[Federal Register Volume 59, Number 1 (Monday, January 3, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 93-32098]
[[Page Unknown]]
[Federal Register: January 3, 1994]
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DEPARTMENT OF COMMERCE
National Technical Information Service
15 CFR Part 1180
[Docket No. 921242-3202]
RIN 0692-AA12
Transfer by Federal Agencies of Scientific, Technical and
Engineering Information to the National Technical Information Service
AGENCY: National Technical Information Service, Technology
Administration, Commerce.
ACTION: Final rule.
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SUMMARY: This final rule establishes procedures for federal agencies to
transfer unclassified scientific, technical and engineering information
resulting from federally funded research and development activities to
the National Technical Information Service. This rule is issued
pursuant to the American Technology Preeminence Act of 1991. Its
purpose is to facilitate public access to the vast amount of
scientific, technical and engineering information that is produced by
and for federal agencies.
EFFECTIVE DATE: This regulation is effective February 1, 1994.
FOR FURTHER INFORMATION CONTACT:
Donald W. Corrigan (703) 487-4636.
SUPPLEMENTARY INFORMATION: On May 11, 1993, the National Technical
Information Service (NTIS) published a proposed rule (58 FR 27681) to
implement Section 108 of the American Technology Preeminence Act (ATPA)
of 1991 (Pub. L. 102-245). Section 108 of the ATPA requires all federal
agencies to submit to NTIS in a timely manner unclassified scientific,
technical and engineering information (STEI) resulting from federally
funded research and development activities. This final rule establishes
procedures for employees of agencies to follow and those contractors
and grantees who are authorized by agencies to transfer products
directly to NTIS.
These regulations should significantly expand NTIS' collection of
more than two million printed reports and documents, videotapes,
computer software and computerized data files on tape, diskette, and
CD-ROM. Such information can be purchased from NTIS by the research and
development community, business, and the general public. This expansion
should significantly improve public access to STEI and contribute to
NTIS's ability to operate on a self-sustaining basis without
appropriations.
The major features of these regulations include (a) a system of
``affiliates'' to serve as NTIS agents to receive information on behalf
of NTIS; (b) a system of federal agency ``liaisons'' to work with NTIS
to ensure cost-effective compliance; (c) an optional system by which
agencies may allow their contractors and grantees to transfer
information directly to NTIS; (d) an optional system by which agencies
may allow NTIS to ride their production orders; (e) a method for
granting waivers if transfer of STEI products would be inappropriate;
and (f) a requirement that certain copyright information be provided to
NTIS so that it does not inadvertently make available a product for
which the Government lacks appropriate dissemination rights.
A number of technical and clarifying changes have been made to the
proposed regulations, most of which are intended to make it clearer
that certain provisions are optional at the discretion of individual
agencies. The most important amendment alerts agencies that compliance
with these procedures in no way relieves them of their responsibilities
for distributing publications to the Depository Library Program
established by Chapter 19 of Title 44 of the United States Code and
establishes a procedure through which NTIS can assist agencies in
meeting that responsibility with respect to STEI submitted to NTIS
under this regulation.
Comments and Decisions
A number of comments involved inquiries relating to internal NTIS
processes or procedures of the commenting agency and did not propose
specific changes to the regulation. They are included in this section
to the extent they raise matters of general interest.
General Comments
Comment: Authors should clear publications printed by contractors
and grantees prior to public dissemination.
NTIS Response: These regulations apply only to products that are
available for public dissemination. How that determination is made is
up to individual agencies and is beyond the scope of the ATPA and these
regulations.
Comment: The regulations do not appear to take into account that
some government-funded research products may be published in
professional journals and other publications produced by the private
sector or that some STEI produced by non-federal employees may be
protected by copyright.
NTIS Response: Section 1180.7(a) of the final regulations now
explicitly states that agencies are not required to take any action to
transfer to NTIS agency generated articles published in privately
produced journals or federally funded STEI for which no license
permitting distribution by NTIS has been reserved to the Government.
Both categories had been included in Sec. 1180.7(b) as examples of
potentially inappropriate transfers, so no significant substantive
change is intended.
Comment: NTIS and the Government Printing Office should exchange
electronic bibliographic records to facilitate bibliographic control
activities.
NTIS Response: The recommendation, if implemented, should provide
the customers of each agency with enhanced ability to find and order
government information. NTIS will be pleased to discuss an exchange of
tapes with the Superintendent of Documents at any time.
Section 1180.2
Comment: The definition of ``agency'' permits certain subunits of
the parent agency to deal directly with NTIS and bypass the cabinet
officer above them.
NTIS Response: To ensure general consistency with other Technology
Administration programs, the final regulations adopt the definition of
``federal agency'' employed in the Stevenson-Wydler Technology
Innovation Act of 1980. However, NTIS recognizes that this definition
contributes to the problem described in the comment at least insofar as
it specifically identifies the military departments as agencies even
though they are part of the Department of Defense, which is itself an
agency within the meaning of that Act. Accordingly, the final
regulations include a statement in section 1180.11 (``Relation to Other
Laws and Procedures'') clarifying that agencies that are subunits of
other agencies must comply with the procedures of the parent agency.
NTIS will not deal directly with these subunits as freestanding
agencies except as approved by the parent.
Comment: By referring to STEI ``which results from federally funded
research and development activities'' in the definition of the phrase
``federally funded,'' the regulation may be interpreted to refer only
to products generated under R&D funding categories.
NTIS Response: The quoted language appears in section 108 of the
ATPA and nothing in that section suggests a narrow reading that
conditions the requirement on technical funding categories.
Comment: The definition of ``final'' should not automatically
exclude interim STEI reports as they often contain valuable information
and the final report may not be issued for some time.
NTIS Response: The definition of ``final'' in section 1180.2 has
been modified to indicate that such reports may be transferred.
Comment: The definition of ``product'' should not include software
because that would unduly disrupt the agency's software distribution
mechanism.
NTIS Response: Section 108 of the ATPA expressly refers to software
and NTIS cannot read that out of the statute. Section 1180.7 contains a
procedure for exempting products or categories of products in
appropriate cases, such as harm to a dissemination program.
Comment: The definition of STEI is too broad in that it sweeps in
significant amounts of business-related information.
NTIS Response: The definition of STEI is not intended to cover all
business-related information. The second part of the definition is
obtained from a 1954 Comptroller General opinion (34 Comp. Gen. 58)
construing the Act of September 9, 1950, 64 Stat. 823, as amended (15
U.S.C. 1151 et seq.), which required the Secretary of Commerce to
maintain a clearinghouse for the collection and dissemination of STEI.
According to the opinion, ``technical information'' can embrace matters
beyond the restricted field of applied science and mechanical arts.
However, the definition in the Comptroller General opinion should
itself be read as limited to information which has a direct
relationship to business, industry or technology. Also, the second part
of the definition in the rule limits STEI to information that would be
of value to consumers of scientific or engineering information, as
determined by the agency transferring the information. Most
importantly, NTIS will work with liaison officers to ensure that the
results of applying the definition under this rule are not burdensome
to agencies or to NTIS.
Section 1180.4
Comment: The requirement that product formats conform to NTIS
guidelines is burdensome.
NTIS Response: The guidelines simply catalog existing formats in
order of preference by NTIS. However, they are only guidelines, not
requirements. The language has been modified to make it clearer that
the formats are to be used to the extent practicable.
Comment: The requirement to advise NTIS of the terms of copyright
licenses reserved to the Government are unnecessary because some
agencies surrender all rights in exchange from royalty-free government
purpose rights.
NTIS Response: The regulation in no way tells agencies what rights
they should or should not retain. Agency practices vary and the
regulation is simply intended to ensure that nothing is transferred to
NTIS that NTIS is precluded from disseminating because the Government
lacks appropriate dissemination rights.
Note: Section 1180.4(a) also contains a new paragraph relating
to material not printed by the Government Printing Office. The
purpose of this addition is explained more fully in the analysis of
comments pertaining to Sec. 1180.11.
Section 1180.5
Comment: The regulation requires final STEI products to be
submitted within fifteen days of public dissemination but is silent as
to when summaries of new and on-going research described in section
1180.3 is to be submitted.
NTIS Response: The final regulation clarifies that the fifteen day
requirement also pertains to unclassified research summaries that have
been made available for public dissemination through any distribution
channel.
Comment: Transfer within fifteen days of public dissemination may
be impractical or inappropriate.
NTIS Response: Providing NTIS with a copy of a product two weeks
after it has been made available for public dissemination is not
unreasonable and reflects the direction in section 108 of the ATPA that
federal agencies transfer covered materials in a timely manner.
Section 1180.6
Comment: The size and scope of the agency's programs make it
difficult to give NTIS pre-production notice so as to allow it to ride
printing orders.
NTIS Response: Section 1180.6 has been slightly modified to make it
clear that this procedure is permissive and need not be used by
agencies that conclude that it would be unduly burdensome.
Comment: The regulation should exempt the commenting agency from
the requirement to allow NTIS to ride its production orders for
security reasons.
NTIS Response: Section 1180.6 has been modified to clarify that
this requirement is not mandatory. However, agencies that do not use
this method must find alternative means of ensuring that NTIS receives
copies of all products required to be transferred.
Comment: NTIS should work with the commenting agency to ride its
printing requisitions and make arrangements to share costs recovered
from the dissemination of products.
NTIS Response: NTIS will consider all appropriate proposals from
agencies to achieve these purposes.
Section 1180.7
Comment: The regulation should not apply to STEI products available
through the Government Printing Office.
NTIS Response: NTIS has a statutory mandate to maintain an STEI
information clearinghouse, to establish and maintain a permanent
repository of unclassified STEI, and to operate on a cost recovery
basis without recourse to appropriations. NTIS achieves these different
objectives by maintaining a comprehensive collection that is of
particular value to business and other consumers who want access to a
broad range of materials in and out of print, who want them quickly,
and to whom time spent shopping in various places is a significant
cost. The practical effect of this suggestion would be to reduce the
value of NTIS' collection and essentially leave it with those
unprofitable items that GPO cannot sell. The enactment of Section 108
of the ATPA suggests that Congress wanted to strengthen, not weaken,
NTIS' ability to serve the needs of STEI users and industry and to
operate on a self-sustaining basis.
Comment: This section inappropriately allows NTIS to overrule
agency decisions as to whether information ought to be released and to
overrule agency decisions to use dissemination channels other than
NTIS.
NTIS Response: The regulation leaves discretion to agencies to
determine whether information should be released. The regulation
expressly disclaims the intent to preclude agencies from also using
other channels (Section 1180.11(b)). However, the regulation does
preclude agencies from unilaterally bypassing NTIS when the agency has
decided that the information should be disseminated. It is expected
that agencies and NTIS will negotiate cooperatively to identify
products or classes of products that the agency intends to make
available through channels other than NTIS.
Comment: Provisions calling for agreement between the agency head
and NTIS regarding alternative methods of compliance or whether
transfers would be inappropriate are issues that should be in the sole
discretion of the agency.
NTIS Response: NTIS has an obligation to ensure that the basic
requirements of the American Technology Preeminence Act are satisfied
and does not believe that agencies can unilaterally exempt themselves
from its provisions. NTIS will work closely with agency liaisons to
resolve problems that may from time to time arise. However, as noted
above, the basic issue of whether a product should be publicly
disseminated is up to the agency and is unaffected by Section 1180.7.
Comment: The regulation should specifically exempt the commenting
agency's ongoing research because national security concerns preclude
public dissemination.
NTIS Response: The regulations apply only to unclassified
information and only to information intended for public dissemination.
Section 1108.8
Comment: A reference in Sec. 1180.8(a)(1) to items produced at
Government facilities should be changed to refer to items produced by
the Government as the latter is more inclusive and production site is
largely irrelevant.
NTIS Response: NTIS has made the suggested change.
Comment: To preclude proliferation of affiliates within an agency,
the concurrence of an agency's initial and primary affiliate should be
required before additional affiliates are appointed.
NTIS Response: Section 1180.8 has been amended to adopt this
recommendation.
Comment: A commenting agency requested that the regulation
explicitly designate it as an affiliate.
NTIS Response: NTIS will designate a number of affiliates over
time. Designating them by regulation is impractical. NTIS expects that
the Department of Energy's Office of Scientific and Technical
Information, the Department of Defense's Defense Technical Information
Center and the National Aeronautics and Space Administration's
Scientific and Technical Information Office will be among those
organizations initially designated as affiliates by NTIS.
Section 1180.11
Comment: This section should be expanded to clarify the relation of
the regulation to a number of other laws and procedures relating to the
release, protection, and dissemination of Government information, such
as the Freedom of Information Act, requirements to protect certain
sensitive material, and requirements to make information available for
distribution to Depository Libraries (which issue is discussed in more
detail in the following comments).
NTIS Response: NTIS has made the suggested changes and has
reorganized Sec. 1180.4 to reflect them more clearly.
Comment: To ensure compliance with agency clearance procedures, the
regulation should specify for certain agencies the identity of the
offices that are required to approve direct transmissions of STEI
products to NTIS by contractors, grantees, and employees.
NTIS Response: NTIS has concluded that the identification of an
agency's appropriate clearance officials should be left to individual
agencies through their internal procedures and should not be covered by
NTIS regulations. The final regulation does not adopt this
recommendation but NTIS has modified the proposed regulation to delete
the one specific reference that had been included.
Comment: The regulation will weaken the effectiveness of the
Depository Library (DL) Program if agencies erroneously assume that
STEI products submitted to NTIS will automatically be supplied to the
Libraries by NTIS. Various recommendations were made, such as
clarifying that submission to NTIS in no way relieved agencies of their
obligations to provide documents to the Libraries or requiring NTIS to
make such products available to the Libraries on behalf of the
originating agencies.
NTIS Response: NTIS has added new provisions that (1) reemphasize
agency responsibilities for compliance with all DL requirements
(Section 1180.11(a)(5)); (2) provide DL's with information about new
products added to NTIS' inventory (Section 1180.11(d) (1)-(2)); and (3)
establish a procedure through which NTIS can assist agencies in meeting
their DL requirements with respect to STEI submitted to NTIS under this
regulation (Section 1180.4(a) and 1180(d) (3)-(6)).
The final regulations contain a new Sec. 1180.4(a)(4) which
requires agencies, when preparing a product for transfer to NTIS, to
advise NTIS as to whether products not printed by GPO have been made
available for depository distribution by GPO. In addition, it has added
a new Sec. 1180.11(d) which establishes a general framework for
handling products so identified.
Under this framework, DL's will be provided free online access to a
current listing of all products that NTIS accepts as part of its
permanent respository (Section 1180.11(d)(1)). They will be given a
reasonable time to order products not previously made available to them
(Section 1180.11(d)(2)). NTIS will bundle the requests and refer them
back to the originating agency to be filled (new Sec. 1180.11(d)(3)) or
fill the order itself if NTIS and the originating agency have entered
into appropriate agreements regarding reimbursement (Section
1180.11(d)(4)).
In the near future NTIS expects to develop a system through which
DL's, at no charge to them, may have electronic access to full texts of
STEI products. When this is operational, agencies will be able to
fulfill their obligations to the DL's effortlessly and at no additional
cost simply by providing NTIS with the product in a format prescribed
by NTIS as suitable for online dissemination under this system (Section
1180.11(d)(5)).
The new regulations will also obligate DL's to protect the
information provided to them (Section 1180.11(d)(6)). This is important
because the improper disclosure of this valuable information could
seriously erode NTIS's ability to operate on a self-sustaining basis.
For example, improper dissemination of the list of products could
significantly reduce the rental value of NTIS's bibliographic database
as an income-producing asset.
Comment: The regulation should clarify that the requirement to make
publications available under the Depository Library Program extends to
publications in electronic formats.
NTIS Response: NTIS cannot issue interpretations of statutes it
does not administer and that would be binding on other agencies. Such
matters are more appropriately covered by OMB Circular A-130.
Appendix
Comment: The Appendix should be modified to indicate that it is
inapplicable to a commenting agency's contractors and grantees.
NTIS Response: The Appendix includes model language that agencies
may choose to employ if they elect to allow their contractors and
grantees to submit products directly to NTIS. The regulations already
make clear that contractors and grantees of this agency must obtain
prior agency approval from an identified office before submitting such
information directly to NTIS.
Executive Order 12866
This regulation has been reviewed by the Office of Information and
Regulatory Affairs of the Office of Management and Budget under
Executive Order 12886.
Executive Order 12372
NTIS has determined that these procedures do not affect directly
any state or local government and that consultations with state and
local officials are not required.
Executive Order 12612
NTIS has determined that these procedures do not contain policies
with any federalism implications within the meaning of this Order.
Regulatory Flexibility Act
The General Counsel has certified to the Chief Counsel for Advocacy
of the Small Business Administration that this rule, which applies only
to the transfer by federal agencies of federally funded STEI, will not
have a significant economic impact on a substantial number of small
entities.
Paperwork Reduction Act
This rule does not contain any information collection requirement
subject to the Paperwork Reduction Act.
Environmental Evaluation
NTIS has determined that this regulation will have no significant
impact on the quality of the environment and that neither an
environmental assessment nor an Environmental Impact Statement is
needed.
List of Subjects in 15 CFR Part 1180
Scientific, technical and engineering information.
Issued in Springfield, Virginia, on December 28, 1993.
Ron Lawson,
Acting Director.
Accordingly, title 15 of the Code of Federal Regulations is amended
by adding part 1180 as follows:
PART 1180--TRANSFER BY FEDERAL AGENCIES OF SCIENTIFIC, TECHNICAL
AND ENGINEERING INFORMATION TO THE NATIONAL TECHNICAL INFORMATION
SERVICE
Sec.
1180.1 Purpose and scope.
1180.2 Definitions.
1180.3 General rule.
1180.4 Preparing a product for transfer.
1180.5 Timeliness.
1180.6 Production of additional copies.
1180.7 Exceptions.
1180.8 Appointment of Agency Liaison Officers.
1180.9 Affiliates.
1180.10 NTIS permanent repository.
1180.11 Relation to other laws and procedures.
Appendix to Part 1180--Sample Funding Agreement Clause for Direct
Submission of Products
Authority: Sec. 108 of Pub. L. 102-245, 106 Stat. 7 (15 U.S.C.
3704b-2).
Sec. 1180.1 Purpose and scope.
(a) The purpose of this regulation is to facilitate public access
to the vast amount of scientific, technical and engineering information
(STEI) that is produced by and for federal agencies.
(b) This regulation provides a variety of methods for federal
agencies to adopt to ensure the timely transfer to the National
Technical Information Service (NTIS) of all unclassified STEI that is
available for public dissemination and that results from federal
funding. It is issued pursuant to the authority contained in Section
108 of the American Technology Preeminence Act (Pub. L. 102-245).
Sec. 1180.2 Definitions.
Agency means a federal agency as that term is defined in Section 4
of the Stevenson-Wydler Technology Innovation Act of 1980, as amended
(15 U.S.C. 3703(8));
Director means the Director of the National Technical Information
Service.
Federally funded refers to STEI which results from federal research
and development activities funded in whole or in part with federal
funds, whether performed by the agency itself or by contractors,
grantees, cooperative research partners, joint venture partners, or
under any similar arrangement involving federal funds.
Final when used to describe an STEI product means a product that
the originating agency or contractor/grantee thereof intends for public
dissemination and may exclude interim status reports routinely
furnished to agencies by contractors and grantees for monitoring and
other internal purposes and which are not intended for public
dissemination.
Product includes, but is not limited to, any report, manual,
standard, specification, book, paper, chart, map, graph, data
collection, data file, data compilation, software, audio/video
production, technology application assessment generated pursuant to
Section 11(c) of the Stevenson-Wydler Technology Innovation Act of 1980
(15 U.S.C. 3710(c)), as well as materials pertaining to training
technology and other federally owned or originated technologies, and
applies to items produced in-house or outside the agency through the
Government Printing Office, its contractors, Federal Prison Industries
or any other producer, provided that such material is intended by the
agency for public dissemination.
Scientific, technical and engineering information means--
(1) Basic and applied research that results from the efforts of
scientists and engineers in any medium (including new theory and
information obtained from experimentation, observation, instrumentation
or computation in the form of text, numeric data or images), and
(2) Information that bears on business and industry generally, such
as economic information, market information and related information, if
the agency determines such information would be of value to consumers
of the information described in paragraph (1) of this definition.
Summary means information relating to an ongoing research project
likely to result in a final product.
Sec. 1180.3 General rule.
Unless an exception applies under section 1180.7, each federal
agency shall, within the time period specified in this regulation,
transfer to NTIS--
(a) At least one copy of every final STEI product resulting from
the agency's federally funded research and development activities, and
(b) A summary of the agency's new and on-going research that is
likely to result in a final STEI product
if such final product or summary is unclassified and is intended by the
agency for public dissemination.
Sec. 1180.4 Preparing a product for transfer.
(a) Every final STEI product or summary shall, to the extent
practicable, be prepared in a format that is consistent with one of the
various formats found in NTIS guidelines. In addition, every such
product shall--
(1) Be accompanied by a report documentation page (SF 298) or its
electronic equivalent;
(2) Be in a form capable of high quality reproduction appropriate
to the medium;
(3) In the case of software, be accompanied by relevant
documentation, such as operating manuals, but not including printed
source code; and
(4) In the case of a product not printed by the Government Printing
Office, be accompanied by a statement as to whether the product has
been made available for depository distribution by the Government
Printing Office.
(b) Each federal agency shall transfer or have transferred to NTIS
those STEI products funded by it that are protected by copyright only
if there is a license reserved to the Government. In such cases, the
agency shall inform NTIS of the terms of the license. Suggested
language for inclusion in agency funding instruments is contained in
the Appendix to this part.
(c) If an agency has generated or funded an STEI product which
should be available for public dissemination but has embedded within it
any copyrighted material, the designated liaison appointed pursuant to
Sec. 1180.8 should work with NTIS to determine if it would be
appropriate to seek a license from the copyright holder in order to
make the STEI product available.
Sec. 1180.5 Timeliness.
A single copy of a final product or summary described in
Sec. 1180.3 must be transferred to NTIS within fifteen days of the date
it is first made available for public dissemination through any
distribution channel, and, whenever practical, as soon as it has been
approved by the agency for final printing or other reproduction, unless
the agency and the Director have otherwise agreed.
Sec. 1180.6 Production of additional copies.
Unless the agency determines that such action would not be
feasible, it shall make appropriate arrangements to enable NTIS, from
time to time and at NTIS's own discretion and expense, to ride agency
printing and other reproduction orders.
Sec. 1180.7 Exceptions.
(a) An agency shall not be required to take any further action to
submit a copy of a final STEI product to NTIS or one of its affiliates
if--
(1) It has designated NTIS to receive a single copy of each STEI
product once it has been produced, has made the arrangements specified
in Sec. 1180.6, if appropriate, and has made arrangements to receive
appropriate certification from a contractor, grantee or other external
performer of federally funded research that a copy has been sent to
NTIS or one of its affiliates within the appropriate time period
pursuant to obligations incurred in the applicable funding agreement
(see Appendix to this part) or pursuant to such other system as the
agency has established to ensure timely transfer;
(2) The agency and the Director have executed an appropriate
agreement or memorandum of understanding establishing an alternative
system for compliance; or
(3) The federally funded STEI is protected by copyright for which
no license has been reserved to the Government that would allow
distribution by NTIS;
(4) The product is an agency generated article that is published in
a privately produced journal; or
(5) The agency and the Director, pursuant to paragraph (b) of this
section, have agreed that the transfer of a product otherwise covered
by these regulations would not be appropriate.
(b) An agency and the Director shall be deemed to be in agreement
within the meaning of paragraph (a)(3) of this section if the Director
has not objected within 30 days to an agency's written notification of
its determination that timely transfer of a product or category of
products would not be appropriate under section 108 of the American
Technology Preeminence Act. Examples of inappropriate transfers
include:
(1) Transfers that could cause significant harm to an agency's
existing dissemination program that is operating on a cost recovery
basis, is operating in compliance with the policies described by OMB
Circular A-130, and for which special arrangements that would permit
supplemental distribution by NTIS cannot be negotiated.
(2) Federally funded STEI that has received, or is likely to
receive, widespread distribution to most potential users at no charge.
Sec. 1180.8 Appointment of Agency Liaison Officers.
The head of each agency shall appoint or designate an officer or
employee to serve as the STEI Liaison. The Liaison shall, to the extent
authorized by the head of the agency--
(1) In cooperation with the Director, determine what products or
summaries produced by the Government shall be transferred to NTIS on an
ongoing basis;
(2) Determine which funding agreements are to require contractors
and grantees to submit products directly to NTIS (for which purpose the
Appendix to this part contains suggested language that agencies may
wish to include in applicable funding instruments);
(3) Appoint additional liaison officers for major units or
components of an agency if the Director and Liaison officer agree this
would further the purposes of this regulation; and
(4) Enter into appropriate agreements with the Director and perform
any other agency responsibilities described in this regulation.
Sec. 1180.9 Affiliates.
(a) The Director may recognize any federal agency or component of
an agency as an affiliate for the purpose of receiving, on behalf of
NTIS, any STEI product that is required to be transferred under these
regulations if NTIS has entered into a memorandum of understanding with
the Liaison Officer under which the recognized affiliate agrees to the
ongoing transfer of all STEI products to NTIS in a timely manner and
otherwise agrees to assume the role of an affiliate.
(b) A transfer by an agency to an approved affiliate shall be
deemed a transfer to NTIS within the meaning of these regulations.
Sec. 1180.10 NTIS permanent repository.
A product, or category of product, will normally be accepted and
maintained as part of NTIS' permanent repository as a service to
agencies unless the Director advises the Liaison Officer that it has
not been so accepted. In general, transferred products will not be
accepted if they have not been properly prepared as required by Section
1180.4 or if NTIS believes that the cost of adding them to the
repository will significantly exceed anticipated benefits to the public
as measured by foreseeable demand. A product announced by NTIS as being
available from NTIS shall be deemed to have been accepted by NTIS as
part of its permanent repository.
Sec. 1180.11 Relation to other laws and procedures.
(a) Nothing in these regulations shall be deemed to exempt an
agency from any of the following requirements:
(1) Compliance with the Freedom of Information Act (5 U.S.C. 552);
(2) Compliance with any requirements to protect material that
contains classified national security information;
(3) Compliance with requirements to protect personal or other
information that may not be disclosed without appropriate authority
under applicable laws and procedures, such as the Privacy Act (5 U.S.C.
552a);
(4) Compliance with laws and regulations applicable to federal
records under Title 44 of the United States Code or regulations issued
by the National Archives and Records Administration (36 CFR, chapter
XII);
(5) Compliance with requirements to distribute publications through
the Depository Library Program either directly or through NTIS as
prescribed in subsection (d) of this section; and
(6) In the case of an agency that is also a component of an agency
as that term is defined in Sec. 1180.2, compliance with all applicable
requirements and procedures of the parent agency regarding these
regulations.
(b) Nothing in these regulations shall be deemed to require an
agency to take any of the following actions:
(1) To use NTIS as an agency's exclusive distribution channel;
(2) To transfer to NTIS information on matters that are
specifically authorized under criteria established by an Executive
Order to be kept secret in the interest of national defense or foreign
policy and are in fact properly classified pursuant to such Executive
Order; or
(3) to transfer, produce, or disseminate any other information that
is required by law to be withheld, which the agency is authorized to
withhold, or which is not intended by the agency for public
dissemination.
(c) No contractor, grantee, or employee of a Federal agency shall
submit a final STEI product directly to NTIS unless authorized to do so
by the Liaison or the Liaison's designate, which authorization may be
provided in an approved funding agreement (see Appendix to this part).
(d) In order to facilitate cooperation between agencies and the
Depository Libraries--
(1) NTIS will, as soon as possible, but not later than six months
from the effective date of these regulations, provide each Depository
Library at no charge, online access to a current list of all final STEI
products provided to NTIS under these regulations that have been
entered into the NTIS system.
(2) The online system described in subsection (d) of this section
will include an option that will allow each Depository Library thirty
days from the date a product is added to the online listing to identify
a product that it wishes to receive and that has not otherwise been
made available to it.
(3) NTIS will accumulate these requests and, within a reasonable
time, transfer them to the originating agency for fulfillment of each
of the identified products.
(4) In lieu of the procedures described in paragraph (d)(3) of this
section, NTIS will offer to enter into simple cost recovery
arrangements with the originating agency to duplicate and ship the
identified products to the requesting Libraries in the format that the
agency determines to be most cost effective, including microfiche,
paper, diskette, or disc.
(5) NTIS will also establish, as soon as practical, a system of
full text online access to final STEI products for the Depository
Libraries at no charge to them. Those final STEI products provided to
NTIS in a format prescribed by NTIS as suitable for online
dissemination under this system will be made available to the Libraries
at no charge to the originating agency, will be maintained online
indefinitely, and will be available to the Libraries without regard to
the thirty day selection time limit described in paragraph (d)(2) of
this section.
(6) The services in this paragraph will be provided to Depository
Libraries on the condition that they agree to ensure that online access
to the NTIS listing described in paragraph (d)(1) of this section is
restricted to the Library and its staff and that the full text products
provided online pursuant to paragraph (d)(5) of this section are
available only to the community served by that Library.
Appendix to Part 1180--Sample Funding Agreement Clause for Direct
Submission of Products
Agencies electing to allow for their contractors, grantees, etc. to
submit final products directly to NTIS are encouraged to employ a
provision similar to the following in the applicable funding agreement:
``The (contractor)/(recipient) shall certify to the
(contracting) (grants) officer--
``(1) a copy of all scientific, technical and engineering
information products created or finalized in whole or in part with
the funds requested has been or will be transferred to NTIS or a
recognized affiliate (at the same time that it is provided to the
sponsoring agency) (when the agency has determined that the product
is approved for public dissemination) but no later than fifteen days
after it is first made available for public dissemination through
any other distribution channel, and
``(2) NTIS, or a recognized affiliate, has been advised as to
whether the product is protected by copyright and, if so, a copy of
the terms of any licenses reserved to the Government has been sent
to NTIS, along with a copy of the SF 298.''
[FR Doc. 93-32098 Filed 12-29-93; 1:02 pm]
BILLING CODE 3510-04-M
