NASA as ex- that together comprise NASA’s re-
empt from mandatory disclosure under search mission for aeronautics, space
363
§ 1275.102 14 CFR Ch. V (1–1–21 Edition)
science, Earth science, biomedicine, bi- true, falls within the definition of re-
ology, engineering and physical search misconduct in § 1275.101(a). In-
sciences (physics and chemistry). vestigation of allegations which, if
(h) Inquiry means the assessment of true, would constitute criminal of-
whether an allegation of research mis- fenses, are not covered by this part. If
conduct has substance and warrants an these criteria are met and the research
investigation. in question is being conducted by
(i) Investigation means the formal de- NASA researchers, the OIG shall pro-
velopment of a factual record and the ceed in accordance with § 1275.104. If the
examination of that record leading to research in question is being conducted
recommended findings on whether re-
at an awardee institution, another Fed-
search misconduct has occurred, and if
eral agency, or is a collaboration be-
the recommended findings are that
tween NASA researchers and co-inves-
such conduct has occurred, to include
recommendations on appropriate ad- tigators at either academia or indus-
ministrative actions. try, the OIG must refer the allegation
(j) Complainant is the individual that meets the definition of research
bringing an allegation of research mis- misconduct to the entities involved
conduct related to NASA research. and determine whether to—
(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
the list of NASA research disciplines NASA Office of the Chief Engineer or
and their associated directorates con- the NASA Office of the Chief Tech-
tained in the Appendix to this part). nologist when the research is either en-
(n) Appeal means the formal proce- gineering or technology research.
dure initiated at the request of the Re- (c) The OIG should defer its inquiry
spondent for review of a determination or investigation pending review of the
resulting from the adjudication and for results of an external investigation
affirming, overturning, or modifying it. whenever possible. Nevertheless, the
(o) NASA Appeals Official is the NASA OIG retains the right to proceed at any
Deputy Administrator or other official time with a NASA inquiry or investiga-
designated by the NASA Adminis- tion. Circumstances in which the OIG
trator. may elect not to defer its inquiry or in-
vestigation include, but are not limited
FR 44441, July 30, 2012] to, the following:
(1) When the OIG determines that the
§ 1275.102 OIG handling of research awardee institution is not prepared to
misconduct matters. handle the allegation in a manner con-
(a) When an allegation is made to the sistent with this part;
OIG, rather than to the awardee insti- (2) When the OIG determines that
tution, the OIG shall determine wheth- NASA involvement is needed to protect
er the allegation concerns NASA re- the public interest, including public
search and whether the allegation, if health and safety;
364
(3) When the OIG determines that the institution, to the NASA Adjudication
allegation involves an awardee institu- Official and to the NASA Office of the
tion of sufficiently small size that it Chief Scientist.
cannot reasonably conduct the inves- (f) Upon learning of alleged research
tigation itself; misconduct, the OIG shall identify po-
(4) When the OIG determines that a tentially implicated awards or pro-
NASA program or project could be posals and, when appropriate, shall en-
jeopardized by the occurrence of re- sure that program, grant, or con-
search misconduct; or tracting officers handling them are in-
(5) When the OIG determines that formed. Neither a suspicion nor allega-
any of the notifications or information tion of research misconduct, nor a
required to be given to the OIG by the pending inquiry or investigation, shall
awardee institution pursuant to
normally delay review of proposals.
§ 1275.103(b) requires NASA to cease its
Subject to paragraph (g) of this sec-
deferral to the awardee institution’s
tion, reviewers or panelists shall not be
procedures and to conduct its own in-
informed of allegations or of ongoing
quiry or investigation.
(d) A copy of the investigation re- inquiries or investigations in order to
port, evidentiary record, and final de- avoid influencing reviews. In the event
termination resulting from an external that an application receives a fundable
investigation must be transmitted to rating or ranking by a review panel,
the OIG for review. The OIG shall de- funding can be deferred by the program
termine whether to recommend to the until the completion of the inquiry or
NASA Adjudication Official, or to the investigation.
lead investigative organization in cases (g) If, during the course of an OIG
that involve multiple institutions, ac- conducted inquiry or investigation, it
ceptance of the investigation report appears that immediate administrative
and final determination in whole or in action, as described in § 1275.106, is nec-
part. The OIG’s decision must be made essary to protect public health or safe-
within 45 days of receipt of the inves- ty, Federal resources or interests, or
tigation report and evidentiary record. the interests of those involved in the
This period of time may be extended by inquiry or investigation, the OIG shall
the OIG for good cause. The OIG shall inform the NASA sponsor for the re-
make this decision based on the OIG’s search and the NASA Office of the
assessment of the completeness of the Chief Scientist.
investigation report, and the OIG’s as-
sessment of whether the investigating § 1275.103 Role of awardee institu-
entity followed reasonable procedures, tions.
including whether the Respondent had (a) The awardee institutions have the
an adequate opportunity to comment
primary responsibility for prevention
on the investigation report and wheth-
and detection of research misconduct
er these comments were given due con-
and for the inquiry, investigation, and
sideration. If the OIG decides to rec-
ommend acceptance of the results of adjudication of research misconduct al-
the external investigation, in whole or leged to have occurred in association
in part, the OIG shall transmit a copy with their own institutions, although
of the final determination, the inves- NASA has ultimate oversight author-
tigation report, and the evidentiary ity for NASA research.
record to the NASA Adjudication Offi- (b) When an allegation of research
cial, and to the NASA Office of the misconduct related to NASA research
Chief Scientist. When the OIG decides is made directly to the OIG and the
not to recommend acceptance, the OIG OIG defers to the awardee institution’s
must initiate its own investigation. inquiry or investigation, or when an al-
(e) In the case of an investigation legation of research misconduct re-
conducted by the OIG, the OIG shall lated to NASA research is made di-
transmit copies of the investigation re- rectly to the awardee institution which
port, including the Respondent’s writ- commences an inquiry or investiga-
ten comments (if any), the evidentiary tion, the awardee institution is re-
record and its recommendations, to the quired to:
365
§ 1275.104 14 CFR Ch. V (1–1–21 Edition)
(1) Notify the OIG if an inquiry sup- until it receives the results of that ex-
ports a formal investigation as soon as ternal investigation. When the OIG
this is determined. does not receive the results within a
(2) Keep the OIG informed during reasonable time, the OIG shall ordi-
such an investigation. narily proceed with its own investiga-
(3) Notify the OIG immediately— tion.
(i) If public health or safety is at (b) When the OIG decides to initiate
risk; a NASA investigation, the OIG must
(ii) If Federal resources, reputation, give prompt written notice to the indi-
or other interests need protecting; vidual or institution to be inves-
(iii) If research activities should be
tigated, unless notice would prejudice
suspended;
the investigation or unless a criminal
(iv) If there is reasonable indication
of possible violations of civil or crimi- investigation is underway or under ac-
nal law; tive consideration. If notice is delayed,
(v) If Federal action is needed to pro- it must be given as soon as it will no
tect the interests of those involved in longer prejudice the investigation or
the investigation; or contravene requirements of law or Fed-
(vi) If the research community or the eral law-enforcement policies.
public should be informed. (c) When alleged misconduct may in-
(4) Provide the OIG with a copy of volve a crime, the OIG shall determine
the investigation report, including the whether any criminal investigation is
recommendations made to the awardee already pending or projected. If not,
institution’s adjudication official and the OIG shall determine whether the
the Respondent’s written comments (if matter should be referred to the De-
any), along with a copy of the evi- partment of Justice.
dentiary record. (d) When a criminal investigation by
(5) Provide the OIG with the awardee the Department of Justice or another
institution’s final determination, in- Federal agency is underway or under
cluding any corrective actions taken or active consideration, the OIG shall de-
planned. termine what information, if any, may
(c) If an awardee institution wishes
be disclosed to the Respondent or to
the OIG to defer its own inquiry or in-
NASA employees.
vestigation, the awardee institution
shall complete any inquiry and decide (e) To the extent possible, the iden-
whether an investigation is warranted tity of sources who wish to remain
within 60 days. It should similarly anonymous shall be kept confidential.
complete any investigation, adjudica- To the extent allowed by law, docu-
tion, or other procedure necessary to ments and files maintained by the OIG
produce a final determination, within during the course of an inquiry or in-
an additional 180 days. If completion of vestigation of misconduct shall be
the process is delayed, but the awardee treated as investigative files exempt
institution wishes NASA’s deferral of from mandatory public disclosure upon
its own procedures to continue, NASA request under the Freedom of Informa-
may require submission of periodic station Act.
tus reports. (f) When the OIG proceeds with its
(d) Each awardee institution must own inquiry, it is responsible for ensur-
maintain and effectively communicate ing that the inquiry is completed with-
to its staff, appropriate policies and in 60 days after it is commenced. The
procedures relating to research mis- OIG may extend this period of time for
conduct, including the requirements on good cause.
when and how to notify NASA. (g) On the basis of what the OIG
§ 1275.104 Conduct of Inquiry by the learns from an inquiry, and in con-
OIG. sultation as appropriate with other
(a) When an awardee institution or NASA offices, the OIG shall decide
another Federal agency has promptly whether a formal investigation is war-
initiated its own investigation, the OIG ranted.
may defer its inquiry or investigation
366
§ 1275.105 Conduct of the OIG inves- (3) The allegation be proven by a pre-
tigation of research misconduct. ponderance of evidence.
(a) The OIG shall make every reason- (f) The investigation report must also
able effort to complete a NASA re- be transmitted with the recommenda-
search misconduct investigation and tions for administrative action, when
issue a report within 120 days after ini- recommended findings of research mis-
tiating the investigation. The OIG may conduct are made. Section 1275.106 lists
extend this period of time for good possible recommended administrative
cause. actions and considerations for use in
(b) A NASA investigation may in- determining appropriate recommenda-
clude: tions.
(1) Review of award files, reports, and (g) NASA OIG may elect to proceed
other documents readily available at with its administrative investigation
NASA or in the public domain; processes in lieu of a research mis-
(2) Review of procedures or methods conduct investigation under this part
and inspection of laboratory materials, when the allegation is against a civil
specimens, and records at awardee in- service employee (an intramural re-
stitutions; searcher).
(3) Interviews with parties or wit-
nesses; § 1275.106 Administrative actions.
(4) Review of any documents or other (a) Listed in paragraphs (a)(1)
evidence provided by or properly ob- through (a)(3) of this section are pos-
tainable from parties, witnesses, or sible administrative actions that may
other sources; be recommended by the investigation
(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.
367
§ 1275.107 14 CFR Ch. V (1–1–21 Edition)
(3) Group III Actions. (c) The decision shall be sent to the
(i) Immediately suspend or terminate Respondent, to the Respondent’s insti-
an active award. tution, and, if appropriate, to the Com-
(ii) Debar or suspend an individual, plainant. If the decision confirms the
department, or institution from par- alleged research misconduct, it must
ticipation in NASA programs for a include instructions on how to pursue
specified period of time. an appeal to the NASA Appeals Offi-
(iii) Prohibit participation of an indi- cial. The decision shall also be trans-
vidual as a NASA reviewer, advisor, or mitted to the NASA Office of the Chief
consultant for a specified period of Scientist and the OIG.
time.
§ 1275.108 Appeals.
(b) In deciding what actions are ap-
propriate when research misconduct is (a) The Respondent may appeal the
found, NASA officials should consider decision of the NASA Adjudication Of-
the seriousness of the misconduct, in- ficial by notifying the NASA Appeals
cluding, but not limited to: Official in writing of the grounds for
(i) The degree to which the mis- appeal within 30 days after Respond-
conduct was knowing, intentional, or ent’s receipt of the decision. If the de-
reckless; cision is not appealed within the 30-day
(ii) Whether the misconduct was an period, the decision becomes the final
isolated event or part of a pattern; Agency action insofar as the findings
(iii) Whether the misconduct had a are concerned.
significant impact on the research (b) The NASA Appeals Official shall
record, research subjects, or other re- inform the Respondent of a final deter-
searchers, institutions, or the public mination within 30 days after receiving
welfare. the appeal. The NASA Appeals Official
may extend this period of time for good
§ 1275.107 Adjudication. cause. The final determination may af-
firm, overturn, or modify the decision
(a) The NASA Adjudication Official of the NASA Adjudication Official and
must review and evaluate the inves- shall constitute the final Agency ac-
tigation report and the evidentiary tion insofar as the findings are con-
record required to be transmitted pur- cerned. The final determination shall
suant to § 1275.102(d) and (e). The NASA also be transmitted to the NASA Office
Adjudication Official may initiate fur- of the Chief Scientist and the OIG.
ther investigations, which may include (c) Once final Agency action has been
affording the Respondent another op- taken pursuant to paragraphs (a) or (b)
portunity for comment, before issuing of this section, the recommendations
a decision regarding the case. The for administrative action shall be sent
NASA Adjudication Official may also to the relevant NASA components for
return the investigation report to the further proceedings in accordance with
OIG with a request for further fact- applicable laws and regulations.
finding or analysis.
(b) Based on a preponderance of the APPENDIX TO PART 1275—RESEARCH
evidence, the NASA Adjudication Offi- MISCONDUCT
cial shall issue a decision setting forth
the Agency’s findings as to whether re- NASA RESEARCH DISCIPLINES AND
search misconduct has occurred and RESPECTIVE ASSOCIATED DIRECTORATES
recommending appropriate administra- 1. Aeronautics Research—Aeronautics Re-
tive actions that may be undertaken search Mission Directorate
by NASA in response to research mis- 2. Space Science Research—Science Mission
conduct determined to have occurred. Directorate
The NASA Adjudication Official shall 3. Earth Science Research and Applications—
Science Mission Directorate
render a decision within 30 days after
4. Biomedical Research—Human Exploration
receiving the investigation report and and Operations Mission Directorate
evidentiary record, or after completion 5. Fundamental Biology—Human Explo-
of any further proceedings. The NASA ration and Operations Mission Directorate
Adjudication Official may extend this 6. Fundamental Physics—Human Explo-
period of time for good cause. ration and Operations Mission Directorate
368
National Aeronautics and Space Admin. Pt. 1275, App.
7. Research for Exploration Systems not cov- 9. Other engineering research not covered by
ered by the disciplines above—Human Ex- disciplines above—NASA Chief Engineer
ploration and Operations Mission Direc- 10. Other technology research not covered by
torate disciplines above—NASA Chief Tech-
8. Research for the International Space Sta- nologist
tion not covered by the disciplines above— [77 FR 44441, July 30, 2012]
Human Exploration and Operations Mis-
sion Directorate
PARTS 1276–1299 [RESERVED]
369
CHAPTER VI—AIR TRANSPORTATION SYSTEM
STABILIZATION
SUBCHAPTER A—OFFICE OF MANAGEMENT AND BUDGET
Part Page
1300 Aviation disaster relief—Air Carrier Guarantee
Loan Program ...................................................... 373
SUBCHAPTER B—AIR TRANSPORTATION STABILIZATION BOARD
1310 Air Carrier Guarantee Loan Program administra-

tive regulations and amendment or waiver of a
term or condition of guaranteed loan .................. 381
371
SUBCHAPTER A—OFFICE OF MANAGEMENT AND BUDGET
PART 1300—AVIATION DISASTER cluding, but not limited to care, preser-

RELIEF—AIR 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 A—General
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 B—Minimum 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. 107–42, 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 A—General 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 Board’s 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 107–42, 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 107–42, 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 lender’s actions by the Board issued under the program
in making, disbursing, servicing (in- to pledge the full faith and credit of
373
§ 1300.3 14 CFR Ch. VI (1–1–21 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 B—Minimum 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
374
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 carrier’s 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.
375
§ 1300.14 14 CFR Ch. VI (1–1–21 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 Board’s 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 borrower’s 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. rier’s 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 borrower’s 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 Board’s offices. (i) A description of how the loan fits
Borrowers should submit an original within the borrower’s 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
376
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 government’s 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 borrower’s 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 borrower’s obli- control number 0348–0059. 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 borrower’s 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 carrier’s 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
377
§ 1300.17 14 CFR Ch. VI (1–1–21 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; government’s 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 lender’s 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 borrower’s
(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 Board’s 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 borrower’s
to applications that satisfy one or
issuance of dividends and/or the bor-
more of these criteria, giving greater
rower’s 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 borrower’s abil-
(i) A demonstration that the air car- ity to incur additional debt, and/or the
rier has presented a plan dem- borrower’s 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 carrier’s 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;
378
(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 borrower’s 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 Board’s 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 Board’s 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 Board’s 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.
borrower’s 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 Board’s 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 Board’s 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.
379
§ 1300.23 14 CFR Ch. VI (1–1–21 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.
380
SUBCHAPTER B—AIR TRANSPORTATION STABILIZATION
BOARD
PART 1310—AIR 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 Board’s
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
1310.1 Purpose and scope.
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. 107–42, 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 107–42, 115 Stat. members of the Board constitute a
230 (Act). This part describes the quorum for the transaction of business.
Board’s 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
381
§ 1310.6 14 CFR Ch. VI (1–1–21 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 Board’s 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-
Board’s 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
382
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 202–622–0990. 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
383
§ 1310.11 14 CFR Ch. VI (1–1–21 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 1311–1399 [RESERVED]
384
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
385
Table of CFR Titles and Chapters
(Revised as of January 1, 2021)
Title 1—General Provisions
I Administrative Committee of the Federal Register (Parts 1—49)

II Office of the Federal Register (Parts 50—299)
III Administrative Conference of the United States (Parts 300—399)
IV Miscellaneous Agencies (Parts 400—599)
VI National Capital Planning Commission (Parts 600—699)
Title 2—Grants and Agreements
SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR

GRANTS AND AGREEMENTS
I Office of Management and Budget Governmentwide Guidance for
Grants and Agreements (Parts 2—199)
II Office of Management and Budget Guidance (Parts 200—299)
SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND
AGREEMENTS
III Department of Health and Human Services (Parts 300—399)
IV Department of Agriculture (Parts 400—499)
VI Department of State (Parts 600—699)
VII Agency for International Development (Parts 700—799)
VIII Department of Veterans Affairs (Parts 800—899)
IX Department of Energy (Parts 900—999)
X Department of the Treasury (Parts 1000—1099)
XI Department of Defense (Parts 1100—1199)
XII Department of Transportation (Parts 1200—1299)
XIII Department of Commerce (Parts 1300—1399)
XIV Department of the Interior (Parts 1400—1499)
XV Environmental Protection Agency (Parts 1500—1599)
XVIII National Aeronautics and Space Administration (Parts 1800—
1899)
XX United States Nuclear Regulatory Commission (Parts 2000—2099)
XXII Corporation for National and Community Service (Parts 2200—
2299)
XXIII Social Security Administration (Parts 2300—2399)
XXIV Department of Housing and Urban Development (Parts 2400—
2499)
XXV National Science Foundation (Parts 2500—2599)
XXVI National Archives and Records Administration (Parts 2600—2699)
387
Title 2—Grants and Agreements—Continued
Chap.
XXVII Small Business Administration (Parts 2700—2799)

XXVIII Department of Justice (Parts 2800—2899)
XXIX Department of Labor (Parts 2900—2999)
XXX Department of Homeland Security (Parts 3000—3099)
XXXI Institute of Museum and Library Services (Parts 3100—3199)
XXXII National Endowment for the Arts (Parts 3200—3299)
XXXIII National Endowment for the Humanities (Parts 3300—3399)
XXXIV Department of Education (Parts 3400—3499)
XXXV Export-Import Bank of the United States (Parts 3500—3599)
XXXVI Office of National Drug Control Policy, Executive Office of the
President (Parts 3600—3699)
XXXVII Peace Corps (Parts 3700—3799)
LVIII Election Assistance Commission (Parts 5800—5899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 5900—5999)
Title 3—The President
I Executive Office of the President (Parts 100—199)
Title 4—Accounts
I Government Accountability Office (Parts 1—199)
Title 5—Administrative Personnel
I Office of Personnel Management (Parts 1—1199)

II Merit Systems Protection Board (Parts 1200—1299)
III Office of Management and Budget (Parts 1300—1399)
IV Office of Personnel Management and Office of the Director of
National Intelligence (Parts 1400—1499)
V The International Organizations Employees Loyalty Board
(Parts 1500—1599)
VI Federal Retirement Thrift Investment Board (Parts 1600—1699)
VIII Office of Special Counsel (Parts 1800—1899)
IX Appalachian Regional Commission (Parts 1900—1999)
XI Armed Forces Retirement Home (Parts 2100—2199)
XIV Federal Labor Relations Authority, General Counsel of the Fed-
eral Labor Relations Authority and Federal Service Impasses
Panel (Parts 2400—2499)
XVI Office of Government Ethics (Parts 2600—2699)
XXI Department of the Treasury (Parts 3100—3199)
XXII Federal Deposit Insurance Corporation (Parts 3200—3299)
XXIII Department of Energy (Parts 3300—3399)
XXIV Federal Energy Regulatory Commission (Parts 3400—3499)
XXV Department of the Interior (Parts 3500—3599)
XXVI Department of Defense (Parts 3600—3699)
388
Title 5—Administrative Personnel—Continued
Chap.
XXVIII Department of Justice (Parts 3800—3899)

XXIX Federal Communications Commission (Parts 3900—3999)
XXX Farm Credit System Insurance Corporation (Parts 4000—4099)
XXXI Farm Credit Administration (Parts 4100—4199)
XXXIII U.S. International Development Finance Corporation (Parts
4300—4399)
XXXIV Securities and Exchange Commission (Parts 4400—4499)
XXXV Office of Personnel Management (Parts 4500—4599)
XXXVI Department of Homeland Security (Parts 4600—4699)
XXXVII Federal Election Commission (Parts 4700—4799)
XL Interstate Commerce Commission (Parts 5000—5099)
XLI Commodity Futures Trading Commission (Parts 5100—5199)
XLII Department of Labor (Parts 5200—5299)
XLIII National Science Foundation (Parts 5300—5399)
XLV Department of Health and Human Services (Parts 5500—5599)
XLVI Postal Rate Commission (Parts 5600—5699)
XLVII Federal Trade Commission (Parts 5700—5799)
XLVIII Nuclear Regulatory Commission (Parts 5800—5899)
XLIX Federal Labor Relations Authority (Parts 5900—5999)
L Department of Transportation (Parts 6000—6099)
LII Export-Import Bank of the United States (Parts 6200—6299)
LIII Department of Education (Parts 6300—6399)
LIV Environmental Protection Agency (Parts 6400—6499)
LV National Endowment for the Arts (Parts 6500—6599)
LVI National Endowment for the Humanities (Parts 6600—6699)
LVII General Services Administration (Parts 6700—6799)
LVIII Board of Governors of the Federal Reserve System (Parts 6800—
6899)
LIX National Aeronautics and Space Administration (Parts 6900—
6999)
LX United States Postal Service (Parts 7000—7099)
LXI National Labor Relations Board (Parts 7100—7199)
LXII Equal Employment Opportunity Commission (Parts 7200—7299)
LXIII Inter-American Foundation (Parts 7300—7399)
LXIV Merit Systems Protection Board (Parts 7400—7499)
LXV Department of Housing and Urban Development (Parts 7500—
7599)
LXVI National Archives and Records Administration (Parts 7600—7699)
LXVII Institute of Museum and Library Services (Parts 7700—7799)
LXVIII Commission on Civil Rights (Parts 7800—7899)
LXIX Tennessee Valley Authority (Parts 7900—7999)
LXX Court Services and Offender Supervision Agency for the District
of Columbia (Parts 8000—8099)
LXXI Consumer Product Safety Commission (Parts 8100—8199)
LXXIII Department of Agriculture (Parts 8300—8399)
389
Title 5—Administrative Personnel—Continued
Chap.
LXXIV Federal Mine Safety and Health Review Commission (Parts

8400—8499)
LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699)
LXXVII Office of Management and Budget (Parts 8700—8799)
LXXX Federal Housing Finance Agency (Parts 9000—9099)
LXXXIII Special Inspector General for Afghanistan Reconstruction (Parts
9300—9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400—9499)
LXXXVI National Credit Union Administration (Parts 9600—9699)
XCVII Department of Homeland Security Human Resources Manage-
ment System (Department of Homeland Security—Office of
Personnel Management) (Parts 9700—9799)
XCVIII Council of the Inspectors General on Integrity and Efficiency
(Parts 9800—9899)
XCIX Military Compensation and Retirement Modernization Commis-
sion (Parts 9900—9999)
C National Council on Disability (Parts 10000—10049)
CI National Mediation Board (Part 10101)
Title 6—Domestic Security
I Department of Homeland Security, Office of the Secretary

(Parts 1—199)
X Privacy and Civil Liberties Oversight Board (Parts 1000—1099)
Title 7—Agriculture
SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS

0—26)
SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE
I Agricultural Marketing Service (Standards, Inspections, Mar-
keting Practices), Department of Agriculture (Parts 27—209)
II Food and Nutrition Service, Department of Agriculture (Parts
210—299)
III Animal and Plant Health Inspection Service, Department of Ag-
riculture (Parts 300—399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400—499)
V Agricultural Research Service, Department of Agriculture
(Parts 500—599)
VI Natural Resources Conservation Service, Department of Agri-
culture (Parts 600—699)
VII Farm Service Agency, Department of Agriculture (Parts 700—
799)
VIII Agricultural Marketing Service (Federal Grain Inspection Serv-
ice, Fair Trade Practices Program), Department of Agri-
390
Title 7—Agriculture—Continued
Chap.
IX Agricultural Marketing Service (Marketing Agreements and Or-

ders; Fruits, Vegetables, Nuts), Department of Agriculture
(Parts 900—999)
X Agricultural Marketing Service (Marketing Agreements and Or-
ders; Milk), Department of Agriculture (Parts 1000—1199)
XI Agricultural Marketing Service (Marketing Agreements and Or-
ders; Miscellaneous Commodities), Department of Agriculture
(Parts 1200—1299)
XIV Commodity Credit Corporation, Department of Agriculture
(Parts 1400—1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500—1599)
XVI [Reserved]
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 1800—2099)
XX [Reserved]
XXV Office of Advocacy and Outreach, Department of Agriculture
(Parts 2500—2599)
XXVI Office of Inspector General, Department of Agriculture (Parts
2600—2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700—2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800—
2899)
XXIX Office of Energy Policy and New Uses, Department of Agri-
XXX Office of the Chief Financial Officer, Department of Agriculture
(Parts 3000—3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100—3199)
XXXII Office of Procurement and Property Management, Department
of Agriculture (Parts 3200—3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300—3399)
XXXIV National Institute of Food and Agriculture (Parts 3400—3499)
XXXV Rural Housing Service, Department of Agriculture (Parts 3500—
3599)
XXXVI National Agricultural Statistics Service, Department of Agri-
XXXVII Economic Research Service, Department of Agriculture (Parts
3700—3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800—3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities Service,
Department of Agriculture (Parts 4200—4299)
391
Title 7—Agriculture—Continued
Chap.
L Rural Business-Cooperative Service, Rural Housing Service, and

Rural Utilities Service, Department of Agriculture (Parts
5001—5099)
Title 8—Aliens and Nationality
I Department of Homeland Security (Parts 1—499)

V Executive Office for Immigration Review, Department of Justice
(Parts 1000—1399)
Title 9—Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of Ag-

riculture (Parts 1—199)
II Agricultural Marketing Service (Federal Grain Inspection Serv-
ice, Fair Trade Practices Program), Department of Agri-
III Food Safety and Inspection Service, Department of Agriculture
(Parts 300—599)
Title 10—Energy
I Nuclear Regulatory Commission (Parts 0—199)

II Department of Energy (Parts 200—699)
III Department of Energy (Parts 700—999)
X Department of Energy (General Provisions) (Parts 1000—1099)
XIII Nuclear Waste Technical Review Board (Parts 1300—1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)
XVIII Northeast Interstate Low-Level Radioactive Waste Commission
(Parts 1800—1899)
Title 11—Federal Elections
I Federal Election Commission (Parts 1—9099)

II Election Assistance Commission (Parts 9400—9499)
Title 12—Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts

1—199)
II Federal Reserve System (Parts 200—299)
III Federal Deposit Insurance Corporation (Parts 300—399)
IV Export-Import Bank of the United States (Parts 400—499)
V (Parts 500—599) [Reserved]
VI Farm Credit Administration (Parts 600—699)
VII National Credit Union Administration (Parts 700—799)
VIII Federal Financing Bank (Parts 800—899)
IX (Parts 900—999) [Reserved]
392
Title 12—Banks and Banking—Continued
Chap.
X Bureau of Consumer Financial Protection (Parts 1000—1099)

XI Federal Financial Institutions Examination Council (Parts
1100—1199)
XII Federal Housing Finance Agency (Parts 1200—1299)
XIII Financial Stability Oversight Council (Parts 1300—1399)
XIV Farm Credit System Insurance Corporation (Parts 1400—1499)
XV Department of the Treasury (Parts 1500—1599)
XVI Office of Financial Research (Parts 1600—1699)
XVII Office of Federal Housing Enterprise Oversight, Department of
Housing and Urban Development (Parts 1700—1799)
XVIII Community Development Financial Institutions Fund, Depart-
ment of the Treasury (Parts 1800—1899)
Title 13—Business Credit and Assistance
I Small Business Administration (Parts 1—199)

III Economic Development Administration, Department of Com-
merce (Parts 300—399)
IV Emergency Steel Guarantee Loan Board (Parts 400—499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)
Title 14—Aeronautics and Space
I Federal Aviation Administration, Department of Transportation

(Parts 1—199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200—399)
III Commercial Space Transportation, Federal Aviation Adminis-
tration, Department of Transportation (Parts 400—1199)
V National Aeronautics and Space Administration (Parts 1200—
1299)
VI Air Transportation System Stabilization (Parts 1300—1399)
Title 15—Commerce and Foreign Trade
SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0—

29)
SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN
TRADE
I Bureau of the Census, Department of Commerce (Parts 30—199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV Foreign-Trade Zones Board, Department of Commerce (Parts
400—499)
VII Bureau of Industry and Security, Department of Commerce
(Parts 700—799)
393
Title 15—Commerce and Foreign Trade—Continued
Chap.
VIII Bureau of Economic Analysis, Department of Commerce (Parts

800—899)
IX National Oceanic and Atmospheric Administration, Department
of Commerce (Parts 900—999)
XI National Technical Information Service, Department of Com-
merce (Parts 1100—1199)
XIII East-West Foreign Trade Board (Parts 1300—1399)
XIV Minority Business Development Agency (Parts 1400—1499)
SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE-
MENTS
XX Office of the United States Trade Representative (Parts 2000—
2099)
SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS
AND INFORMATION
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300—2399) [Reserved]
Title 16—Commercial Practices
I Federal Trade Commission (Parts 0—999)

II Consumer Product Safety Commission (Parts 1000—1799)
Title 17—Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1—199)

II Securities and Exchange Commission (Parts 200—399)
IV Department of the Treasury (Parts 400—499)
Title 18—Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy

(Parts 1—399)
III Delaware River Basin Commission (Parts 400—499)
VI Water Resources Council (Parts 700—799)
VIII Susquehanna River Basin Commission (Parts 800—899)
XIII Tennessee Valley Authority (Parts 1300—1399)
Title 19—Customs Duties
I U.S. Customs and Border Protection, Department of Homeland

Security; Department of the Treasury (Parts 0—199)
II United States International Trade Commission (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV U.S. Immigration and Customs Enforcement, Department of
Homeland Security (Parts 400—599) [Reserved]
394
Title 20—Employees’ Benefits
Chap.
I Office of Workers’ Compensation Programs, Department of

Labor (Parts 1—199)
II Railroad Retirement Board (Parts 200—399)
III Social Security Administration (Parts 400—499)
IV Employees’ Compensation Appeals Board, Department of Labor
(Parts 500—599)
V Employment and Training Administration, Department of Labor
(Parts 600—699)
VI Office of Workers’ Compensation Programs, Department of
VII Benefits Review Board, Department of Labor (Parts 800—899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900—999)
IX Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 1000—1099)
Title 21—Food and Drugs
I Food and Drug Administration, Department of Health and

Human Services (Parts 1—1299)
II Drug Enforcement Administration, Department of Justice (Parts
1300—1399)
III Office of National Drug Control Policy (Parts 1400—1499)
Title 22—Foreign Relations
I Department of State (Parts 1—199)

II Agency for International Development (Parts 200—299)
III Peace Corps (Parts 300—399)
IV International Joint Commission, United States and Canada
(Parts 400—499)
V Broadcasting Board of Governors (Parts 500—599)
VII Overseas Private Investment Corporation (Parts 700—799)
IX Foreign Service Grievance Board (Parts 900—999)
X Inter-American Foundation (Parts 1000—1099)
XI International Boundary and Water Commission, United States
and Mexico, United States Section (Parts 1100—1199)
XII United States International Development Cooperation Agency
(Parts 1200—1299)
XIII Millennium Challenge Corporation (Parts 1300—1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations
Authority; and the Foreign Service Impasse Disputes Panel
(Parts 1400—1499)
XV African Development Foundation (Parts 1500—1599)
XVI Japan-United States Friendship Commission (Parts 1600—1699)
XVII United States Institute of Peace (Parts 1700—1799)
395
Title 23—Highways
Chap.
I Federal Highway Administration, Department of Transportation

(Parts 1—999)
II National Highway Traffic Safety Administration and Federal
Highway Administration, Department of Transportation
(Parts 1200—1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300—1399)
Title 24—Housing and Urban Development
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING

AND URBAN DEVELOPMENT (PARTS 0—99)
SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE-
VELOPMENT
I Office of Assistant Secretary for Equal Opportunity, Department
of Housing and Urban Development (Parts 100—199)
II Office of Assistant Secretary for Housing-Federal Housing Com-
missioner, Department of Housing and Urban Development
(Parts 200—299)
III Government National Mortgage Association, Department of
Housing and Urban Development (Parts 300—399)
IV Office of Housing and Office of Multifamily Housing Assistance
Restructuring, Department of Housing and Urban Develop-
ment (Parts 400—499)
V Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 500—599)
VI Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 600—699) [Reserved]
VII Office of the Secretary, Department of Housing and Urban Devel-
opment (Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700—799)
VIII Office of the Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban 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 800—899)
IX Office of Assistant Secretary for Public and Indian Housing, De-
partment of Housing and Urban Development (Parts 900—1699)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000—2099)
XV Emergency Mortgage Insurance and Loan Programs, Depart-
ment of Housing and Urban Development (Parts 2700—2799)
[Reserved]
XX Office of Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Parts 3200—3899)
XXIV Board of Directors of the HOPE for Homeowners Program (Parts
4000—4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)
396
Title 25—Indians
Chap.
I Bureau of Indian Affairs, Department of the Interior (Parts 1—

299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300—399)
III National Indian Gaming Commission, Department of the Inte-
rior (Parts 500—599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700—899)
V Bureau of Indian Affairs, Department of the Interior, and Indian
Health Service, Department of Health and Human Services
(Part 900—999)
VI Office of the Assistant Secretary, Indian Affairs, Department of
the Interior (Parts 1000—1199)
VII Office of the Special Trustee for American Indians, Department
of the Interior (Parts 1200—1299)
Title 26—Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1—

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

Treasury (Parts 1—399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart-
ment of Justice (Parts 400—799)
Title 28—Judicial Administration
I Department of Justice (Parts 0—299)

III Federal Prison Industries, Inc., Department of Justice (Parts
300—399)
V Bureau of Prisons, Department of Justice (Parts 500—599)
VI Offices of Independent Counsel, Department of Justice (Parts
600—699)
VII Office of Independent Counsel (Parts 700—799)
VIII Court Services and Offender Supervision Agency for the District
of Columbia (Parts 800—899)
IX National Crime Prevention and Privacy Compact Council (Parts
900—999)
XI Department of Justice and Department of State (Parts 1100—
1199)
Title 29—Labor
SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99)

SUBTITLE B—REGULATIONS RELATING TO LABOR
I National Labor Relations Board (Parts 100—199)
397
Title 29—Labor—Continued
Chap.
II Office of Labor-Management Standards, Department of Labor

(Parts 200—299)
III National Railroad Adjustment Board (Parts 300—399)
IV Office of Labor-Management Standards, Department of Labor
(Parts 400—499)
V Wage and Hour Division, Department of Labor (Parts 500—899)
IX Construction Industry Collective Bargaining Commission (Parts
900—999)
X National Mediation Board (Parts 1200—1299)
XII Federal Mediation and Conciliation Service (Parts 1400—1499)
XIV Equal Employment Opportunity Commission (Parts 1600—1699)
XVII Occupational Safety and Health Administration, Department of
XX Occupational Safety and Health Review Commission (Parts
2200—2499)
XXV Employee Benefits Security Administration, Department of
XXVII Federal Mine Safety and Health Review Commission (Parts
2700—2799)
XL Pension Benefit Guaranty Corporation (Parts 4000—4999)
Title 30—Mineral Resources
I Mine Safety and Health Administration, Department of Labor

(Parts 1—199)
II Bureau of Safety and Environmental Enforcement, Department
of the Interior (Parts 200—299)
IV Geological Survey, Department of the Interior (Parts 400—499)
V Bureau of Ocean Energy Management, Department of the Inte-
VII Office of Surface Mining Reclamation and Enforcement, Depart-
ment of the Interior (Parts 700—999)
XII Office of Natural Resources Revenue, Department of the Interior
(Parts 1200—1299)
Title 31—Money and Finance: Treasury
SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS

0—50)
SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE
I Monetary Offices, Department of the Treasury (Parts 51—199)
II Fiscal Service, Department of the Treasury (Parts 200—399)
IV Secret Service, Department of the Treasury (Parts 400—499)
V Office of Foreign Assets Control, Department of the Treasury
(Parts 500—599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600—699)
VII Federal Law Enforcement Training Center, Department of the
398
Title 31—Money and Finance: Treasury—Continued
Chap.
VIII Office of Investment Security, Department of the Treasury

(Parts 800—899)
IX Federal Claims Collection Standards (Department of the Treas-
ury—Department of Justice) (Parts 900—999)
X Financial Crimes Enforcement Network, Department of the
Title 32—National Defense
SUBTITLE A—DEPARTMENT OF DEFENSE

I Office of the Secretary of Defense (Parts 1—399)
V Department of the Army (Parts 400—699)
VI Department of the Navy (Parts 700—799)
VII Department of the Air Force (Parts 800—1099)
SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE-
FENSE
XII Department of Defense, Defense Logistics Agency (Parts 1200—
1299)
XVI Selective Service System (Parts 1600—1699)
XVII Office of the Director of National Intelligence (Parts 1700—1799)
XVIII National Counterintelligence Center (Parts 1800—1899)
XIX Central Intelligence Agency (Parts 1900—1999)
XX Information Security Oversight Office, National Archives and
Records Administration (Parts 2000—2099)
XXI National Security Council (Parts 2100—2199)
XXIV Office of Science and Technology Policy (Parts 2400—2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)
XXVIII Office of the Vice President of the United States (Parts 2800—
2899)
Title 33—Navigation and Navigable Waters
I Coast Guard, Department of Homeland Security (Parts 1—199)

II Corps of Engineers, Department of the Army, Department of De-
fense (Parts 200—399)
IV Saint Lawrence Seaway Development Corporation, Department
of Transportation (Parts 400—499)
Title 34—Education
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU-

CATION (PARTS 1—99)
SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT
OF EDUCATION
I Office for Civil Rights, Department of Education (Parts 100—199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200—299)
399
Title 34—Education—Continued
Chap.
III Office of Special Education and Rehabilitative Services, Depart-

ment of Education (Parts 300—399)
IV Office of Career, Technical, and Adult Education, Department of
Education (Parts 400—499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500—599) [Reserved]
VI Office of Postsecondary Education, Department of Education
(Parts 600—699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700—799) [Reserved]
SUBTITLE C—REGULATIONS RELATING TO EDUCATION
XI (Parts 1100—1199) [Reserved]
XII National Council on Disability (Parts 1200—1299)
Title 35 [Reserved]
Title 36—Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1—199)

II Forest Service, Department of Agriculture (Parts 200—299)
III Corps of Engineers, Department of the Army (Parts 300—399)
IV American Battle Monuments Commission (Parts 400—499)
V Smithsonian Institution (Parts 500—599)
VI [Reserved]
VII Library of Congress (Parts 700—799)
VIII Advisory Council on Historic Preservation (Parts 800—899)
IX Pennsylvania Avenue Development Corporation (Parts 900—999)
X Presidio Trust (Parts 1000—1099)
XI Architectural and Transportation Barriers Compliance Board
(Parts 1100—1199)
XII National Archives and Records Administration (Parts 1200—1299)
XV Oklahoma City National Memorial Trust (Parts 1500—1599)
XVI Morris K. Udall Scholarship and Excellence in National Environ-
mental Policy Foundation (Parts 1600—1699)
Title 37—Patents, Trademarks, and Copyrights
I United States Patent and Trademark Office, Department of

II U.S. Copyright Office, Library of Congress (Parts 200—299)
III Copyright Royalty Board, Library of Congress (Parts 300—399)
IV National Institute of Standards and Technology, Department of
400
Title 38—Pensions, Bonuses, and Veterans’ Relief
Chap.
I Department of Veterans Affairs (Parts 0—199)

II Armed Forces Retirement Home (Parts 200—299)
Title 39—Postal Service
I United States Postal Service (Parts 1—999)

III Postal Regulatory Commission (Parts 3000—3099)
Title 40—Protection of Environment
I Environmental Protection Agency (Parts 1—1099)

IV Environmental Protection Agency and Department of Justice
(Parts 1400—1499)
V Council on Environmental Quality (Parts 1500—1599)
VI Chemical Safety and Hazard Investigation Board (Parts 1600—
1699)
VII Environmental Protection Agency and Department of Defense;
Uniform National Discharge Standards for Vessels of the
Armed Forces (Parts 1700—1799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 1800—1899)
Title 41—Public Contracts and Property Management
SUBTITLE A—FEDERAL PROCUREMENT REGULATIONS SYSTEM

[NOTE]
SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS
50 Public Contracts, Department of Labor (Parts 50–1—50–999)
51 Committee for Purchase From People Who Are Blind or Severely
Disabled (Parts 51–1—51–99)
60 Office of Federal Contract Compliance Programs, Equal Employ-
ment Opportunity, Department of Labor (Parts 60–1—60–999)
61 Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 61–1—61–999)
62—100 [Reserved]
SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONS
SYSTEM
101 Federal Property Management Regulations (Parts 101–1—101–99)
102 Federal Management Regulation (Parts 102–1—102–299)
103—104 (Parts 103–001—104–099) [Reserved]
105 General Services Administration (Parts 105–1—105–999)
109 Department of Energy Property Management Regulations (Parts
109–1—109–99)
114 Department of the Interior (Parts 114–1—114–99)
115 Environmental Protection Agency (Parts 115–1—115–99)
128 Department of Justice (Parts 128–1—128–99)
129—200 [Reserved]
SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE-
MENT [RESERVED]
401
Title 41—Public Contracts and Property Management—Continued
Chap.
SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENT

REGULATIONS SYSTEM [RESERVED]
SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM
300 General (Parts 300–1—300–99)
301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)
302 Relocation Allowances (Parts 302–1—302–99)
303 Payment of Expenses Connected with the Death of Certain Em-
ployees (Part 303–1—303–99)
304 Payment of Travel Expenses from a Non-Federal Source (Parts
304–1—304–99)
Title 42—Public Health
I Public Health Service, Department of Health and Human Serv-

ices (Parts 1—199)
II—III [Reserved]
IV Centers for Medicare & Medicaid Services, Department of Health
and Human Services (Parts 400—699)
V Office of Inspector General-Health Care, Department of Health
Title 43—Public Lands: Interior
SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS

1—199)
SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS
I Bureau of Reclamation, Department of the Interior (Parts 400—
999)
II Bureau of Land Management, Department of the Interior (Parts
1000—9999)
III Utah Reclamation Mitigation and Conservation Commission
(Parts 10000—10099)
Title 44—Emergency Management and Assistance
I Federal Emergency Management Agency, Department of Home-

land Security (Parts 0—399)
IV Department of Commerce and Department of Transportation
(Parts 400—499)
Title 45—Public Welfare
SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES

(PARTS 1—199)
SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE
II Office of Family Assistance (Assistance Programs), Administra-
tion for Children and Families, Department of Health and
Human Services (Parts 200—299)
402
Title 45—Public Welfare—Continued
Chap.
III Office of Child Support Enforcement (Child Support Enforce-

ment Program), Administration for Children and Families,
Department of Health and Human Services (Parts 300—399)
IV Office of Refugee Resettlement, Administration for Children and
Families, Department of Health and Human Services (Parts
400—499)
V Foreign Claims Settlement Commission of the United States,
Department of Justice (Parts 500—599)
VI National Science Foundation (Parts 600—699)
VII Commission on Civil Rights (Parts 700—799)
VIII Office of Personnel Management (Parts 800—899)
IX Denali Commission (Parts 900—999)
X Office of Community Services, Administration for Children and
Families, Department of Health and Human Services (Parts
1000—1099)
XI National Foundation on the Arts and the Humanities (Parts
1100—1199)
XII Corporation for National and Community Service (Parts 1200—
1299)
XIII Administration for Children and Families, Department of Health
XVI Legal Services Corporation (Parts 1600—1699)
XVII National Commission on Libraries and Information Science
(Parts 1700—1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899)
XXI Commission of Fine Arts (Parts 2100—2199)
XXIII Arctic Research Commission (Parts 2300—2399)
XXIV James Madison Memorial Fellowship Foundation (Parts 2400—
2499)
XXV Corporation for National and Community Service (Parts 2500—
2599)
Title 46—Shipping
I Coast Guard, Department of Homeland Security (Parts 1—199)

II Maritime Administration, Department of Transportation (Parts
200—399)
III Coast Guard (Great Lakes Pilotage), Department of Homeland
Security (Parts 400—499)
IV Federal Maritime Commission (Parts 500—599)
Title 47—Telecommunication
I Federal Communications Commission (Parts 0—199)

II Office of Science and Technology Policy and National Security
Council (Parts 200—299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300—399)
403
Title 47—Telecommunication—Continued
Chap.
IV National Telecommunications and Information Administration,

Department of Commerce, and National Highway Traffic Safe-
ty Administration, Department of Transportation (Parts 400—
499)
V The First Responder Network Authority (Parts 500—599)
Title 48—Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1—99)

2 Defense Acquisition Regulations System, Department of Defense
(Parts 200—299)
3 Department of Health and Human Services (Parts 300—399)
4 Department of Agriculture (Parts 400—499)
5 General Services Administration (Parts 500—599)
6 Department of State (Parts 600—699)
7 Agency for International Development (Parts 700—799)
8 Department of Veterans Affairs (Parts 800—899)
9 Department of Energy (Parts 900—999)
10 Department of the Treasury (Parts 1000—1099)
12 Department of Transportation (Parts 1200—1299)
13 Department of Commerce (Parts 1300—1399)
14 Department of the Interior (Parts 1400—1499)
15 Environmental Protection Agency (Parts 1500—1599)
16 Office of Personnel Management, Federal Employees Health
Benefits Acquisition Regulation (Parts 1600—1699)
17 Office of Personnel Management (Parts 1700—1799)
18 National Aeronautics and Space Administration (Parts 1800—
1899)
19 Broadcasting Board of Governors (Parts 1900—1999)
20 Nuclear Regulatory Commission (Parts 2000—2099)
21 Office of Personnel Management, Federal Employees Group Life
Insurance Federal Acquisition Regulation (Parts 2100—2199)
23 Social Security Administration (Parts 2300—2399)
24 Department of Housing and Urban Development (Parts 2400—
2499)
25 National Science Foundation (Parts 2500—2599)
28 Department of Justice (Parts 2800—2899)
29 Department of Labor (Parts 2900—2999)
30 Department of Homeland Security, Homeland Security Acquisi-
tion Regulation (HSAR) (Parts 3000—3099)
34 Department of Education Acquisition Regulation (Parts 3400—
3499)
51 Department of the Army Acquisition Regulations (Parts 5100—
5199) [Reserved]
52 Department of the Navy Acquisition Regulations (Parts 5200—
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement (Parts 5300—5399) [Reserved]
404
Title 48—Federal Acquisition Regulations System—Continued
Chap.
54 Defense Logistics Agency, Department of Defense (Parts 5400—

5499)
57 African Development Foundation (Parts 5700—5799)
61 Civilian Board of Contract Appeals, General Services Adminis-
tration (Parts 6100—6199)
99 Cost Accounting Standards Board, Office of Federal Procure-
ment Policy, Office of Management and Budget (Parts 9900—
9999)
Title 49—Transportation
SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION

(PARTS 1—99)
SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION
I Pipeline and Hazardous Materials Safety Administration, De-
partment of Transportation (Parts 100—199)
II Federal Railroad Administration, Department of Transportation
(Parts 200—299)
III Federal Motor Carrier Safety Administration, Department of
IV Coast Guard, Department of Homeland Security (Parts 400—499)
V National Highway Traffic Safety Administration, Department of
VI Federal Transit Administration, Department of Transportation
(Parts 600—699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts
700—799)
VIII National Transportation Safety Board (Parts 800—999)
X Surface Transportation Board (Parts 1000—1399)
XI Research and Innovative Technology Administration, Depart-
ment of Transportation (Parts 1400—1499) [Reserved]
XII Transportation Security Administration, Department of Home-
land Security (Parts 1500—1699)
Title 50—Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Inte-

II National Marine Fisheries Service, National Oceanic and Atmos-
pheric Administration, Department of Commerce (Parts 200—
299)
III International Fishing and Related Activities (Parts 300—399)
IV Joint Regulations (United States Fish and Wildlife Service, 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 400—499)
V Marine Mammal Commission (Parts 500—599)
405
Title 50—Wildlife and Fisheries—Continued
Chap.
VI Fishery Conservation and Management, National Oceanic and

Atmospheric Administration, Department of Commerce (Parts
600—699)
406
Alphabetical List of Agencies Appearing in the CFR
(Revised as of January 1, 2021)
CFR Title, Subtitle or

Agency Chapter
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, VIII, IX, X, XI; 9, II
Agricultural Research Service 7, V
Agriculture, Department of 2, IV; 5, LXXIII
Advocacy and Outreach, Office of 7, XXV
Agricultural Marketing Service 7, I, VIII, IX, X, XI; 9, II
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
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 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 of 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
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
407
Agency Chapter
Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI; 38, II
Army, Department of 32, V
Engineers, Corps of 33, II; 36, III
Benefits Review Board 20, VII
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 Hazard 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, XIII
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Commerce, Department of 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; 37, IV
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Secretary of Commerce, Office of 15, Subtitle A
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
Council of the Inspectors General on Integrity and Efficiency 5, XCVIII
Court Services and Offender Supervision Agency for the 5, LXX; 28, VIII
District of Columbia
Customs and Border Protection 19, I
Defense, Department of 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
408
Agency Chapter
Defense Logistics Agency 32, I, XII; 48, 54
National Imagery and Mapping Agency 32, I
Navy, Department of 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Denali Commission 45, IX
Disability, National Council on 5, C; 34, XII
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
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 Policy, National Commission for 1, IV
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
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Security Council 32, XXI; 47, II
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
409
Agency Chapter
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 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 of 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
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
410
Agency Chapter
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, XIII
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Food and Drug Administration 21, I
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 5, XXXVI; 6, I;
8, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
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, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
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
Housing—Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle A, VII
Housing—Federal Housing Commissioner, Office of Assistant 24, II, VIII, X, XX
Secretary for
Immigration and Customs Enforcement Bureau 19, IV
Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
Independent Counsel, Offices of 28, VI
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
411
Agency Chapter
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 of 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 Development Finance Corporation, U.S. 5, XXXIII; 22, VII
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
Japan–United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice, Department of 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 of 2, XXIX; 5, XLII
Benefits Review Board 20, VII
Employee Benefits Security Administration 29, XXV
Employees’ Compensation Appeals Board 20, IV
Employment Standards Administration 20, VI
Employment and Training Administration 20, V
Federal Contract Compliance Programs, Office of 41, 60
Federal Procurement Regulations System 41, 50
412
Agency Chapter
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, VI
Labor-Management Standards, Office of 29, II, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Libraries and Information Science, National Commission on 45, XVII
Library of Congress 36, VII
Copyright Royalty Board 37, III
U.S. Copyright Office 37, II
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 Administration 2, 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, VI
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; 37, IV
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 5, CI; 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI
National Security Council 32, XXI; 47, II
National Security Council and Office of Science and 47, II
Technology Policy
413
Agency Chapter
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV, V
Administration
National Transportation Safety Board 49, VIII
Natural Resource Revenue, Office of 30, XII
Natural Resources Conservation Service 7, VI
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy, Department of 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
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, IV, XXXV; 45, VIII
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
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
President’s 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
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Public Contracts, Department of Labor 41, 50
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 Utilities Service 7, XVII, XVIII, XLII
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 Airmen’s Home, United States 5, XI
414
Agency Chapter
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State, Department of 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
Tennessee Valley Authority 5, LXIX; 18, XIII
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
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
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 of the 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
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
U.S. Copyright Office 37, II
Utah Reclamation Mitigation and Conservation Commission 43, III
Veterans Affairs, Department of 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
415
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, 2016 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.govinfo.gov. For changes to this volume of
the CFR prior to 2001, see the ‘‘List of CFR Sections Affected, 1949–1963,
1964–1972, 1973–1985, and 1986–2000’’ published in 11 separate volumes. The
‘‘List of CFR Sections Affected 1986–2000’’ is available at
www.govinfo.gov.
2016 14 CFR—Continued 81 FR
Page
14 CFR 81 FR Chapter V—Continued
Page
1251.112 Added ................................ 3711
Chapter V 1251.113 Added ................................ 3711
1214 Authority citation re- 1251.200 Revised ............................. 3712
vised......................................... 43041 1251.202 (a)(2) amended ................... 3712
1214.1—1214.119 (Subpart 1214.1) 1251.301 (e) redesignated as (f) and
Removed .................................. 43041 revised; new (e) added ................. 3712
1214.200—1214.207 (Subpart 1214.2) 1251.302 (a) and (c)(1) revised;
Removed .................................. 43041 (c)(2) and (3) redesignated as
1214.300—1214.306 (Subpart 1214.3) (c)(5) and (6); new (c)(2) and (3)
Removed .................................. 43041 added ......................................... 3712
1214.400—1214.404 (Subpart 1214.4) 1251.400 Revised ............................. 3713
Authority citation revised........ 43041 1251.503 Revised ............................. 3713
1214.600—1214.610 (Subpart 1214.6)
1251.540 Revised ............................. 3713
Revised .................................... 43041
1251.550 (a)(2) revised ...................... 3713
1214.700—1214.704 (Subpart 1214.7)
Revised .................................... 43041 1251.551 Revised ............................. 3714
1214.800—1214.813 (Subpart 1214.8) 1251.570 (b) and (c) revised ............... 3714
Removed .................................. 43042 1251.580 Added ................................ 3714
1214.1700—1214.1707 (Subpart 1251.581 Added ................................ 3714
1214.17) Removed .................... 43042 1251.582 Added ................................ 3714
1251 Heading and authority cita- 1274 Authority citation re-
tion revised; nomenclature vised......................................... 35584
changes...................................... 3709 1274.203 (g) added .......................... 35584
1251.100 Revised ............................. 3709 1274.209 (e) through (l) redesig-
1251.102 Revised ............................. 3709 nated as (f) through (m); new
1251.104 (a) and (c)(3) amended ........ 3711 (e) added ................................... 35584
1251.105 (a)(1), (2), (3) and (c)(2) in- 1274.211 (c) amended; (d)(5)
troductory text amended ........... 3711 added........................................ 35584
1251.107 (a) revised.......................... 3711 1274.212 Heading revised; (c)
1251.108 Amended ........................... 3711 added........................................ 35584
1251.110 Added ................................ 3711 1274.303 Added .............................. 35584
1251.111 Added ................................ 3711 1274.304 Added .............................. 35584
417
14 CFR (1–1–21 Edition)
14 CFR—Continued 81 FR 14 CFR—Continued 82 FR
Page Page
Chapter V—Continued Chapter V—Continued
1274.701 (b)(5) through (8), (c) and 1261.403 (a) introductory text re-
(d) added ................................... 35585 vised......................................... 29384
1274.803 Added .............................. 35585 1261.405 (a) revised ........................ 29384
1274.944 Added .............................. 35586 1261.407 (b)(4) added....................... 29384
1261.408 (b)(2)(ii) revised................ 29384
2017 1261.409 (a) introductory text and
(b) revised; (a)(5) and (c)
14 CFR 82 FR added........................................ 29385
Page
1261.411 (a) revised ........................ 29385
Chapter V 1261.412 (i)(1)(iv) and (i)(2) re-
1230 Revised; eff. 1-19-18 .................. 7270 vised......................................... 29385
1259 Authority citation re- 1261.413 Introductory text re-
vised......................................... 35440 vised......................................... 29385
1259.100 (a) revised ........................ 35440 1261.414 (a) and (b) revised ............. 29385
1259.101 (b) introductory text, (f), 1261.416 (a), (b), (c)(3)(iii) and (e)
(g), (h) and (n) revised................ 35440 revised ..................................... 29386
1259.102 Revised ................................... 1261.417 Heading, (c) and (d) re-
1259.103 Heading, (a)(1) and (b)(1) vised......................................... 29386
revised ..................................... 35440 1261.418 Added .............................. 29386
1259.201 (a)(1), (2), (b) introduc- 1261.500 (a), (b) and (c) introduc-
tory text and (2) revised ............ 35441 tory text revised ....................... 29386
1259.202 (a) and (c) revised ............. 35441 1261.503 (a) introductory text, (2),
1259.203 Introductory text and (b) (b) and (c) revised ...................... 29386
revised ..................................... 35441 1261.507 (e)(3) revised .................... 29387
1259.300 Revised ............................ 35441 1261.601 (b)(2) revised .................... 29387
1259.400 (a) and (b) revised ............. 35441 1261.603 Introductory text, (a) in-
1259.401 (d) and (e) revised ............. 35441 troductory text, (c)(2), (5) and
1259.402 (a), (b) introductory text (e) revised; (c)(6), (7) and (8) re-
and (c) revised........................... 35441 moved ...................................... 29387
1259.403 Revised ............................ 35441 1264 Technical correction ............. 32123
1259.404 Revised ............................ 35441 1264.102 (a) and (b) amended; in-
1259.500 Revised ............................ 35442 terim........................................ 28763
1259.501 Revised ............................ 35442 (a) and (b) amended ......................48762
1259.502 (a) and (c) revised ............. 35442 1271 Technical correction ............. 32123
1259.503 (b) revised ........................ 35442 1271.400 (a), (b) and (e) amended;
1259.600 Revised ............................ 35442 interim..................................... 28763
1259.601 (a), (b), (c), (f) and (g) re- (a), (b) and (e) amended .................48762
vised......................................... 35442 1271 Appendix A amended; in-
1259.602 Revised ............................ 35442 terim........................................ 28763
1259.603 (a) introductory text, (c) Appendix A amended ....................48762
and (d) revised........................... 35442
1261 Authority citation re-
vised......................................... 29383
2018
1261.300—1261.317 (Subpart 1261.3) 14 CFR 83 FR
Authority citation revised........ 29383 Page
1261.301 (b) and (c) revised ............. 29383 Chapter V
1261.304 Revised ............................ 29383 1230 Regulation at 82 FR 7270 eff.
1261.307 (b) revised ........................ 29384 date delayed to 7-19-18 ................ 2885
1261.308 (c) and (d) revised ............. 29384 1230.101 (l)(3) and (4) revised; in-
1261.312 (a) revised ........................ 29384 terim ......................................... 2891
1261.315 (b) introductory text and (l)(1) heading and (5) added; (l)(2),
(c) introductory text re- (3), and (4) revised ......................28511
vised......................................... 29384 1264.102 Amended ........................... 2046
1261.317 (b) revised ........................ 29384 1271.400 (a),(b), and (e) amend-
1261.402 (b), (c), (d) and (e) re- ed............................................... 2046
vised......................................... 29384 1271 Appendix A amended ............... 2046
418
2019 14 CFR—Continued 84 FR
Page
14 CFR 84 FR Chapter V—Continued
Page
(b)(1)(ii) amended.........................14608
Chapter V 1271.400 (a), (b), and (e) amend-
1206.100 Heading revised ............... 54774 ed ............................................. 13115
1206.101 (c) added........................... 54774 1271 Appendix A amended ............. 13115
1206.200 (b)(1) introductory text,
(iv), (2)(i), and (c)(2) amend-
ed ............................................. 54774 2020
1206.201 Amended.......................... 54775 14 CFR 85 FR
1206.300 (a), (b), (d), and (e)(1) re- Page
vised......................................... 54775 Chapter V
1206.301 (c) and (d) revised ............. 54775 1204.300—1204.313 (Subpart 3)
1206.302 (c) revised ........................ 54775 Added ....................................... 16542
1206.305 (a) revised ........................ 54775 1221.100 Revised; eff. 1-11-21 ........... 71828
1206.306 (a) revised ........................ 54775 1221.103 Revised; eff. 1-11-21 ........... 71828
1206.307 Introductory text added;
1221.104 Revised; eff. 1-11-21 ........... 71829
(b)(3) amended; (a)(2) and (b)(4)
1221.107 Revised; eff. 1-11-21 ........... 71830
revised ..................................... 54775
1221.108 Revised; eff. 1-11-21 ........... 71830
1206.401 (e) revised ........................ 54776
1221.109 Revised; eff. 1-11-21 ........... 71830
1206.403 (c) revised ........................ 54776
1206.502 (d) and (f) revised .............. 54776 1221.110 (c)(4) revised; eff. 1-11-
1206.503 Revised ............................ 54776 21.............................................. 71831
1206.504 (a), (b), and (c) revised....... 54776 1221.111 Revised; eff. 1-11-21 ........... 71831
1206.505 (e) revised ........................ 54777 1221.112 (a) revised; eff. 1-11-21 ....... 71831
1206.506 (d) and (e) revised ............. 54777 1221.113 (b) revised; eff. 1-11-21 ....... 71831
1206.507 (c)(1) through (4) re- 1221.114 (a) revised; eff. 1-11-21 ....... 71831
vised......................................... 54778 1241 Added; interim ...................... 15357
1206.700 (a), (b)(2), and (6) amend- 1241 Regulation at 85 FR 15357
ed ............................................. 54778 confirmed................................. 73410
1206.801 (b)(1), (6), and (c) re- 1264.102 Nomenclature change ...... 16546
vised......................................... 54778 1271.400 (a), (b), and (e) amend-
1206.804 (b) and (c) revised ............. 54779 ed ............................................. 16546
1206.805 (a) amended...................... 54779 1271 Appendix A amended ............. 16546
1264.102 (a)(1)(iv) amended ............ 13115 1274 Removed; eff. 1-15-21 .............. 72919
419

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Title 14

Aeronautics and Space

Revised as of January 1, 2021

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 20402–0001

Chapter V—National Aeronautics and Space Administration ........ 3

Chapter VI—Air Transportation System Stabilization ................... 371

Table of CFR Titles and Chapters ....................................................... 387

Alphabetical List of Agencies Appearing in the CFR ......................... 407

List of CFR Sections Affected ............................................................. 417

To cite the regulations in

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

CHAPTER V—National Aeronautics and Space Administra-

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

§ 1201.300 Boards and committees. Subpart D—Guides for Original

(1) Basic classification, downgrading § 1203.202 Responsibilities.

Subpart C—Classification § 1203.305 Restricted data.

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

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

§ 1203.409 Exceptional cases. proved in writing by the Adminis-

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

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

§ 1203.804 Meetings. tigative and support services for the

§ 1203.1001 Membership. appropriate and adequate protection

designated as NASA Critical Infra- lishment of each permanent security

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

Subparts 12–13 [Reserved] § 1204.300 General.

video, audio, and web-based formats. § 1204.301 Review and clearance.

document determined to be ‘‘signifi- quality prescribed. In the area of re-

currently informed of significant ac- (f) Restrictions. Except as otherwise

termination shall be effective as of the and Space Administration, whenever

compliance duties with respect to ele- § 1204.1000 Scope of subpart.

with the Administration or any sub- Program Requirements. A traffic safe-

§ 1204.1102 Responsibilities. Subparts 12–13 [Reserved]

ground level. Existing tree obstruc- operational at the facility (identifica-

(b) Wallops Airport. Director of Sub- § 1204.1407 Procedure in the event of

process under the Order or do not se- APPENDIX A TO PART 1204—ITEMS TO

Subpart B—Types of Records To Be Made 1206.802 General Counsel.

§ 1206.201 Proactive disclosure of Subpart C—Procedures

email address: hq-foia@nasa.gov, and (h) As an exercise of its administra-

shall not be considered received, and ations or activities of the Government.

requirements of paragraphs (d)(1) and a fee waiver request at a later time so

Commercial use requester .................. Yes ....................... Yes ............. Yes.

Requester category Search fees Review fees Duplication fees

(3) Be identified clearly on the enve- (e) If a reversal in whole or in part of

§ 1207.103 Designations of responsible § 1207.201 Scope of subpart.

Subpart B—Post-Employment AUTHORITY: Sec. 213, Uniform Relocation

§ 1208.1 Uniform Relocation Assistance § 1209.301 Authority.

with a variety of professional back- Subpart 1212.3—Amendments to Privacy

Subpart 1212.1—Basic Policy designated in the system notice as

circumstances indicate that the re- census or survey or related activity

(2) Review of the records; taining such information before grant-

§ 1212.302 Granting the request to the date of the requester’s receipt of

§ 1212.402 Disclosure to third parties a disclosure accounting; (e)(4) (A)

(D) To protect the confidentiality of local criminal law enforcement infor-

§ 1212.602 Requirements for collecting § 1212.604 Social security numbers.

§ 1212.605 Safeguarding information in (b) No disclosure shall be made from

§ 1212.702 The Inspector General. complying with the requirements of

amend a record, in accordance with subject to any conditions or limita-