UARC Publications

1. UARC Publications • Review and Authorization Procedures • Peer review for scientific and technical integrity • Editorial review for readability and sponsor format requirements • Sponsor review for proprietary information (Alt I) • Sponsor review for other restricted information: export control, sensitive-but-unclassified, etc. (Alt II) • Your task will be identified as Alt I or Alt II in the Task Plan, as well as the Data Management Resource (DMR) given to UARC task managers, or in the subcontract terms and conditions for subcontractors.

2. Alt II Procedures • Alternate II work is characterized by research activity that may be subject to export control, national security restrictions, foreign national access, or other restrictions designated by NASA. • Any publications or presentations resulting from an Alt II task is subject to NASA’s review and authorization procedures. Every NASA unit (organization code) will have a publication POC who can help you navigate the NASA publication requirements (please check with your manager or NASA POC). • Any publication or presentation resulting from an Alt I task is subject to NASA’s review and authorization procedures if it involves a Civil Servant co-author (i.e. a NASA employee). Follow Alt II review and authorization procedures if civil servants contributed to the publication or presentation.

3. Alt II Procedures • Procedure:  Prior to publishing or disseminating data resulting from an Alt. II task, UARC employees and subcontractors must complete three forms: • ARC 310, Review and Authorization Record – Complete the form and obtain the required signatures.  Note the Author’s signature is required twice on page 2. • NASA Form 1676, NASA Scientific and Technical Information (STI) Document Availability Authorization (DAA) - Complete Sections 1 and 6. • ARC 1676A, Export Control Public Domain Declaration (PDD) – Select one of the categories and transfer that category number and the CFR number to the section entitled “Declaration.” 

4. Alt II Procedure: ARC 310 Review and Authorization Record

5. Alt II Procedure: NASA FORM 1676 NASA Scientific and Technical Information (STI) Document Availability Authorization (DAA)

6. Alt II Procedure: NASA FORM 1676A Export Control Public Domain Declaration (PDD)

7. Alt I Procedures • Alternate I work, also referred to as “Fundamental Research,” this type of work is characterized by research that will be broadly shared within the scientific community and involves no foreign national access or dissemination restrictions. • Any publications or presentations resulting from an Alt I task is subject to theUARC’s review and authorization procedures. The UARC Compliance Officer is your POC for assistance with Alt I publication procedures. • Important Note: Follow NASA Alt II review and authorization procedures if civil servants contributed to the publication or presentation, even if resulting from an Alt I task or subcontract.

8. Alt I Procedures • Prior to publishing or disseminating data resulting from an Alternate I task, UARC employees and subcontractors must complete UARC IP Form 301, Review and Authorization Record.  This form requires a peer review signature (civil servant or contractor) in addition to the signatures of your next level supervisor and the NASA Task Requestor.  • Submittal Process (2 complete sets required): • 1st Set: A pdf version of the paper/presentation and completed but unsigned UARC Form 301 sent to UARC Compliance Officer (scott.fong@adm.ucsc.edu) to initiate NASA proprietary information review and authorization process (this starts the 45 day review clock) • 2nd Set: Concurrently, submit a second copy of the paper/presentation and UARC Form 301 to peer reviewer → supervisor → NASA Task requestor for their review and signatures • When 2nd Set has been signed, submit with original signatures to Scott Fong, Building 19, Room 1088, M/S 19-26 . • NOTE: Extended abstracts (more than 500 words) must also be reviewed prior to dissemination. • NOTE: Any substantive (content, not form) revisions to paper/presentation should be sent to UARC Compliance Officer for review and approval.

9. Alt I Procedures • Allow 45 days for the review.  Under the UARC contract, NASA has 45 days to review proposed Alt I publications for proprietary information. Late UARC IP Form 301 submissions may jeopardize your intended presentation or publication date. • UARC 301’s submitted with incomplete or missing fields will be returned to author and need to be resubmitted when complete. • Do not publish or present without final approval from the UARC Compliance Officer. To do so means you are acting “outside the scope of your employment” and you can be found personally liable for any unauthorized release of proprietary information if such was actually published or presented. • The primary author will be notified via email when the review is complete.

10. UARC IP Form 301 Review and Authorization Record • What’s New: • UC Blue and Gold color scheme to distinguish from NASA ARC 310 Form • Originating Task Number required • Subcontractor employees identified • Proposed Date of Presentation or Formal Submission Required

11. More Info • The current version of UARC IP Form 301 will be sent to all UARC employees and subcontractors via email. It will also be posted on the new UARC website for download: http://uarc.ucsc.edu/ (coming soon). Please see your NASA publication POC for their most current forms for Alt II tasks. • UARC Compliance Officer Scott Fong Phone: 650-604-1284 Fax: 650-604-0500 Email: scott.fong@adm.ucsc.edu NASA Research Park Building 19, Room 1088 P.O. Box 7, M/S 19-26 Moffett Field, CA 94035