Agency Data Access Policies
National Aeronautics and Space Administration (NASA) Earth Science Enterprise

NASA Earth Science Enterprise Statement on Data Management

Preamble

The Earth Science Enterprise (formerly Mission to Planet Earth) was established to use the advanced technology of the National Aeronautics and Space Administration (NASA) to understand how the land, oceans, atmosphere, ice caps and life forms interact as a system in influencing climate change. To accomplish this, NASA is flying a series of Earth Observation System (EOS) satellites that will take 24 different measurement suites important to Earth Science research. Additional data will be taken from smaller, more narrowly focused satellite missions. The unprecedented volume of data expected from these missions will be collected, processed, and distributed by NASA's EOS Data and Information System (EOSDIS).

It is the intent of the Enterprise to promote open access to its data by the general public, including the academic and industry communities. This is a fundamental feature of the program. Allowing open and timely availability to Enterprise data is expected to accelerate the progress of climate research. As a consequence, more information will be available to policymakers to make critical decisions relating to environmental quality, land-use management, and other key policy areas. In addition, this approach should also help the development of practical applications and commercial products and services derived from Enterprise-related data and technology.

This Statement on Data Management (Statement) is intended to guide the management of scientific data from the Enterprise. The principals set forth in the Statement are intended to advance the goals, mission, and vision of the Enterprise and encourage consistent treatment of data management issues across the Enterprise. They are consistent with existing statutes, federal executive orders, and NASA's own established policies.

For the purposes of this Statement, the term "data" shall mean the research data generated or acquired by the Earth Science Enterprise to meet Enterprise goals as outlined in the NASA Strategic Plan. This term shall not include so-called technical data, i.e., specific information required for the design, development, production, manufacture, assembly, operation, use, repair, testing, maintenance, or modification of a product, such as a data collection system (e.g., a satellite, aircraft, or ground system).

Principles

This Statement elaborates on Executive Branch and other legal guidance for data management by the Earth Science Enterprise. The following eleven statements summarize the main principles drawn from that guidance.

1. NASA shall plan and follow data acquisition policies that ensure the collection of long-term data sets that will satisfy the research requirements of the Earth Science Enterprise.

2. NASA is committed to the full and open sharing of the Earth Science data obtained from U.S. Government-funded and -owned systems with all users as soon as such data become available. All Earth System Enterprise missions, projects, and grant proposals shall include data management plans to facilitate implementation of this principle.

3. For data from government-owned or -funded systems, NASA will enforce a principle of non-discriminatory access so that all users within the same data-use category will be treated equally. Preferential treatment for U.S. government users and their affiliates will be allowed where expressly permitted by law.

4. NASA shall make data from the Earth Science Enterprise available at a reasonable price to facilitate access and encourage use. Data from NASA and its U.S. government partners shall be priced at the cost of dissemination or, in cases where such pricing would unduly inhibit use, below cost. For data from industry and forien partners in the Earth Science Enterprise, pricing and access policies shall be established by negotiation between NASA and the relevant Earth Science Enterprise provider and system operator. NASA will seek to ensure pricing and access policies consistent with the principles in this Statement.

5. All data required for long-term global change research shall be archived. Data archives shall include easily accessible information about dta holdings, including quality assessments, supporting relevant information, and guidance for locating and obtaining the data.

6. Where cost-effective, NASA shall make purchases of commercial data to meet the scientific objectives of the Earth Science Enterprise. Data purchase arrangements should, at a minimum, permit appropriate use, distribution, and duplication of the data for Earth Science Enterprise purposes by all researchers affiliated with the Earth Science Enterprise. NASA may purchase data on behalf of, and through, other federal agencies for research and investigation purposes.

7. For each cooperative activity with industry, domestic or foreign, NASA shall seek agreement on all major data-management and distribution issues durin the project-definition phase. The respective contributions of the parties to the activity shall be considered in allocating rights and control over the results from the activity. NASA shall seek to ensure meaningful use of the data for Earth Science Enterprise purposes by all researchers affiliated with the Enterprise.

8. NASA shall engage in ongoing cooperation with other federal agencies, particularly with those involved with space-based activities or Earth Science research, to increase the effectiveness and reduce the cost of the Earth Science Enterprise. This interagency cooperation shall include: sharing of data from satellites and other sources, mutual validation and calibration of data, and consolidation of duplicative capabilities and functions.

9. NASA shall, in compliance with applicable federal law and policy, negotiate and implement arrangements with international partners, with an emphasis on meeting the Nation's own data acquisition, distribution, and archival needs.

10. NASA may allow for exceptions to the guidance contained in this Statement on a case-by-case basis where permitted by law and in the furtherance of the public interest.

11. NASA shall review and, if warranted, update this Statement as a part of the biennial review of the Earth System Enterprise.

Statement of Principles and Explanation

1. NASA shall plan and follow data acquisition policies that ensure the collection of long-term data sets that will satisfy the research requirements of the Earth Science Enterprise.

   The success of the Earth Science Enterprise depends on data acquisition practices that will enable the collection of a comprehensive global, long-term data set to address the research requirements of the Earth Science Enterprise. NASA adheres to the following principles regarding data acquisition:

   • Data from satellites and other data sources will be acquired according to priorities recommended by Earth Science Enterprise participants and confirmed by the Associate Administrator for the Earth Science Enterprise.

   • Where site-specific ( rather than global) observations are made, data acquisitions will be conducted on a demand basis. In these cases, data will only be taken where there is: a) an identified user who has requested and will analyze the data or b) recognition of a future Earth Science Enterprise need for the data.

   • The level of processing and preprocessing will be dictated by the scientific requirements of the Earth Science Enterprise, using peer-reviewed algorithms.

2. NASA is committed to the full and open sharing of the Earth Science data obtained from U.S. Government-funded and -owned systems with all users as soon as such data become available. All Earth System Enterprise missions, projects, and grant proposals shall include data management plans to facilitate implementation of this principle.

   NASA's Earth Science Enterprise is a bold effort to apply advanced satellite and computing technologies to answer fundamental questions about how the land, seas, air, and life interact as a system and how human activity impacts our environment. To meet this challenge, there must be full and open sharing of the data from the Earth Science Enterprise with the research community, private industry, academia, and the general public. The greater the availability of the data, the more quickly and effectively the user community can utilize the information to address basic Earth Science questions and provide the basis for developing innovative practical applications to benefit the general public.

   Under most circumstances, the full suite of government-owned data sets within the Earth Science Enterprise shall be made available to all users, with no user group or group of users receiving a period of exclusive access. Access will not be limited to the scientists, managers, or principal investigators working with the Earth Science Enterprise, but will be extended to the full scientific community and the general public. This principle applies to all Earth Science Enterprise activities, including satellite missions, field campaigns, and grants.

   There may be practical impediments to providing timely access to Earth Science Enterprise data held by certain user groups, particularly data used in smaller projects at the principal investigator level. These projects may lack the time, staff, and resources to ensure the earliest public availability of their data product. Nevertheless, even in such difficult cases, NASA is committed to providing the earliest feasible data distribution, provided the requester pays for the marginal cost of dissemination. Further, NASA shall require, in advance, data management plans for all Earth Science Enterprise missions, projects, and grant proposals to help assure that sufficient resources are available for data management at all the Earth Science Enterprise levels.

3. For data from government-owned or -funded systems, NASA will enforce a principle of non-discriminatory access so that all users within the same data-use category will be treated equally. Preferential treatment for U.S. government users and their affiliates will be allowed where expressly permitted by law.

   NASA is committed to providing access on a non-discriminatory basis to all types of scientific data from the Earth Science Enterprise, neither favoring or disfavoring any user or class of users. Non-discriminatory access shall be a requirement for any mission in which NASA resources are invested. That principle is already specifically mandated for unenhanced data from government satellite systems by the Land Remote Sensing Policy Act of 1992, 15 U.S.C. §5601 et seq., which specifically requires that such data be made available to all users on a non-discriminatory basis. Section 501(a) of that Act states:

   Except as provided in subsection (b) of this section, any unenhanced data generated by the Landsat system or any land remote-sensing funded and owned by the U.S. Government shall be made available to all users without preference, bias, or any other special arrangement [except on the basis of national security concerns] regarding delivery, format, pricing, or technical considerations which would favor one customer or class of customers over another.

   However, subsection (b) of Section 501 does allow for preferential treatment for the U.S. government and its affiliated users provided that the data from these government satellite systems are used for non-commercial purposes.

   For the purposes of this Statement, the term "non-discriminatory basis" shall mean that all users in a clearly defined data-use category can obtain data on the same terms and conditions, and the categories are defined in such a way that potential users will be included in each category.

4. NASA shall make data from the Earth Science Enterprise available at a reasonable price to facilitate access and encourage use. Data from NASA and its U.S. government partners shall be priced at the cost of dissemination or, in cases where such pricing would unduly inhibit use, below cost. For data from industry and forien partners in the Earth Science Enterprise, pricing and access policies shall be established by negotiation between NASA and the relevant Earth Science Enterprise provider and system operator. NASA will seek to ensure pricing and access policies consistent with the principles in this Statement.

   Cost can be one of the greatest barriers to broad access to data by the general scientific community, as well as the public and private sectors. For that reason, making data available at a reasonable cost is necessary to facilitate scientific and other uses of the agency's Earth Science data. Accordingly, within the limits of current law, NASA will endeavor to make data available at a price that does not unduly inhibit its use.

   For all data from NASA and other U.S. government sources, the data will be made available, without regard to the intended use of the data. Applicable federal law and policy allow the federal government to charge less than the cost of dissemination if the true cost inhibits use of the data. NASA may, under special circumstances as determined by the Associate Administrator or his designee, provide data to users at a nominal cost or at no cost where at-cost pricing would inhibit use. NASA appreciates that below-cost pricing may, in some cases, have the potential to impair the ability of federal agencies to defray their operational costs and encourage users to request more data than they actually need. Therefore, in deciding whether to permit below-cost pricing in particular cases or situations, the Associate Administrator shall carefully weigh the benefits of the discount pricing to the user community against the potential costs to affected federal agencies.

   It should be emphasized that, since data must be distributed on a non-discriminatory basis, all data products must be available to all persons in the same data-use-category at the same price. However, this requirement does not preclude traditional pricing arrangement, such as volume discounts, so long as these arrangements are offered on a non-discriminatory basis.

   For data acquired from industry and foreign partners in Earth Science Enterprise activities, a pricing and access policy will be negotiated with the relevant data provider and system operator. NASA will seek to ensure consistency in negotiated pricing and access policies. In that regard, pricing of data from commercial and international partners shall be guided by the applicable provisions of this Statement concerning commercial data purchases, cooperative activities with industry, and international cooperation.

5. All data required for long-term global change research shall be archived. Data archives shall include easily accessible information about dta holdings, including quality assessments, supporting relevant information, and guidance for locating and obtaining the data.

   The archiving of long-term sets of global climate data is critical for the meaningful study of Earth science and the understanding of important environmental and climate questions. Archives must provide easily accessible information about data holdings, including descriptive metadata, quality assessments, supporting ancillary information, and assistance in locating and obtaining the data.

   Each Earth Science Enterprise data set shall be subject to peer review to determine its merit for long-term archiving. In the event that lon-term archiving is deemed appropriate, NASA shall seek guidance from Government agency partners to determine if such requirements can be most effectively met through interagency cooperation.

   Consideration for long-term archiving shall include: a) all data acquired by, or in support of, Earth Science Enterprise-funded research projects; b) all data acquired systematically by Earth Science Enterprise-funded missions for the purpose of documenting long term variability; and c) all accessible data concerning natural disasters and other extraordinary events identified by the Earth Science Enterprise (e.g., volcanic eruptions, floods, and forest fires).

   The Earth Science Enterprise shall not normally archive data taken systematically for the purpose of documenting long-term variability if those data are already being archived by a partnering agency such that long-term access by NASA is assured. This principle shall apply to data from NASA missions as well as joint missions undertaken with another agency or institution, either domestic or foreign. However, NASA may decide to archive such data if it receives a specific request and, upon agency review of the request against NASA's mission, that request is granted. Further, should the archiving institution decide to close its archive, the Earth Science Enterprise may consider the acquisition of all or part of the archived data, but shall not make such acquisition unless it is cost-effective and satisfies NASA's scientific requirements.

6. Where cost-effective, NASA shall make purchases of commercial data to meet the scientific objectives of the Earth Science Enterprise. Data purchase arrangements should, at a minimum, permit appropriate use, distribution, and duplication of the data for Earth Science Enterprise purposes by all researchers affiliated with the Earth Science Enterprise. NASA may purchase data on behalf of, and through, other federal agencies for research and investigation purposes.

   NASA's Commercial Strategy for the Enterprise states that the agency shall "seek cost-effective science data opportunities that meet the science objectives of the Earth Science Enterprise" In implementing this goal, NASA shall -

   • establish rights to distribute proprietary science data purchased from commercial sources (rather than acquired through Earth Science Enterprise capabilities) according to terms mutually acceptable to NASA and the commercial sources coming as close to NASA's goal of non-discriminatory access as possible

   • seek out data purchase agreements with commercial sources where NASA is not the dominant customer over the long term

   • act as a data purchasing agent for other federal agencies for research and investigation purposes and encourage other agencies to serve as purchasing agents for NASA for such purposes

   These principles will serve the scientific goals of the agency and the federal government, as well as the public interest. In the long run, such commercial data purchases could potentially reduce agency costs by precluding the need to design, develop, and launch spacecraft to collect needed Earth science data from space and streamlining data acquisition procedures and procurement processes. Eventually, the evolution of a vigorous commercial space data industry may enable the collection and access of more Earth Science data than is gathered today, with benefits to NASA and other potential customers derived from more-competitive pricing and broader data selection.

   In entering into data purchase arrangements, NASA shall negotiate data purchase arrangements which, at a minimum, permit appropriate use, distribution, and duplication by Earth Science Enterprise researchers for science purposes. Such researchers include: a) researchers affiliated with the Earth Science Enterprise through interagency data exchanges, grants, and other formal mechanisms and b) researchers in the international community with whom NASA has formal data-exchange arrangements or formal understandings. NASA will also seek to negotiate terms that would allow the release of data to users outside the Earth Science Enterprise researcher community, particularly for scientific, educational, and other non-commercial uses, at the cost of dissemination. NASA shall seek agreement with the data provider on the degree to which the public will be allowed access to the data via the Internet.

   The government has the duty to facilitate access to publicly funded data - the more the federal investment, the greater the government's duty to preserve or retain broad access to the data. Where the U.S. taxpayers, through the federal government, have made a considerable investment in the observing system of data product, unreasonable restrictions on use or availability by federal government agencies or their affiliates will not be accepted.

7. For each cooperative activity with industry, domestic or foreign, NASA shall seek agreement on all major data-management and distribution issues durin the project-definition phase. The respective contributions of the parties to the activity shall be considered in allocating rights and control over the results from the activity. NASA shall seek to ensure meaningful use of the data for Earth Science Enterprise purposes by all researchers affiliated with the Enterprise.

   The Enterprise regularly engages in cooperative activities with industry partners, domestic and foreign, which may take many forms. From the perspective of the Earth Science Enterprise, the ultimate goal of such cooperation is to obtain cost-effective, scientifically meaningful data to help meet Enterprise objectives. Therefore, the management and distribution of data from such cooperative projects must be a central issue in the project definition phase, and agree ment on these matters should be achieved before the projects are undertaken.

   With these interests in mind, NASA shall adhere to the following principles regarding data from join missions and projects with industry:

   All matters pertaining to data management, particularly data rights and data distribution responsibilities, shall be resolved between NASA and the industry partner prior to undertaking the cooperative NASA-industry activity. NASA shall endeavor to negotiate agreements with the industry partner to assure as broad an access to data from the cooperative activity as possible. NASA shall define the distribution, use, and and archiving requirements for each mission in advance and ensure that the the agreement with the commercial partner meets those needs. The respective contribution of the partners should be taken into account in allocating rights and control to the results of the cooperative activity. In cases where data are provided on different term for commercial and non-commercial use, NASA should encourage the commercial partner to be responsible for meeting the needs for commercial use and should focus agency resources on meeting the research and applications community requirements associated with the Earth Science Enterprise's mission. NASA shall assure meaningful use of data from cooperative activity for Earth Science Enterprise purposes by all researchers affiliated with the Earth Science Enterprise. This includes access to raw data as a part of the scientific peer review process.

8. NASA shall engage in ongoing cooperation with other federal agencies, particularly with those involved with space-based activities or Earth Science research, to increase the effectiveness and reduce the cost of the Earth Science Enterprise. This interagency cooperation shall include: sharing of data from satellites and other sources, mutual validation and calibration of data, and consolidation of duplicative capabilities and functions.

   NASA continues to join with other federal agencies in cooperative activities that advance the goals of the Earth Science Enterprise. To maximize the benefit of this cooperation, NASA seeks input from cooperating agencies when determining requirements and priorities for data acquisition. In advancing the interests of the Earth Science Enterprise, NASA provides its federal agency partners with access to Earth Science Enterprise data. Further, NASA supports interoperability of systems and compatibility of standards to facilitate data sharing and exchanges. Finally, NASA cooperates with other federal agencies in developing the most cost-effective policies for long-term data archiving.

9. NASA shall, in compliance with applicable federal law and policy, negotiate and implement arrangements with international partners, with an emphasis on meeting the Nation's own data acquisition, distribution, and archival needs.

   Cooperative activities with international partners often present unique circumstances because of the different laws and policies that govern each country. The management of the data resulting from international cooperative projects is ultimately determined by respective project participants, whose goals, policies, and constraints may be quite different. Nevertheless, in negotiating with its foreign partners, NASA will seek to reach agreements and understandings that are in harmony with applicable federal law and policy, as well as with the principals contained in this Statement, and meet the needs of the agency.

   When entering into any international project, NASA must ensure that its own data acquisition, distribution, and archival needs are defined and met by the terms of the agreement. In general, international agreements involve no exchange of funds with each party making in-kind contributions of products and services. The benefits to NASA from these arrangements may come in several forms, but typically access to valuable scientific data is one of the primary incentives for agency involvement. Accordingly, it is critical that these agreements explicitly address data policy, specifically each party's rights and responsibilities for data acquisition (including tasking and operations), distribution, and archiving.

   All international agreements should clearly address basic questions regarding the rights and responsibilities of the parties with respect to:

   • Data acquisition and tasking. If data acquisition is not global and continuous, who decides when the instruments are on, and where the data are transmitted to the ground and collected? Who pays for the operational activities?

   • Data distribution and use. Who may access the data, on what terms, through what facilities, using what standards? Whose consent is required, if any, for access?

   • Data archival. What data will be archived for how long, at whose expense, in what facilities, and under what conditions? Who ha access, and on what terms, to data in the long-term archive? How are data eventually disposed of?

   Given the investment of federal government resources in cooperative missions, NASA should endeavor to ensure that all data are available to all users under defined conditions (i.e., any use should be able to determine what data exist and to access them in a reasonable manner, whether directly or through a third-party distributor). This principle should ensure nondiscriminatory access in the sense that no user is denied access to data (except for reasons of national security or public safety). In general, for missions involving significant NASA investment, NASA shall insist that a long-term archive for mission data be defined and that provisions are made for its funding.

   As a minimum requirement for any mission, NASA-affiliated users should be able to obtain and use data from cooperative missions. Their rights should be defined broadly enough to include applications demonstrations as well as more basic research investigations, and should not be limited to NASA-funded investigations, since NASA conducts cooperative science with foreign scientists and with investigators funded by other U.S. Government agencies such as the National Science Foundation. The relevant Earth Science Enterprise and project science leaders need to be part of the agreement and negotiating process to assure that specific terms are included in the international agreements to promote the realization of mission objectives. Furthermore, access to data should be made as broad and inexpensive as possible to facilitate maximum utilization by the scientific community.

10. NASA may allow for exceptions to the guidance contained in this Statement on a case-by-case basis where permitted by law and in the furtherance of the public interest.

    The guidance in this statement with regard to open, non-discriminatory public access to Earth Science Enterprise data is fundamental to the mission of the Enterprise. Nevertheless, NASA recognizes that, to the extent permitted by law, it may be in the public interest for the Associate Administrator tp grant exceptions from the principles in this Statement on a case-by-case basis. Past experience suggests most cases in which exceptions might be entertained would likely involve either: a) data acquisitions for commercial sources or joint missions with industry or b) international partnerships. In these categories of cases, it is sometimes determined that the departures from agency policy are outweighed by the value of the data, foreign policy, or public policy considerations.

    With regard to acquiring data from commercial sources, it may be necessary to accept seller-imposed restrictions on the use and distribution of acquired data that would not be appropriate for government-generated data. For example, in one past case, a commercial provider contracted to sell remote-sensing data to NASA on the condition that: a) the data be used exclusively for research purposes and b) the data be provided to NASA on a two-to-four week delay (to protect commercial sales of real-time data) except where there is a compelling research requirement for real-time use by specified users.

    Data acquired through data exchanges or joint missions with foreign partners may also require acceptance of restrictions on data use on data use and distribution in conflict with NASA policy. In international arrangements, where the non-U.S. party has made a substantial investment in the joint activity, that part may have more negotiating leverage to insist on a restrictive data policy that NASA desires. In such situations, if, on balance, the activity still advances NASA's mission goals, a decision could be made to proceed nonetheless. To that end, past agency practice can be instructive in reviewing individual cases. For instance, in one joint satellite mission involving NASA and a foreign space agency, the governing Memorandum of Understanding gave designated mission investigators a period of three months exclusive access to the satellite data. Following the period of exclusive access, the data would be placed in an archive and made available to the general public at no more that the cost of filling the user request.

    In every case where an exception is requested, NASA will attempt to adhere to the principles in this Statement as closely as possible and will balance the right of the public to open non-discriminatory access to scientific information from federal agencies against the asserted interests of the parties requesting the exception.

11. NASA shall review and, if warranted, update this Statement as a part of the biennial review of the Earth System Enterprise.

    NASA will regularly review and, if warranted, update this Statement as a part of NASA's comprehensive biennial review of the Earth System Enterprise. Review of this statement will will examine whether its principles require revision to reflect changes in applicable law, Administration policy, NASA policy, or relevant facts and circumstances. The review shall also examine possible revisions to this Statement that might improve the Earth Science Enterprise's data management and its ability to carry out its goals and missions. The Associate Administrator must approve any revisions to the Statement.

References

• The National Aeronautics and Space Act of 1958, as amended, 42 U.S.C. §2451, et seq.
• The Land Remote Sensing Policy Act of 1992, 15 U.S.C. §5601, et seq.
• The Paper Work Reduction Act, 44 U.S.C. §3501, et seq.
• The Freedom of Information Act, as amended, 5 U.S.C. §552 (1994), amended by P.L. 104-231
• OMB Circular A-130 (February 8, 1996)
• National Space Policy (NSTC-8, September 19, 1996)
• Presidential Directive (NSPD-7), Space-Based Global Change Observation (May 28, 1992)
• Statements on Data Management for Global Change Research (Office of Science and Technology Policy, July 1991)
• Mission to Planet Earth Commercial Strategy (March 1997)
• IEOS Data Exchange Principles