Transfer by Federal Agencies of Scientific, Technical and Engineering Information to the National Technical Information Service

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]

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