UARC PublicationsUARC Publications

• Review and Authorization ProceduresReview and Authorization Procedures– Peer review for scientific and technical integrityPeer review for scientific and technical integrity– Editorial review for readability and sponsor format Editorial review for readability and sponsor format

requirementsrequirements– Sponsor review for proprietary information (Alt I)Sponsor review for proprietary information (Alt I)– Sponsor review for other restricted information: Sponsor review for other restricted information:

export control, sensitive-but-unclassified, etc. (Alt export control, sensitive-but-unclassified, etc. (Alt II)II)

– Your task will be identified as Alt I or Alt II in the Your task will be identified as Alt I or Alt II in the Task Plan, as well as the Data Management Task Plan, as well as the Data Management Resource (DMR) given to UARC task managers, or Resource (DMR) given to UARC task managers, or in the subcontract terms and conditions for in the subcontract terms and conditions for subcontractors.subcontractors.

Alt II ProceduresAlt II Procedures• Alternate II workAlternate II work is characterized by research activity that is characterized by research activity that

may be subject to export control, national security may be subject to export control, national security restrictions, foreign national access, or other restrictions restrictions, foreign national access, or other restrictions designated by NASA.designated by NASA.

• Any publications or presentations resulting from an Alt II Any publications or presentations resulting from an Alt II task is subject to task is subject to NASA’sNASA’s review and authorization review and authorization procedures. Every NASA unit (organization code) will have a procedures. Every NASA unit (organization code) will have a publication POC who can help you navigate the NASA publication POC who can help you navigate the NASA publication requirements (please check with your manager publication requirements (please check with your manager or NASA POC).or NASA POC).

• Any publication or presentation resulting from an Alt I task Any publication or presentation resulting from an Alt I task is subject to NASA’s review and authorization procedures is subject to NASA’s review and authorization procedures if if it involves a Civil Servant co-author (i.e. a NASA employee)it involves a Civil Servant co-author (i.e. a NASA employee). . Follow Alt II review and authorization procedures if civil Follow Alt II review and authorization procedures if civil servants contributed to the publication or presentation.servants contributed to the publication or presentation.

Alt II ProceduresAlt II Procedures• Procedure:  Prior to publishing or Procedure:  Prior to publishing or

disseminating data resulting from an Alt. II disseminating data resulting from an Alt. II task, UARC employees and subcontractors task, UARC employees and subcontractors must complete three forms:must complete three forms:1.1. ARC 310ARC 310, Review and Authorization Record – , Review and Authorization Record –

Complete the form and obtain the required Complete the form and obtain the required signatures.  Note the Author’s signature is signatures.  Note the Author’s signature is required twice on page 2. required twice on page 2.

2.2. NASA Form 1676NASA Form 1676, NASA Scientific and Technical , NASA Scientific and Technical Information (STI) Document Availability Information (STI) Document Availability Authorization (DAA) - Complete Sections 1 and 6. Authorization (DAA) - Complete Sections 1 and 6.

3.3. ARC 1676AARC 1676A, Export Control Public Domain , Export Control Public Domain Declaration (PDD) – Select one of the categories Declaration (PDD) – Select one of the categories and transfer that category number and the CFR and transfer that category number and the CFR number to the section entitled “Declaration.”  number to the section entitled “Declaration.” 

Alt II Procedure:

ARC 310

Review and Authorization Record

Alt II Procedure:

NASA FORM 1676

NASA Scientific and Technical Information (STI) Document Availability Authorization (DAA)

Alt II Procedure:

NASA FORM 1676A

Export Control Public Domain Declaration (PDD)

Alt I ProceduresAlt I Procedures• Alternate I workAlternate I work, also referred to as “Fundamental , also referred to as “Fundamental

Research,” this type of work is characterized by research Research,” this type of work is characterized by research that will be broadly shared within the scientific community that will be broadly shared within the scientific community and involves no foreign national access or dissemination and involves no foreign national access or dissemination restrictions.restrictions.

• Any publications or presentations resulting from an Alt I Any publications or presentations resulting from an Alt I task is subject to thetask is subject to the UARC’sUARC’s review and authorization review and authorization procedures. The UARC Compliance Officer is your POC for procedures. The UARC Compliance Officer is your POC for assistance with Alt I publication procedures.assistance with Alt I publication procedures.

• Important Note:Important Note: Follow NASA Alt II review and Follow NASA Alt II review and authorization procedures if civil servants contributed to authorization procedures if civil servants contributed to the publication or presentation, even if resulting from an the publication or presentation, even if resulting from an Alt I task or subcontract.Alt I task or subcontract.

Alt I ProceduresAlt I Procedures• Prior to publishing or disseminating data resulting from an Prior to publishing or disseminating data resulting from an

Alternate I task, UARC employees and subcontractors must Alternate I task, UARC employees and subcontractors must complete complete UARC IP Form 301, Review and Authorization RecordUARC IP Form 301, Review and Authorization Record.  .  This form requires a peer review signature (civil servant or This form requires a peer review signature (civil servant or contractor) in addition to the signatures of your next level contractor) in addition to the signatures of your next level supervisor and the NASA Task Requestor.  supervisor and the NASA Task Requestor. 

• Submittal ProcessSubmittal Process (2 complete sets required): (2 complete sets required):1.1. 11stst Set: A pdf version of the paper/presentation Set: A pdf version of the paper/presentation andand completed but completed but

unsigned UARC Form 301 sent to UARC Compliance Officer unsigned UARC Form 301 sent to UARC Compliance Officer ((scott.fong@adm.ucsc.eduscott.fong@adm.ucsc.edu) to initiate NASA proprietary information ) to initiate NASA proprietary information review and authorization process (this starts the 45 day review clock)review and authorization process (this starts the 45 day review clock)

2.2. 22ndnd Set: Concurrently, submit a second copy of the paper/presentation Set: Concurrently, submit a second copy of the paper/presentation and UARC Form 301 to peer reviewer → supervisor → NASA Task and UARC Form 301 to peer reviewer → supervisor → NASA Task requestor for their review and signaturesrequestor for their review and signatures

3.3. When 2When 2ndnd Set has been signed, submit with original signatures to Scott Set has been signed, submit with original signatures to Scott Fong, Building 19, Room 1088, M/S 19-26 .Fong, Building 19, Room 1088, M/S 19-26 .

• NOTE: Extended abstracts (more than 500 words) must also be NOTE: Extended abstracts (more than 500 words) must also be reviewed prior to dissemination.reviewed prior to dissemination.

• NOTE: Any substantive (content, not form) revisions to NOTE: Any substantive (content, not form) revisions to paper/presentation should be sent to UARC Compliance Officer for paper/presentation should be sent to UARC Compliance Officer for review and approval.review and approval.

Alt I ProceduresAlt I Procedures• Allow Allow 45 days45 days for the review.  Under the UARC for the review.  Under the UARC

contract, NASA has 45 days to review proposed Alt I contract, NASA has 45 days to review proposed Alt I publications for proprietary information. Late UARC publications for proprietary information. Late UARC IP Form 301 submissions may jeopardize your IP Form 301 submissions may jeopardize your intended presentation or publication date. intended presentation or publication date.

• UARC 301’s submitted with incomplete or missing UARC 301’s submitted with incomplete or missing fields will be returned to author and need to be fields will be returned to author and need to be resubmitted when complete.resubmitted when complete.

• Do not publish or present without final approval from Do not publish or present without final approval from the UARC Compliance Officer. To do so means you are the UARC Compliance Officer. To do so means you are acting “outside the scope of your employment” and you acting “outside the scope of your employment” and you can be found personally liable for any unauthorized can be found personally liable for any unauthorized release of proprietary information if such was actually release of proprietary information if such was actually published or presented.published or presented.

• The primary author will be notified via email when the The primary author will be notified via email when the review is complete.review is complete.

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

More InfoMore Info• The current version of UARC IP Form 301 will be sent to The current version of UARC IP Form 301 will be sent to

all UARC employees and subcontractors via email. It will all UARC employees and subcontractors via email. It will also be posted on the new UARC website for download: also be posted on the new UARC website for download: http://uarc.ucsc.edu/http://uarc.ucsc.edu/ (coming soon). Please see your NASA (coming soon). Please see your NASA publication POC for their most current forms for Alt II publication POC for their most current forms for Alt II tasks.tasks.

• UARC Compliance OfficerUARC Compliance Officer

Scott FongScott FongPhone: 650-604-1284Phone: 650-604-1284Fax: 650-604-0500Fax: 650-604-0500Email: Email: scott.fong@adm.ucsc.eduscott.fong@adm.ucsc.eduNASA Research ParkNASA Research ParkBuilding 19, Room 1088Building 19, Room 1088P.O. Box 7, M/S 19-26P.O. Box 7, M/S 19-26Moffett Field, CA 94035Moffett Field, CA 94035