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Subpart 2–Records Available 1206.200 Types of records to be made avail

able. 1206.201 Records which have been pub

lished. 1206.202 Deletion of segregable portions of

a record. 1206.203 Creation of records. 1206.204 Records of interest to other agen

cies. 1206.205 Incorporation by reference. 1206.206 Availability for copying. 1206.207 Copies. 1206.208 Release of exempt records.

Subpart 8-Failure to Release Records to the

Public 1206.800 Failure to release records to the


Subpart 3—Exemptions 1206.300 Exemptions. 1206.301 Limitation of exemptions.

Subpart 9—Annual Report 1206.900 Requirements for annual report.

AUTHORITY: Sec. 203, National Aeronautics and Space Act of 1958, as amended, 72 Stat. 429, 42 U.S.C. 2473 and 5 U.S.C. 552 as amended by Pub. L. 93-504, 88 Stat. 1561, Pub. L. 99-570, unless otherwise noted; the Privacy Act of 1974, 5 U.S.C. 552a.

SOURCE: 52 FR 41407, Oct. 28, 1987, unless otherwise noted.

Subpart 4-Location for Inspection and

Request of Agency Records 1206.400 Information centers. 1206.401 Location of NASA information

centers. 1206.402 Documents available for inspec

tion at NASA information centers. 1206.403 Duty hours.

Subpart 5-Responsibilities 1206.500 Assistant Deputy Administrator. 1206.501 General Counsel. 1206.502 Field and component installa

tions. 1206.503 NASA Headquarters. 1206.504 Inspector General. 1206.505 Delegation of authority.

Subpart 1-Basic Policy $ 1206.100 Scope of part.

This Part 1206 establishes the policies, responsibilities, and procedures for the release to members of the public of agency records which are under the jurisdiction of the National Aeronautics and Space Administration. This part applies to information and agency records located at NASA Headquarters, at NASA Field Installations, and at NASA component instal. lations, as defined in Part 1201 of this chapter.

Subpart 6—Procedures 1206.600 Requests for records. 1206.601 Mail requests.. 1206.602 Requests in person.

8 1206.101 Definitions.

For the purposes of this part, the following definitions shall apply:

(a) The term agency records or are separate from the NASA Informarecords includes all books, papers, tion Center processing the request (see maps, photographs, or other documen- Subpart 6 of this part for procedures tary materials, regardless of physical for processing a request for agency form or characteristics, made or re- records); ceived by NASA in pursuance of Fed (2) The need to search for, collect, eral law or in connection with the and appropriately examine a volumitransaction of public business and pre- nous amount of separate and distinct served by NASA as evidence of the or records which are demanded in a ganization, functions, policies, deci. single request; or sions, procedures, operations, or other (3) The need for consultation which activities or because of the informa- shall be conducted with all practicable tional value of data contained therein. speed, with another agency having a It does not include tangible objects or substantial interest in the determinaarticles, such as structures, furniture, tion of the request or among two or paintings, sculptures, exhibits, models, more components of NASA having vehicles or equipment; library or substantial subject-matter interest museum material made or acquired therein. and preserved solely for reference or (g) A statute specifically providing exhibition purposes; or records of an- for setting the level of fees for particuother agency, a copy of which may be lar types of records (5 U.S.C. in NASA's possession.

552(a)(4)(A)(vi)) means any statute (b) The term initial determination that specifically requires a governmeans a decision by a NASA official, ment agency to set the level of fees for in response to a request by a member particular types of records in order to: of the public for an agency record, on (1) Serve both the general public whether the record described in the and private sector organizations by request can be identified and located conveniently making available governafter a reasonable search and, if so, ment information; whether the record (or portions there (2) Ensure that groups and individof) will be made available under this uals pay the cost of publications and part or will be withheld from disclo other services which are for their spesure under Subpart 3 of this part.

cial use so that these costs are not (c) The term appeal means a request borne by the general taxpaying public; by a member of the public to the Ad (3) Operate an information dissemiministrator or designee, or, in the case nation activity on a self-sustaining of records as specified in § 1206.504, to basis to the maximum extent possible; the Inspector General or designee for or reversal of any adverse initial determi- (4) Return revenue to the Treasury nation the requestor has received in for defraying, wholly or in part, approresponse to a request for an agency priated funds used to pay the cost of record.

disseminating government informa(d) The term final determination tion. means a decision by the Administrator (h) The term direct costs means or designee, or, in the case of records those expenditures which NASA actuas specified in § 1206.504, by the In- ally incurs in searching for and duplispector General or designee on an cating (and in the case of commercial appeal.

requesters, reviewing) documents to (e) The term working days means all respond to an FOIA request. Direct days except Saturdays, Sundays and costs include, for example, the salary legal public holidays.

of the employee who would ordinarily (f) As used in $ 1206.608, the term perform the work (the basic rate of unusual circumstances means, but pay for the employee plus 16 percent only to the extent reasonably neces- of that rate to cover benefits) and the sary to the proper processing of a par- cost of operating duplicating machinticular request for agency records, ery. Not included in direct costs are

(1) The need to search for and col- overhead expenses such as costs of lect the requested records from field space and heating or lighting the facilfacilities or other establishments that ity in which the records are stored.

(i) The term search includes all time may be presumed to be for commercial spent looking for material that is re- use unless the requester demonstrates sponsive to a request, including page that it qualifies for a different fee catby-page or line-by-line identification egory. of material within documents. NASA (m) The term educational instituwill ensure that searching for material tion refers to a preschool, a public or is done in the most efficient, least ex. private elementary or secondary pensive manner so as to minimize costs

school, an institution of graduate for both the agency and the requester

higher education, an institution of unand will only utilize line-by-line, page

dergraduate higher education, an inby-page search when consistent with

stitution of professional education, this policy. Search should be distin

and an institution of vocational educaguished, however, from review of ma

tion, which operates a program or proterial in order to determine whether

grams of scholarly research. the material is exempt from disclosure

(n) The term non-commercial scien(see paragraph (k) of this section).

tific institution refers to an instituSearches may be done manually or by

tion that is not operated on a commercomputer using existing programming.

cial basis as that term is referenced in (j) The term duplication refers to

paragraph (1) of this section, and the process of making a copy of a doc

which is operated solely for the purument in order to respond to an FOIA

pose of conducting scientific research, request. Such copies can take the form

the results of which are not intended of paper copy, microfilm, audio-visual

to promote any particular product or materials, or machine-readable docu

industry. mentation (e.g., magnetic tape or disk), among others.

(0) The term representative of the (k) The term review refers to the

news media refers to any person acprocess of examining documents locat

tively gathering news for an entity ed in response to a commercial use re

that is organized and operated to pubquest (see paragraph (1) of this sec

lish or broadcast news to the public. tion) to determine whether any por

The term news means information tion of any document located is per

that is about current events or that mitted to be withheld. It also includes would be of current ne processing any documents for disclo

public. Examples of news media entisure, e.g., doing all that is necessary to

ties include television or radio stations excise them and otherwise prepare

broadcasting to the public at large, them for release. Review does not in

and publishers of periodicals (but only clude time spent resolving general

in those instances when they can quallegal or policy issues regarding the ap

ify as disseminators of news) who plication of exemptions.

make their products available for pur(1) The term commercial use request chase or subscription by the general refers to a request from or on behalf public. These examples are not intendof one who seeks information for a use ed to be all-inclusive. Moreover, as traor purpose that furthers the commer ditional methods of news delivery cial, trade or profit interests of the re- evolve (e.g., electronic dissemination quest or the person on whose behalf of newspapers through telecommuni. the request is made. In determining cations services), such alternative whether a requester properly belongs media would be included in this catein this category, NASA will look first gory. In the case of freelance journalto the use to which a requester will ists, they may be regarded as working put the documents requested. Where for a news organization if they can NASA has reasonable cause to doubt demonstrate a solid basis for expecting the use to which a requester will put publication through that organization, the records sought or where that use even though not actually employed by is not clear from the request itself, it. A publication contract would be the NASA will seek additional clarification clearest proof, but agencies may also before assigning the request to a spe- look to the past publication record of cific category. A request from a corpo- a requester in making this determinaration (not a news media corporation) tion.

(p) The term commercial informa

Subpart 2–Records Available tion means, for the purpose of apply. ing the notice requirements of 81206.200 Types of records to be made $ 1206.610, information provided by a available. submitter and in the possession of the

(a) Records required to be published National Aeronautics and Space Ad

in the FEDERAL REGISTER. The followministration, that may arguably be

ing records are required to be pubexempt from disclosure under the pro lished in the FEDERAL REGISTER, for visions of Exemption 4 of the Freedom codification in Title 14. Chapter V, of of Information Act (5 U.S.C.

the CFR. 552(b)(4)). The meaning ascribed to

(1) Description of NASA Headquarthis term for the purpose of this ters and field organization and the esnotice requirement is separate and

tablished places at which, the employshould not be confused with use of ees from whom, and the methods this or similar terms in determining whereby, the public may secure inforwhether information satisfies one of mation, make submittals or requests, the elements of Exemption 4.

or obtain decisions; (q) The term submitter means a (2) Statements of the general course person or entity that is the source of and method by which NASA's funccommercial information in the posses- tions are channeled and determined, sion of the National Aeronautics and including the nature, and requireSpace Administration. The term sub- ments of all formal and informal promitter includes but is not limited to, corporations, state governments, and (3) Rules of procedure, descriptions foreign governments. It does not in of forms available or the places at clude other federal government agen which forms may be obtained, and incies or departments.

structions as to the scope and contents

of all papers, reports, or examinations; (52 FR 41407, Oct. 28, 1987, as amended at 54 FR 13518, Apr. 4, 1989)

(4) Substantive rules of general ap

plicability adopted as authorized by § 1206.102 General policy.

law, and statements of general policy

or interpretations of general applica(a) In accordance with section

bility formulated and adopted by 203(a)(3) of the National Aeronautics

NASA; and Space Act of 1958 (42 U.S.C.

C (5) Each amendment, revision, or 2473(a)(3)), it has been and continues

repeal of the foregoing. to be NASA policy to provide for the

(b) Agency opinions, orders, state"widest practicable and appropriate

ments, and manuals. (1) Unless they dissemination of information concern

are exempt from disclosure under Subing its activities and the results there

part 3 of this part, or unless they are

promptly published and copies offered (b) In compliance with the “Free

for sale, NASA shall make available dom of Information” amendments to the following records for public inspecthe Administrative Procedure Act (5 tion and copying or purchase: U.S.C. 552, as amended by Public Laws (i) All final opinions (including con90-23, 93-502 and 99-570), a positive curring and dissenting opinions) and and continuing obligation exists for all orders made in the adjudication of NASA to make available upon request cases, such as opinions of the NASA by members of the public to the full- Board of Contract Appeals; est extent practicable, all agency (ii) Those statements of NASA records under its jurisdiction, as de policy and interpretations which have scribed in Subpart 2 of this part, been adopted by NASA and are not except to the extent that they may be published in the FEDERAL REGISTER; exempt from disclosure under Subpart (iii) Administrative staff manuals (or 3 of this part.

similar issuances) and instructions to staff that affect a member of the public.


(2) In connection with all records re- they cannot be purchased readily from quired to be made available or pub- available sources. If a publication or lished under this paragraph (b), iden document is readily available from a tifying details shall be deleted to the source other than NASA, the requestextent required to prevent a clearly er shall be informed of the procedures unwarranted invasion of personal pri- to follow to obtain the publication or vacy. However, in each case the justifi. document. cation for the deletion shall be explained fully in writing. A copy of 81206.202 Deletion of segregable portions such justification shall be attached to of a record. the front of the portion of the record

If a record requested by a member of made available to the requester.

the public contains both information (3) In connection with all records re

required to be made available and that quired to be made available or pub

which is exempt from disclosure under lished under this paragraph (b) which

Subpart 3 of this part, and the portion are issued, adopted, or promulgated

of the records that is required to be after July 4, 1967, except to the extent

made available is reasonably segregathey are exempt from disclosure under

ble from the portion that is exempt, Subpart 3 of this part, current indexes

the portion that is exempt from discloproviding identifying information will

sure shall be deleted and the balance be maintained and made available for

of the record shall be made available public inspection and copying or pur to the requester. If the non-exempt chase (see § 1206.402).

portion of the record appears to be un(c) Other agency records. In addition

intelligible or uninformative, the reto the records made available or pub

quester shall be informed of that fact, lished under paragraphs (a) and (b) of

and such non-exempt portion shall not this section, NASA shall, upon request

be sent to the requester unless he for other records made in accordance

thereafter specifically requests it. with this part, make such records promptly available to any person, 81206.203 Creation of records. unless they are exempt from disclo

Records will not be created by comsure under Subpart 3 of this part, or unless they may be purchased from

piling selected items from the files at other readily available sources, as pro

the request of a member of the public, vided in § 1206.201.

nor will records be created to provide

the requester with such data as ratios, 81206.201 Records which have been pub proportions, percentages, frequency lished.

distributions, trends, correlations, or Publication in the FEDERAL REGISTER

comparisons is a means of making certain agency 81206.204 Records of interest to other records available to the public. Also,

agencies. the Commerce Business Daily, Synopsis of U.S. Government Proposed Pro

If a NASA record is requested and curement. Sales and Contract Awards - another agency has a substantial in(Department of Commerce) is a source terest in the record, such an agency of information concerning agency

shall be consulted on whether the records or actions. Various other record shall be made available under NASA publications and documents,

this part (see $ 1206.101(f)(3)). If a and indexes thereto, are available

record is requested that is a record of from other sources, such as the U.S.

another agency, the request shall be Superintendent of Documents, the Na

returned to the requester, as provided tional Technical Information Service

in § 1206.604(c). (Department of Commerce), and the Earth Resources Observation Systems

$ 1206.205 Incorporation by reference. (EROS) Data Center (Department of Matter which is reasonably available the Interior). Such publications and to the members of the public affected documents are not required to be thereby shall be deemed published in made available or reproduced in re- the FEDERAL REGISTER when incorposponse to a request therefor unless rated by reference in material pub

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