[Federal Register Volume 60, Number 153 (Wednesday, August 9, 1995)]
[Rules and Regulations]
[Pages 40508-40538]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-19144]
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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
48 CFR Parts 1801, 1803, 1804, 1805, 1808, 1809, 1810, 1812, 1814,
1815, 1819, 1822, 1825, 1827, 1829, 1831, 1833, 1835, 1837, 1839,
1846, 1849, 1850, 1852, 1853 and 1870
[NASA FAR Supplement Directive 89-19]
RIN 2700-AB84
Acquisition Regulation; Miscellaneous Amendments to NASA FAR
Supplement
AGENCY: Office of Procurement, Acquisition Liaison Division, National
Aeronautics and Space Administration (NASA).
ACTION: Final rule.
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SUMMARY: This document amends the NASA Federal Acquisition Regulation
Supplement (NFS) to reflect a number of miscellaneous changes dealing
with NASA internal and administrative matters, such as the NASA FAR
Supplement rewrite and reassignment of duties in the Office of
Procurement.
EFFECTIVE DATE: July 31, 1995.
FOR FURTHER INFORMATION CONTACT: Mr. David K. Beck, (202) 358-0482.
SUPPLEMENTARY INFORMATION:
Availability of NASA FAR Supplement
The NASA FAR Supplement, of which this rule is a part, is available
in its entirety on a subscription basis from the Superintendent of
Documents, Government Printing Office, Washington, DC 20402, telephone
number (202) 512-1800. Cite GPO Subscription Stock Number 933-003-
00000-1. It is not distributed to the public, either in whole or in
part, directly by NASA.
Rewrite of NASA FAR Supplement
NASA is reviewing and rewriting 48 CFR chapter 18, the NASA FAR
Supplement, in its entirety in order to implement recommendations of
the National Performance Review. During this review, NASA is
eliminating reporting requirements and making other changes in order to
reduce and simplify the regulation. This rule is part of the effort to
simplify NASA's regulations.
Summary of Changes
Part 1801--Federal Acquisition Regulations System--Unnecessary
words and sections in subparts 1801.1 to 1801.4 are eliminated. Section
1831.101 on deviations from cost principles is moved to 1804.471(c)
Part 1810--Specifications, Standards, and Other Purchase
Descriptions--Unnecessary words and duplicative policy are removed.
Part 1814--Sealed Bidding--Unnecessary words, sentences and section
are eliminated.
Subpart 1815.1--General Requirements for Negotiation--Subpart is
eliminated because it is unnecessary guidance.
Subpart 1815.4--Solicitation and Receipt of Proposals and
Quotations--Unnecessary paragraphs, sentence and words are eliminated.
Subpart 1815.5--Unsolicited Proposals--Section 1815.502 is revised
to emphasize that NASA encourages unsolicited proposals that are unique
and innovative. Sections 1815.503, 1815.504-70, and 1815.506 are
revised to remove unnecessary words.
Subpart 1815.6--Source Selection--Unnecessary paragraphs, sentence
and words are eliminated.
Subpart 1815.10--Preaward, Award, and Postaward Notifications,
Protests, and Mistakes--Unnecessary words are eliminated.
Part 1827--Patents, Data, and Copyrights--Unnecessary words are
removed.
Part 1833--Protests, Disputes, and Appeals--Paragraphs 1833.104(a)
and (d) are revised in order to correct references to FAR sections.
Part 1835--Research and Development Contracting--Unnecessary words
are removed. The following paragraphs and sections are removed because
they are covered elsewhere: 1835.003(b) (covered by FAR 35.003(b)),
1835.003-70 (covered by 1835.070(a) and 1852.235-70), 1835.003-71(a)
(covered by 1827.373(b)), 1835.003-71(b) (covered by 1835.070(c)), and
1835.071 (covered by 1846.270(a)).
Part 1837--Service Contracting--Section 1837.000 is eliminated
because it is unnecessary.
Part 1839--Acquisition of Information Resources--Unnecessary words
are removed. Revises thresholds based on current delegations from GSA.
Part 1846--Quality Assurance--Unnecessary words are removed.
Section 1846.670-2(a) and paragraph (a) of the clause at 1852.246-72
are revised to clarify that the clause applies only to deliveries to
the Government.
Part 1849--Termination--Dollar thresholds in 1849.111-71 are
revised in order to eliminate the requirement for a Board to review and
approve a Termination Contracting Officer's actions involving amounts
up to $1 million and, under complete terminations, fee up to $100,000.
1849.102-70, 1849.111-72, and 1849.111-74 are clarified. In order to
conform to FAR 49.110(a), detailed instructions in 1849.603-70(d)(1)
and (2) are replaced with references to FAR 15.808(a).
Part 1852--Solicitation Provisions and Contract Clauses--A clause
is revised as discussed under part 1846.
Part 1853--Forms--Unnecessary words in 1853.101, 1853.103,
1853.104, and 1853.105 are eliminated. The requirement in 1853.105 to
obtain approval from NASA Headquarters prior to using computer
generated forms is eliminated. Sections 1853.204, 1853.216-70 and
1853.242-70 through 1853.242-72 are revised to eliminate redundant
words. A reference in 1853.249(b) is corrected.
Subpart 1870.1--NASA Acquisition of Investigations System--
Unnecessary words are removed.
Subpart 1870.2--NASA Research Announcement System--Unnecessary
words are removed. In paragraph 16 about canceling NRA's, the reference
to the Commerce Business Daily (CBD) is removed because the CBD does
not publish cancellation notices.
Impact
NASA certifies that this regulation will not have a significant
economic effect on a substantial number of small entities under the
Regulatory Flexibility Act (5 U.S.C. 601 et seq.).
[[Page 40509]]
List of Subjects in 48 CFR Parts 1801, 1803, 1804, 1805, 1808, 1809,
1810, 1812, 1814, 1815, 1819, 1822, 1825, 1827, 1829, 1831, 1833, 1835,
1837, 1839, 1846, 1849, 1850, 1852, 1853 and 1870
Government procurement.
Thomas S. Luedtke,
Deputy Associate Administrator for Procurement.
Accordingly, 48 CFR parts 1801, 1803, 1804, 1805, 1808, 1809, 1810,
1812, 1814, 1815, 1819, 1822, 1825, 1827, 1829, 1831, 1833, 1835, 1837,
1839, 1846, 1849, 1850, 1852, 1853 and 1870 are amended as follows.
1. The authority citation for 48 CFR parts 1801, 1803, 1804, 1805,
1808, 1809, 1810, 1812, 1814, 1815, 1819, 1822, 1825, 1827, 1829, 1831,
1833, 1835, 1837, 1839, 1846, 1849, 1850, 1852, 1853, and 1870
continues to read as follows:
Authority: 42 U.S.C. 2473(c)(1).
PART 1801--FEDERAL ACQUISITION REGULATIONS SYSTEM
2. Section 1801.000 is revised to read as follows:
1801.000 Scope of part.
This part sets forth general information about the National
Aeronautics and Space Administration (NASA) Federal Acquisition
Regulation (FAR) Supplement.
Subpart 1801.1--Purpose, Authority, Issuance
1801.101 [Removed]
3. Section 1801.101 is removed.
4. Paragraphs (a) and (b) of section 1801.102 are revised to read
as follows:
1801.102 Authority.
* * * * *
(a) The National Aeronautics and Space Act of 1958 (Pub. L. 85-568;
42 U.S.C. 2451 et seq.).
(b) 10 U.S.C. chapter 137.
* * * * *
5. Paragraph (a)(3) of section 1801.104-1 is revised to read as
follows:
1801.104-1 Publication and code arrangement.
(a) * * *
(3) A separate loose-leaf edition.
* * * * *
6. Section 1801.104-2 is revised to read as follows:
1801.104-2 Arrangement of regulations.
(a) Unless otherwise stated, cross references are to parts or
subdivisions of the regulations in this chapter.
(b) The regulations in this chapter may be referred to as the NASA
FAR Supplement or the NFS.
(c) A NFS ``version'' is the basic loose-leaf edition NFS with all
NFS Directive (NFSD) change pages filed up to and including the NFSD
number that corresponds to the ``version'' number. For example, for the
1989 edition of the NFS, Version 89.3 consists of pages from NFSD 89-0
(basic NFS), with change pages filed from NFSD's 89-1, 89-2, and 89-3.
7. Section 1801.104-3 is revised to read as follows:
1801.104-3 Copies.
Subscriptions to the following publications may be obtained by
writing to Superintendent of Documents, U.S. Government Printing Office
(GPO), Washington, DC 20402, or by calling (202) 512-1800. Telephone
orders may be charged to Visa, Mastercard, or a GPO Deposit Account. A
subscription consists of the basic edition, plus all changes issued for
an indefinite period. The prices and periods of subscriptions are set
by GPO.
NASA FAR SUPPLEMENT (NFS)
GPO Subscription (Subscript.) Stock No. 933-003-00000-1
FEDERAL ACQUISITION REGULATION (FAR)
GPO Subscript. Stock No. 922-006-00000-8 (Note: The FAR is not a
NASA publication.)
Public libraries that possess title 48, Code of Federal Regulations
(CFR) are also a source of information, but this source is updated only
once each year.
8. Section 1801.104-370 is revised to read as follows:
1801.104-370 Internal dissemination.
The Office of Procurement, NASA Headquarters (Code HK), distributes
the Federal Acquisition Regulation (FAR), Federal Acquisition
Regulation Circulars (FAC), NASA FAR Supplement (NFS), NFS Directives
(NFSD), Procurement Notices (PN), and Procurement Information Circulars
(PIC) directly to NASA Headquarters offices and to installation
distribution points. Mrs. Cynthia O'Bryant (202-358-1248) is the
contact point for Headquarters personnel and the installation
distribution points. NASA center personnel may be placed on the
distribution list or may obtain extra copies by contacting the
designated distribution point for their installation. (Do not order
these documents on a NASA Form 2 from the Goddard Space Flight Center.)
9. Section 1801.105 is revised to read as follows:
1801.105 OMB approval under the Paperwork Reduction Act.
(a) NASA FAR Supplement requirements. The following OMB control
numbers apply:
------------------------------------------------------------------------
OMB control
NASA FAR Supplement segment No.
------------------------------------------------------------------------
1815.406-70(b)(5)(iii).................................. 2700-0082
1815.608-72............................................. 2700-0080
1819.................................................... 2700-0073
1819.72................................................. 2700-0078
1827.................................................... 2700-0052
1843.................................................... 2700-0054
NF 533.................................................. 2700-0003
NF 667.................................................. 2700-0004
NF 1018................................................. 2700-0017
------------------------------------------------------------------------
(b) Solicitations and contracts. Various requirements in a
solicitation or contract, generally in the statement of work, are not
tied to specific paragraphs cleared in paragraph (a) of this section,
yet require information collection or recordkeeping. The following OMB
control numbers apply to these requirements: 2700-0086 (small
purchases), 2700-0087 (solicitations that may result in bids or
proposals not exceeding $500,000), 2700-0085 (solicitations that may
result in bids or proposals exceeding $500,000), 2700-0088 (contracts
not exceeding $500,000), and 2700-0089 (contracts not exceeding
$500,000). These OMB control numbers, as applicable, shall be displayed
in the upper right hand corner of the cover page of each solicitation/
contract. Overprinting is authorized by 1853.104.
10. Subpart 1801.2 is revised to read as follows:
------------------------------------------------------------------------
Subpart 1801.2 Administration
------------------------------------------------------------------------
1801.270............ Amendment of regulation.
1801.270-1.......... Revisions.
1801.270-2.......... Procurement notices.
1801.270-3.......... Effective date.
1801.270-4.......... Numbering.
1801.271............ NASA procedures for FAR and NFS changes.
1801.272............ Procurement information circulars.
------------------------------------------------------------------------
Subpart 1801.2--Administration
1801.270 Amendment of regulation.
1801.270-1 Revisions.
The regulations in this chapter are amended by publishing
amendments in the Federal Register and by issuing NFSD's containing
loose-leaf replacement pages revising various segments of it (also see
1801.270-2). Each replacement page bears the NFSD number and page
number at the top. A vertical bar at the side of a line indicates that
a change has been made within that line.
[[Page 40510]]
1801.270-2 Procurement notices.
(a) The regulations in this chapter are amended by publishing
amendments in the Federal Register and by issuing Procurement Notices
(PN's) when it is necessary or advisable to promulgate as rapidly as
possible selected material revising this regulation in advance of an
NFSD.
(b) Unless otherwise indicated, each PN remains in effect until the
effective date of the subsequent NFSD incorporating the PN or until
specifically canceled.
1801.270-3 Effective date.
(a) Compliance with a revision to the regulations in this chapter
shall be in accordance with the NFSD or PN containing the revision.
Procurements initiated after receipt of new or revised clauses should,
to the maximum practicable extent, include such clauses.
(b) Unless otherwise stated, solicitations that have been issued,
and bilateral agreements for which negotiations have been completed,
before the receipt of new or revised contract clauses need not be
amended to include the new or revised clauses if including them would
unduly delay the procurement.
1801.270-4 Numbering.
NFSD's and PN's are numbered consecutively, prefixed by the last
two digits of the calendar year of issuance of the current edition of
the NASA FAR Supplement.
1801.271 NASA procedures for FAR and NFS changes.
(a) Informal suggestions for improving the regulations in this
chapter, including correction of errors, should be directed to the
Contract Management Division (Code HK).
(b)(1) Formal requests for changes to the FAR or the NFS should be
written and contain,
(i) A description of the problem the suggested revision is designed
to cure,
(ii) The revision in the form of a marked-up copy of the current
FAR or NFS language or the text of any additional language,
(iii) The consequences of making no change and the benefits to be
expected from a change, and
(iv) Any other information necessary for understanding the
situation, such as relationship between FAR and NFS coverage, legal
opinions, coordination with other offices, and existing agreements.
(2) Formal requests for FAR and NFS changes should be sent to the
Associate Administrator for Procurement (Code HK). Requests from
Headquarters offices should originate at the division level or higher,
while installation requests should be signed at the procurement officer
or higher level.
1801.272 Procurement Information Circulars.
(a) The Procurement Information Circular (PIC) is used for internal
dissemination of procurement-related information and directives not
suitable for inclusion in the NFS. The Contract Management Division
(Code HK) is responsible for issuing PIC's.
(b) PIC's are numbered on a calendar year basis, beginning with
number 1, prefixed by the last two digits of the year. To ensure
periodic review, PIC's normally will automatically expire on December
31 of the year of issuance.
Subpart 1801.3--Agency Acquisition Regulations
11. Paragraphs (b) introductory text, (b)(1) introductory text, and
(b)(2)(i) of section 1801.301 are revised to read as follows:
1801.301 Policy.
* * * * *
(b) All procurement policies, regulations, procedures, and forms
requiring publication for public comment in accordance with 41 U.S.C.
418b. This statute requires publication where there will be a
significant effect beyond the internal operating procedures of the
agency or a significant cost or administrative impact on contractors or
offerors.
(1) The statute does not define ``significant effect beyond the
internal operating procedures'' or ``significant cost or administrative
impact.'' Examples of policies or procedures that fall in either of
these categories are given in paragraphs (b)(1) (i) through (iv) of
this section.
* * * * *
(2) * * *
(i) Security procedures for identifying and badging contractor
personnel to obtain access at a NASA installation.
* * * * *
12. Section 1801.303 is revised to read as follows:
1801.303 Publication and codification.
Part, subpart, and section numbers 70 through 89 are reserved for
NASA FAR Supplement use.
Subpart 1801.4--Deviation from the FAR
13. Section 1801.400 is revised to read as follows:
1801.400 Scope of subpart.
This subpart prescribes the policies and procedures for authorizing
deviations from the NASA FAR Supplement and the FAR.
1801.401, 1801.402, 1801.403, 1801.404, 1801.405, 1801.470 [Removed]
14. Sections 1801.401, 1801.402, 1801.403, 1801.404, 1801.405, and
1801.470 are removed.
1801.471 [Amended]
15. and 16. In section 1801.471, paragraphs (a) and (b)(2) are
revised and paragraph (c) is added to read as follows:
1801.471 Procedure for requesting deviations.
(a) Requests for authority to deviate from the FAR or the
regulations in this chapter shall be:
(1) Submitted to the Director, Program Operations Division, Office
of Procurement, NASA Headquarters (Code HS); and
(2) Signed by the procurement officer.
(b) * * *
(2) A full description of the deviation, the circumstances in which
it will be used, and the specific contract action(s) to which it
applies;
* * * * *
(c) Requests for individual deviations from FAR cost principles
under FAR 31.101 should provide the following information:
(1) The name and phone number of the contracting officer;
(2) A copy of the contractor's request for cost allowance;
(3) The rationale for granting the deviation and supporting
information, including the benefit to the Government;
(4) The dollar amount involved; and
(5) Any other information considered relevant to the request.
PART 1803--IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF
INTEREST
1803.104-11 [Amended]
17. In paragraphs (b) and (c) of section 1803.104-11, ``(Attn: Code
HP)'' is revised to read ``(Attn: Code HS)''.
1803.303 [Amended]
18. In paragraph (a) introductory text of section 1803.303, ``(Code
HP)'' is revised to read ``(Code HS)''.
19. In paragraph (c) of section 1803.303, ``(Code HP)'' is revised
to read ``(Code HS)'', and ``Code HP'' is revised to read ``Code HS''.
1803.806 [Amended]
20. In section 1803.806, ``(Code HP)'' is revised to read ``(Code
HK)''.
[[Page 40511]]
PART 1808--REQUIRED SOURCES OF SUPPLIES AND SERVICES
Subpart 1808.6--Acquisition from Federal Prison Industries, Inc.
1808.605 [Amended]
21. In paragraph (c) of section 1808.605, ``(Code HP)'' is revised
to read ``(Code HS)''.
PART 1809--CONTRACTOR QUALIFICATIONS
Subpart 1809.1--Responsible Prospective Contractors
1809.104-70 [Removed]
22. Section 1809.104-70 is removed.
Subpart 1809.4--Debarment, Suspension, and Ineligibility
1809.404 [Amended]
23. In paragraphs (a) and (c) of section 1809.404, ``Code HP'' is
revised to read ``Code HS'' in each occurrence.
1809.405 [Amended]
24. In section 1809.405, ``(Code HP)'' is revised to read ``(Code
HS)''.
1809.405-1 [Amended]
25. In paragraph (b) of section 1809.405-1, ``(Code HP)'' is
revised to read ``(Code HS)''.
1809.405-2 [Amended]
26. In section 1809.405-2, ``(Code HP)'' is revised to read ``(Code
HS)''.
1809.406-3 [Amended]
27. In section 1809.406-3, ``(Code HP)'' is revised to read ``(Code
HS)''.
1809.407-3 [Amended]
28. In section 1809.407-3, ``(Code HP)'' is revised to read ``(Code
HS)''.
1809.408 [Amended]
29. In paragraph (d) of section 1809.408, ``(Attn: Code HP)'' is
revised to read ``(Attn: Code HS)''.
30. In paragraph (e) of section 1809.408, ``(Code HP)'' is revised
to read ``(Code HS)''.
1809.470-1 [Amended]
31. In the introductory text of section 1809.470-1, ``(Code HP)''
is revised to read ``(Code HS)''.
1809.470-3 [Amended]
32. In section 1809.470-3, ``(Code HP)'' is revised to read ``(Code
HS)''.
33. Part 1810 is revised to read as follows:
PART 1810--SPECIFICATIONS, STANDARDS, AND OTHER PURCHASE
DESCRIPTIONS
Sec.
1810.001 Definitions.
1810.002 Policy.
1810.002-70 NASA policy.
1810.002-71 Performance-based contracting.
1810.004 Selecting specifications or descriptions for use.
1810.004-70 Additional requirements.
1810.004-71 Brand-name-or-equal purchase description.
1810.007 Deviations.
1810.008 Identification and availability of specifications.
1810.008-70 Brand-name-or-equal awards.
1810.011 Solicitation provisions and contract clauses.
1810.011-70 NASA solicitation provisions and contract clauses.
Authority: 42 U.S.C. 2473(c)(1).
1810.001 Definitions.
Brand-name product means a commercial product described by brand
name and make or model number or other nomenclature by which it is
offered for sale to the public by the manufacturer, producer, or
distributor.
1810.002 Policy.
Implementation of the Metric Conversion Act of 1975, as amended,
and FAR 10.002(c), shall be in accordance with the policy section of
NMI 8010.2, Use of the Metric System of Measurements in NASA Programs.
1810.002-70 NASA policy.
Whenever a specification is deemed inadequate, the contracting
officer shall initiate action to recommend that the activity
responsible for the specification amend or revise it to obviate the
necessity for repeated departures from the specification.
1810.002-71 Performance-based contracting.
Use of performance-based specifications, where feasible, is the
preferred method for establishing contract requirements. Requiring
activities shall, to the maximum extent practicable, use performance-
based specifications, purchase descriptions and statements of work to
give contractors freedom to innovate and economize, and to hold
contractors accountable for the end results.
1810.004 Selecting specifications or descriptions for use.
(a) As required by FAR 10.004(e), contracts will include
appropriate preservation, packaging, packing, and marking requirements.
The services of packaging technicians shall be used to--
(1) Develop preservation, packaging, packing, and marking
requirements; and
(2) Assist in evaluating contractors' packaging, packing, and
marking cost estimates or charges.
(b) Unrealistic preservation, packaging, packing, and marking
requirements should be reported and changes recommended to the activity
originating the requirement and to the contracting officer.
1810.004-70 Additional requirements.
Many specifications cover several grades or types and provide for
options in methods of inspection. When such specifications are used,
the solicitation shall state specifically the grade, type, or method of
inspection on which offers are to be based.
1810.004-71 Brand-name-or-equal purchase description.
(a) Purchase descriptions containing references to one or more
brand-name products followed by ``or equal'' may be used only when
authorized by FAR 10.004(b)(3) and in accordance with this part 1810
(see 1810.008-70, 1810.011, and 1852.210-70).
(b) ``Or equal'' should not be added if it is determined under
paragraph (a) of this section that only a particular product meets the
essential requirements of the Government (e.g., when the required
supplies can be obtained only from one source (see FAR 6.302-1)).
(c) To the extent feasible, all acceptable brand-name products
should be referenced. If ``brand-name-or-equal'' is used, offerors must
be given the opportunity to offer products other than those referenced
by brand name if those products will meet the needs of the Government
in essentially the same manner.
(d) ``Brand-name-or-equal'' purchase descriptions should set forth
the salient physical, functional, or other characteristics essential to
the needs of the Government. Purchase descriptions should contain the
following characteristics, in addition to those at FAR 10.004(b)(1), to
the extent available, and include other information necessary to
describe the item:
(1) Complete common generic identification of the item.
(2) Model, make, or catalog number for each brand-name product, and
identity of the commercial catalog in which it appears.
(3) Name of manufacturer, producer, or distributor of each brand-
name product referenced (and address if company is not well known).
(e) When it is needed to describe the item required, a commercial
catalog
[[Page 40512]]
description, or pertinent extracts, may be used if the description is
identified in the solicitation as being that of the manufacturer,
producer, or distributor. The contracting officer shall ensure that a
copy of any catalog referenced (except parts catalogs) is available on
request for review by offerors at the contracting office.
(f) Offerors offering brand-name products shall not be required to
furnish samples; however, solicitations may require the submission of
samples from offerors proposing ``or equal'' products.
(g) Proposals offering products differing from brand-name products
referenced in a ``brand-name-or-equal'' purchase description shall be
considered for award if the contracting officer determines under the
provision at 1852.210-70 that the offered products meet the salient
characteristics required by the solicitation. Offers shall not be
rejected because of minor differences in design, construction, or
features that do not affect the suitability of the products for their
intended use.
(h) Except as provided in paragraph (i)(1) of this section, when a
``brand-name-or-equal'' purchase description is included in a
solicitation, the following shall be inserted after each item so
described in the solicitation for completion by the offeror:
Offering:
----------------------------------------------------------------------
Manufacturer's Name
----------------------------------------------------------------------
Brand No.
(i)(1) Where components of an end item are described in the
solicitation by a ``brand-name-or-equal'' purchase description and the
contracting officer determines that applying the provision at 1852.210-
70 to them would be impracticable, the requirements of paragraph (h) of
this section shall not apply. In such cases, if the provision is
included in the solicitation for other reasons, a statement
substantially as follows shall be included:
The provision entitled Brand Name or Equal does not apply to the
following components:
(List the components to which the provision does not apply.)
(2) If the contracting officer determines that the provision at
1852.210-70 should apply only to certain components, the requirements
of paragraph (h) of this section shall apply to them, and a statement
substantially as follows shall be included:
The provision entitled Brand Name or Equal applies to the
following components:
(List the components to which the provision applies.)
(j) The policies and procedures prescribed in paragraphs (a)
through (i) of this section apply to sealed-bid and negotiated
procurements. If use of the provision is not practicable (as may be the
case, for example, in exigency purchases), suppliers shall be informed
that proposals offering products different from the products referenced
by brand name will be considered if the contracting officer determines
that they are equal in all significant and material respects to the
products referenced.
1810.007 Deviations.
If an exception or deviation from a Federal or military
specification is required--
(a) The contracting officer shall, before issuing the solicitation,
submit a fully documented and justified request for the deviation to
the procurement officer; and
(b) The procurement officer shall comply with FAR 10.007(a).
1810.008 Identification and availability of specifications.
Each solicitation shall include the applicable specifications,
standards, plans, drawings, and other pertinent documents, or shall
state where they can be obtained or examined.
1810.008-70 Brand-name-or-equal awards.
Award documents shall identify or incorporate by reference an
identification of the specific products the contractor is to furnish.
This identification shall include any brand name and make or model
number, descriptive material, and any modifications of brand-name
products specified in the solicitation. Included in this requirement
are those instances in which (a) the description of the end item
contains ``brand-name-or-equal'' purchase descriptions of components or
of accessories related to the end item and (b) the solicitation
includes the provision at 1852.210-70 as applicable to such components
or accessories (see 1810.004-70(i)).
1810.011 Solicitation provisions and contract clauses.
1810.011-70 NASA solicitation provisions and contract clauses.
(a) When a ``brand-name-or-equal'' purchase description is used,
the contracting officer shall insert in the solicitation the provision
at 1852.210-70, Brand Name or Equal.
(b) The contracting officer shall insert the provision at 1852.210-
71, Descriptive Literature for Used Material, in solicitations
containing FAR provision 52.210-6, Listing of Used or Reconditioned
Material, Residual Inventory, and Former Government Surplus Property.
Insert the information needed to make a determination that the items to
be furnished can reasonably be expected to conform to the requirements
of the solicitation.
(c) The contracting officer may insert a clause substantially as
stated in 1852.210-72, Supplies and/or Services to be Furnished, in all
solicitations and contracts to indicate the items to be delivered.
Insert the item number, description of the supplies (see FAR 2.101 for
definition) and/or services to be furnished, quantities to be
furnished, unit and unit price (if applicable), and total dollar
amount. The column headings may be modified for what is being acquired
and the type of contract.
(d) The contracting officer shall insert a clause substantially as
stated at 1852.210-75, Packaging and Marking, in solicitations and
contracts where the packaging and marking requirements of NASA Handbook
(NHB) 6000.1 and/or MIL-STD-2073-1 and MIL-STD-2073-2 are appropriate.
Insert the applicable information for the particular procurement.
Substitute Alternate I for paragraphs (a), (b), (c), and (d) of the
basic clause if commercial packing and marking practices are to be
used. Add Alternate II if space flight item(s) are to be delivered.
PART 1812--CONTRACT DELIVERY OR PERFORMANCE
Subpart 1812.3--Priorities and Allocations
1812.302 [Amended]
34. In section 1812.302(a), the phrase ``Headquarters Acquisition
Liaison Division, Code HP'' is revised to read ``Headquarters Program
Operations Division, Code HS''.
1812.303-70 [Amended]
35. In paragraph (e) of section 1812.303-70, the phrase ``The
Headquarters Acquisition Liaison Division (Code HP)'' is revised to
read ``The Headquarters Program Operations Division (Code HS)'', and at
the end of the paragraph, ``Code HP'' is revised to read ``Code HS''.
PART 1814--SEALED BIDDING
Subpart 1814.2--Solicitation of Bids
1814.201-2 [Removed]
36. Section 1814.201-2 is removed.
37. and 38. In section 1814.201-5, paragraph (a) is revised,
paragraph (b) is removed, and paragraph (c) is redesignated as
paragraph (b) to read as follows:
[[Page 40513]]
1814.201-5 Part IV--Representations and instructions.
Section M--Evaluation factors for award.
(a) The contracting officer shall state if award is to be made in
the aggregate (all-or-none basis) or by specified groups of items.
(b) * * *
1814.201-670 [Amended]
39. In section 1814.201-670, paragraph (b), a period is added after
``1814.201-5(a)'', and the phrase ``and (b) and FAR 52.214-10 and
52.215-16.'' is removed.
40. In section 1814.201-670, paragraph (c), the last sentence is
removed.
41. Paragraph (d) of section 1814.201-670 is revised to read as
follows:
1814.201-670 NASA solicitation provisions.
* * * * *
(d) If a pre-bid conference is planned, the contracting officer
shall insert the provision at 1852.215-77, Preproposal/Prebid
Conference. See 1815.407-70(f).
Subpart 1814.4--Opening of Bids and Award of Contract
42. Section 1814.404-1 is revised to read as follows:
1814.404-1 Cancellation of invitations after opening.
(a) The authority to make the determination at FAR 14.404-1(c) is
delegated to the contracting officer, except as provided in paragraph
(b)(2) of this section.
(b) A determination under FAR 14.404-1(c)(6) or (7) that includes
an authorization to complete the acquisition through negotiation (see
FAR 14.404-1(e)(1)) shall be approved by the procurement officer, who
shall obtain the advice of the Chief Counsel before making this
determination.
1814.404-170 [Removed]
43. Section 1814.404-170 is removed.
44. Paragraph (a) of section 1814.406-3 is revised to read as
follows:
1814.406-3 Other mistakes disclosed before award.
(a) The Associate Administrator for Procurement is authorized to
permit the correction of bids under FAR 14.406-3(a) and (b) and the
award of a contract under FAR 14.406-3(d). Procurement officers are
authorized to permit withdrawal of bids when the conditions in FAR
14.406-3(c) are met.
* * * * *
45. In paragraph (b) of section 1814.406-3 the comma after the word
``and'' is removed and the phrase ``as an alternative,'' is removed.
1814.406-4 [Amended]
46. In the introductory text of section 1814.406-4, the phrase
``installation's Office of'' is removed and paragraph (c) of section
1814.406-4 is removed.
47. Paragraph (a) of section 1814.407-1 is revised to read as
follows:
1814.407-1 General.
(a) A notice of award as a specific document is used when the
contracting officer needs to inform a responsible bidder that its offer
was determined to be the most advantageous to the Government
(considering only price and price-related factors) and that the formal
award will be made upon satisfaction of specified pre-performance
conditions.
* * * * *
1814.407-1 [Amended]
48. In paragraph (b) of section 1814.407-1, in the first sentence,
the phrase ``in sealed bidding'' is removed.
49. In paragraph (c) of section 1814.407-1, in the first sentence,
the phrase ``in sealed bidding'' is removed, and in the third sentence,
the phrase `` for use in sealed bidding'' is removed.
50. In paragraph (d) of section 1814.407-1, in the first sentence,
the phrase ``in sealed bidding'' is removed.
51. In paragraph (e) of section 1814.407-1, in the second sentence,
the phrase ``a reasonable date certain,'' is removed.
52. In section 1814.407-1, paragraph (f) is revised to read as
follows:
1814.407-1 General.
* * * * *
(f) The notice of award can be issued by any formal written means
such as a letter, telegram or electronic means. The notice should be
substantially the same as the following format.
FORMAT * * *
* * * * *
53. In section 1814.407-1, under NOTES at the end of FORMAT, in
paragraph (g), the phrase ``a reasonable date certain,'' is removed.
PART 1815--CONTRACTING BY NEGOTIATION
Subpart 1815.1 [Removed]
54. Subpart 1815.1 is removed.
Subpart 1815.4--Solicitation and Receipt of Proposals and
Quotations
55. Section 1815.405-1 is revised to read as follows:
1815.405-1 General.
(a) Solicitations for information or planning purposes are
particularly useful when a procurement can be properly negotiated only
after potential offerors have had an opportunity to become familiar
with a large quantity of data, or when it would be desirable to have
industry participation in formulating and reviewing complex
specifications or requirements.
(b) Solicitations for information or planning purposes may not be
used as a means for prequalifying offerors.
(c) Requirements for automatic data processing equipment or support
services to perform specified operations or achieve certain results may
be suitable for advance review and comment by the private sector when
diverse approaches to accomplishing mission objectives may be feasible.
The material made available in advance may vary from a comprehensive
draft of a proposed requirement to a partial draft; e.g., statement of
work and/or specifications or reports.
1815.405-70 [Removed]
56. Section 1815.405-70 is removed.
1815.405-71 [Amended]
57. In section 1815.405-71, paragraph (b) introductory text, the
first sentence is removed.
58. In section 1815.406, paragraph (b) is revised to read as
follows:
1815.406 Preparing requests for proposals (RFP's) and requests for
quotations (RFQ's).
(a) * * *
(b) When advisable, particularly in the case of research and
development, proposals shall be requested in two parts:
(1) An unpriced technical proposal, and
(2) A cost proposal cross-referenced to the technical proposal (see
1815.406-70).
* * * * *
59. In section 1815.406-5, paragraph (b)(1) is removed, the
existing paragraphs (b)(2) through (b)(8) are redesignated as
paragraphs (b)(1) through (b)(7), and paragraph (b)(8) is added to read
as follows:
1815.406-5 Part IV--Representations and instructions.
* * * * *
(b) * * *
(8) See 1846.470.
60. The introductory text of section 1815.412 is revised to read as
follows:
[[Page 40514]]
1815.412 Late proposals and modifications.
For broad agency announcements listed in 1835.016 and SBIR Phase I
and Phase II solicitations--
* * * * *
Subpart 1815.5--Unsolicited Proposals
1815.502 [Amended]
61. In section 1815.502, the phrase ``of unsolicited proposals'' is
revised to read ``of unique and innovative unsolicited proposals''.
1815.503 [Amended]
62. In section 1815.503, paragraph (a), the last sentence is
removed.
63. In section 1815.503, paragraph (b), in the first sentence the
phrase ``to agencies in addition to NASA,'' is revised to read ``to
other agencies or to JPL in addition to NASA,'' and in the last
sentence, the phrase ``to another agency for action'' is revised to
read ``to another agency or JPL for action''.
64. In paragraph (c) of section 1815.503, the first sentence is
removed.
1815.504-70 [Amended]
65. In section 1815.504-70, ``(Code HP)'' is revised to read
``(Code HK)'', the phrase ``The Headquarters Office of Small and
Disadvantaged Business Utilization (Code K)'' is revised to read ``The
Headquarters Office of Procurement (Code HK)'', and the last sentence
is removed.
1815.506 [Amended]
66. In section 1815.506, paragraph (a)(3) is removed.
Subpart 1815.6--Source selection
67. Section 1815.611 is revised to read as follows:
1815.611 Best and final offers.
For competitive procurements of $25 million or more, approval of
the Associate Administrator for Procurement (Code HS) is required
before reopening discussions and requesting additional best and final
offers. For competitive procurements with values less than $25 million,
approval of the Procurement Officer is required.
1815.613-71 [Amended]
68. In section 1815.613-71, paragraph (a) designation and heading
is removed and paragraph (b) is removed.
Subpart 1815.10--Preaward, Award, and Postaward Notifications,
Protests, and Matters
69. In section 1815.1003-2, paragraph (a) introductory text is
revised to read as follows:
1815.1003-2 Policy.
(a) NASA shall debrief an unsuccessful competitor in accordance
with FAR 15.1003. Debriefings shall be consistent with--
* * * * *
PART 1822--APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS
Subpart 1822.4--Labor Standards for Contracts Involving
Construction
1822.406-13 [Amended]
70. In section 1822.406-13, ``(Attn: Code HP)'' is revised to read
``(Attn: Code HK)'', and the phrase ``The Acquisition Liaison Division
(Code HP)'' is revised to read ``The Contract Management Division (Code
HK)''.
Subpart 1822.8--Equal Employment Opportunity
1822.804-2 [Amended]
71. In section 1822.804-2, ``(Code HP)'' is revised to read ``(Code
HK)''.
1822.807 [Amended]
72. In section 1822.807, the phrase ``the Headquarters Acquisition
Liaison Division (Code HP)'' is revised to read ``the Headquarters
Contract Management Division (Code HK)''.
PART 1825--FOREIGN ACQUISITION
Subpart 1825.72--Limitation on Strategic Defense Initiative (SDI)
Contracting
1825.7200 [Amended]
73. In section 1825.7200, the phrase ``the Acquisition Liaison
Division (HP)'' is revised to read ``the Program Operations Division
(HS)''.
PART 1827--PATENTS, DATA, AND COPYRIGHTS
Subpart 1827.3--Patent Rights Under Government Contracts
1827.372 [Amended]
74. In paragraph (a)(2) of section 1827.372, the phrase ``The
objectives of NASA policy with'' is revised to read ``The objectives
with'' and the phrase ``to provide their widest'' is revised to read
``to provide widest''.
75. In paragraph (a)(3) of section 1827.372, the phrase ``the
objectives of NASA policy with'' is revised to read ``the objectives
with'', and the phrase ``used in a manner to promote'' is revised to
read ``used to promote''.
76. In paragraph (b)(1) of section 1827.372, the phrase ``will be
served by this action.'' is revised to read ``will be served.'' and the
phrase ``request for such waiver'' is revised to read ``request for
waiver''.
77. In paragraph (i)(1) of section 1827.372, the phrase ``structure
of which the contractor is a part, and includes'' is revised to read
``structure, and includes''.
78. In paragraph (i)(2) of section 1827.372, the citation ``14 CFR
part 1245, subpart 2, Licensing of NASA Inventions'' is revised to read
``37 CFR part 404, Licensing Government Owned Inventions'', and the
citation ``14 CFR 1245.211'' is revised to read ``37 CFR 404.10''.
1827.373 [Amended]
79. In paragraph (a)(1) to section 1827.373, the phrase
``exceptions set forth in paragraph'' is revised to read ``exceptions
in paragraph''
80. In paragraph (b) introductory text of section 1827.373, the
phrase ``in any NASA contract (and solicitation therefor) with'' is
revised to read ``in all NASA solicitations and contracts with''.
81. In paragraph (c) introductory text of section 1827.373, the
phrase ``under the circumstances set forth in paragraphs (c)(1) through
(3) of this section'' is revised to read ``under the following
circumstances:''.
82. In paragraph (c)(1) of section 1827.373, the phrase ``For the
purpose of this paragraph (c)(1)'' is revised to read ``For this
purpose''.
83. In paragraph (c)(2) of section 1827.373, the phrase ``agency
for which the contract is to be placed does'' is revised to read
``agency does''.
84. In paragraph (d) of section 1827.373, the phrase ``to advise
prospective contractors'' is revised to read ``to advise offerors''.
85. Paragraph (f) of section 1827.373 is removed and paragraph (g)
is redesignated as paragraph (f) and amended by adding a period after
the word ``organization'' and removing the phrase ``but the matter is
uncertain at the time of solicitation (e.g, the procurement is not a
set-aside and is not sole source to a large business).''
1827.374-1 [Amended]
86. In paragraphs (a) and (b) of section 1827.374-1, the phrase
``In any NASA contract'' is revised to read ``In any contract''.
87. In paragraph (c) of section 1827.374-1, the phrase ``subpart 1,
shall apply'' is revised to read ``subpart 1, apply'' and the phrase
``under any NASA contract'' is revised to read ``under any contract''.
88. In section 1827.374-1, paragraph (f) is revised to read as
follows:
[[Page 40515]]
1827.374-1 General.
* * * * *
(f) Revocation or modification of contractor's minimum rights.
Revocation or modification of the contractor's license rights (see
1827.372(i)(2)) shall be in accordance with 37 CFR 404.10, for subject
inventions made and reported under any contract with other than a small
business firm or a nonprofit organization, and in accordance with FAR
27.304-1(f) for subject inventions made and reported under any contract
with a small business firm or a nonprofit organization. The
contractor's right to appeal a determination to revoke or modify any
such license shall be in accordance with 37 CFR part 404, Licensing of
Government Owned Inventions.
* * * * *
89. In paragraph (g) to section 1827.374-1, the phrase ``under any
NASA contract'' is revised to read ``under any contract''.
1827.374-3 [Amended]
90. In paragraph (a) of section 1827.374-3, the phrase ``If a NASA
contract'' is revised to read ``If a contract''.
1827.375-1 [Amended]
91. In paragraph (b)(1) of section 1827.375-1, the phrase ``for the
NASA installation'' is revised to read ``for the installation'' and the
phrase ``made by use of the clause'' is revised to read ``made in the
clause''.
92. In paragraph (b)(2)(ii) of section 1827.375-1, the word
``NASA'' is removed.
93. In paragraph (b)(4) of section 1827.375-1, the phrase ``at the
request of the contractor or on their own initiative,'' is removed.
1827.375-2 [Amended]
94. In paragraphs (a)(1) introductory text and (a)(2) of section
1827.375-2, the word ``NASA'' is removed.
1827.375-3 [Amended]
95. In paragraph (a) introductory text of section 1827.375-3, the
phrase ``review, as necessary, the'' is revised to read ``review the''
and the word ``their'' is removed.
96. In paragraph (e)(3) of section 1827.375-3, the phrase
``obligations imposed upon the contractor by'' is removed.
97. In paragraph (f) of section 1827.375-3, the word ``ordinarily''
is removed.
Subpart 1827.4--Rights in Data and Copyrights
1827.404 [Amended]
98. In paragraph (e)(1) of section 1827.404, the phrase
``accordance with NASA policy'' is revised to read ``accordance with
policy''.
99. In paragraph (e)(3) of section 1827.404, the word ``itself'' is
removed.
100. In paragraph (g) of section 1827.404, the phrase ``correct, or
adding or correcting, any'' is revised to read ``correct any''.
1827.405 [Amended]
101. In paragraph (a)(1) of section 1827.405, the phrase ``the NASA
contracting officer or the NASA contract'' is revised to read ``the
contracting officer or the contract''.
102. In paragraph (a)(3) of section 1827.405, the word ``NASA'' is
removed.
1827.406 [Amended]
103. In paragraph (a) of section 1827.406, the phrase ``for most
needs'' is removed.
104. In paragraph (b)(1) introductory text of section 1827.406, the
phrase ``that may be'' is removed, and the word ``NASA'' is removed.
105. In paragraph (b)(1)(i) of section 1827.406, the word
``overall'' is removed.
106. In paragraph (b)(1)(ii) of section 1827.406, the phrase ``of
the contract work'' is revised to read ``of the contract''.
107. In paragraph (b)(1)(iii) of section 1827.406, the word
``work'' is removed.
108. In paragraph (b)(1)(v) of section 1827.406, the phrase ``of
the contract'' is removed.
109. In paragraph (b)(2) of section 1827.406, the word ``entire''
is removed, the phrase ``under the contract'' is removed, and the
phrase ``ensure appropriate distribution of the required reports'' is
revised to read ``ensure distribution of the reports''.
1827.409 [Amended]
110. In paragraph (a) of section 1827.409, the last sentence is
removed.
111. In paragraph (b) of section 1827.409, the phrase ``in the
notice'' is removed, and the word ``installation'' is removed.
112. In paragraphs (e), (f), and (g) of section 1827.409, the word
``as'' is removed.
113. In paragraph (h) of section 1827.409, the phrase ``the clause
at'' is removed.
114. In paragraph (i) of section 1827.409, the word ``at'' is
removed.
Subpart 1827.6--Foreign License and Technical Assistance Agreements
1827.670-1 [Amended]
115. In section 1827.670-1, the phrase ``by the NASA contracting
officer'' is revised to read ``by the contracting officer''.
PART 1829--TAXES
Subpart 1829.2--Federal Excise Taxes
1829.203 [Amended]
116. In paragraph (a) of section 1829.203, the phrase ``the
Acquisition Liaison Division (Code HP)'' is revised to read ``the
Contract Management Division (Code HK)''.
PART 1831--CONTRACT COST PRINCIPLES AND PROCEDURES
Subpart 1831.1--[Removed]
117. Subpart 1831.1 is removed.
PART 1833--PROTESTS, DISPUTES, AND APPEALS
1833.103 [Amended]
118. In paragraph (c) of section 1833.103, the phrase ``the
Acquisition Liaison Division (Code HP)'' is revised to read ``the
Program Operations Division (Code HS)''.
119. In section 1833.104 paragraph (a) is revised to read as
follows:
1833.104 Protests to GAO.
(a) General procedures. (1) NASA personnel shall take no action to
respond to or resolve any protest filed with GAO other than in
accordance with this part.
(2) The notices required by FAR 33.104(a)(2) shall be made by the
contracting officer.
(3) Upon receiving any communication from a protester or the GAO
regarding a protest, the cognizant procurement officer shall
immediately contact Code HS for guidance. Conversely, upon Headquarters
receipt of notice from GAO of the filing of a protest, Code HS shall
immediately notify the cognizant procurement officer. This is usually
done via telephone and constitutes the official notice to the
installation that a protest has been filed.
(4) Within 3 work days of being notified, the contracting officer
shall forward to Headquarters (Code HS) a copy of the procurement file
including all documents referred to in FAR 33.104(a)(3)(ii) (A) through
(G) and any others requested by Code HS. The contracting officer's
statement (FAR 33.104(a)(3)(ii)(H)) shall be forwarded
[[Page 40516]]
no later than ten work days after the contracting officer has been
notified. The contracting officer's statement shall receive the
concurrence of the installation Chief Counsel. If more time is needed,
requests for extension may be made by telephone to Headquarters, Code
HS.
(5) When the GAO elects to use its express option procedure, the
contracting officer's statement shall be forwarded to Code HS within
six work days after the contracting officer has been notified. If that
is not possible, a report to Code HS shall be made by telephone.
(6) In consultation with the Office of General Counsel,
Headquarters (Code HS) shall provide the information required by FAR
33.104(a) to the GAO.
* * * * *
120. In paragraph (b)(1) of section 1833.104, ``(Code HP)'' is
revised to read ``(Code HS)'' and ``Code HP'' is revised to read ``Code
HS''.
121. In paragraphs (c) (1) and (2) of section 1833.104, ``(Code
HP)'' is revised to read ``(Code HS)'' and ``Code HP'' is revised to
read ``Code HS''.
122. In section 1833.104, the first sentence of paragraph (d) is
revised to read as follows, and in the last sentence, ``(Code HP)'' is
revised to read ``(Code HS)'':
``If the protester in its protest statement or later in the process
requests documents, the contracting officer shall forward them to Code
HS with the documents required by FAR 33.104(a)(3), within three work
days of receipt of the request.''
123. In paragraph (e) of section 1833.104, ``Code HP'' is revised
to read ``Code HS''.
PART 1835--RESEARCH AND DEVELOPMENT CONTRACTING
1835.003 [Amended]
124. In section 1835.003, paragraph (b) is removed and the existing
paragraph (c) is redesignated as paragraph (b), and in the newly
designated paragraph (b), the phrase ``for NASA policy'' is revised to
read ``for policy''.
1835.003-70, 1835.003-71 [Removed]
125. Sections 1835.003-70 and 1835.003-71 are removed.
1835.015 [Amended]
126. In section 1835.015, paragraph (b), the phrase ``For NASA
policy'' is revised to read ``For policy''.
127. Section 1835.016-70 is revised to read as follows:
1835.016-70 NASA Research Announcements.
(a) Scope. This subsection 1835.016-70 prescribes regulations and
procedures for the use of a NASA Research Announcement (NRA), a form of
broad agency announcement (see FAR 6.102(d)(2)). An NRA is used to
announce research interests and, after peer or scientific review using
factors in the NRA, select proposals for funding. Unlike an RFP
containing a statement of work or specification to which offerors are
to respond, an NRA provides for the submission of competitive project
ideas, conceived by the offerors, in one or more program areas of
interest to NASA. The NRA is intended to be used for those research
procurements for which it would be impossible to draft an adequate RFP
in sufficient detail without restraining the technical response and
thus hindering the competition of ideas. An NRA shall not be used in
place of an RFP when the procurement requirement is narrowly defined
and it is necessary to use a detailed description or specification.
(b) Issuance. (1) Each NRA shall be assigned a unique number in
accordance with 1804.7102-1.
(2) NRAs may remain open for proposal submission for a maximum of
one year. They may not be amended or modified once issued, but may be
reissued by assigning a new number and resynopsizing. (See also
paragraph (g) of this section.) NRAs should remain open for at least 90
days.
(3) Before issuance, each field-generated NRA shall be concurred in
by the procurement officer and approved by the installation's director
or a designee, who shall serve as or designate a selecting official.
Before issuance, each Headquarters-generated NRA shall be concurred in
by General Counsel (Code GK) and the Director, Headquarters Acquisition
Division (Code HW) and approved by the cognizant Program Associate
Administrator or a designee, who shall serve as or designate a
selecting official. If a Headquarters-generated NRA may result in
awards by a NASA field installation, the concurrence of that
installation's procurement officer may be sought in place of or in
addition to Code HW's concurrence.
(4) The contracting officer shall assure that the NRA is synopsized
in the Commerce Business Daily (CBD). The synopsis required by FAR
35.016(c) satisfies the synopsis requirement at FAR 5.201; the synopsis
contemplated by FAR 5.205 is not required. The synopsis shall be brief
and provide the address for obtaining a copy of the NRA. The technical
part of the synopsis is to describe an area of interest and should not
exceed 50 words.
(5) The NRA shall be prepared, printed, and distributed by or under
the direction of the selecting official. Distribution shall not begin
until the concurrence of the procurement officer has been obtained and
the contracting officer has confirmed that the synopsis requirements
have been met. The NRA shall be distributed to each office responsible
for receipt of unsolicited proposals and to the Office of Procurement
(Code HS).
(c) Content. The NRA shall consist of the following items in the
order shown. This entire package shall be provided in response to
requests.
(1) Cover. The cover shall display:
(i) ``OMB Approval Number 2700-0087'' in the upper right corner.
(ii) Title (centered, in uppercase).
(iii) ``NASA Research Announcement Soliciting Research Proposals
for the Period Ending ________ '' (centered, on three lines, two inches
below the title; insert closing date).
(iv) NRA number (centered, two inches below closing date).
(v) Official address for office issuing NRA (centered, at bottom of
cover).
(2) Summary and Supplemental Information.
(i) The Summary and Supplemental Information shall not exceed two
pages and shall include:
(A) Title (centered, in uppercase).
(B) Introductory paragraphs describing the purpose of the NRA and
the period for receipt of proposals. When proposals received during
this period may be grouped for evaluation at separate times, the
introductory paragraphs shall indicate when evaluations are planned and
shall include the following remark:
A proposal that is scientifically and programmatically
meritorious, but that cannot be accepted during its initial review
under an NRA because of funding uncertainties, may be included in
subsequent reviews unless the offeror requests otherwise.
(C) NRA number.
(D) Address for submitting proposals, including ``ATTN: NRA
______.'' (Insert NRA number.)
(E) Copies required.
(F) Selecting official's title.
(G) Name, address, and telephone number for additional technical
information.
(H) Name and telephone number of contracting office point of
contact for administrative and contractual information.
(I) Additional instructions supplementing the Instructions for
Responding to NASA Research
[[Page 40517]]
Announcements for Solicited Research Proposals (see subpart 1870.2).
Such information shall be kept to the minimum necessary and shall cite
specific ``Instructions'' paragraphs supplemented.
(J) When awards will be chargeable to funds of the new fiscal year
and the NRA is to be issued before funds are available, the NRA shall
contain a statement as follows:
Funds are not presently available for awards under this NRA. The
Government's obligation to make awards is contingent upon the
availability of appropriated funds from which payment can be made
and the receipt of proposals that NASA determines are acceptable for
award under this NRA.
(ii) The Summary and Supplemental Information may include estimates
of the amount of funds that will be available and the number of
anticipated awards. A breakdown of the estimates by research area may
also be shown.
(iii) The Summary and Supplemental Information may indicate that
proposals submitted under an earlier NRA and held for subsequent
reviews will be considered and need not be resubmitted. The earlier NRA
shall be identified by number in the following statement:
Proposals for which no selection decision was made under NRA
______ and held for subsequent reviews will be considered under this
NRA and need not be resubmitted. (Insert NRA number).
(3) Technical Description. The first page shall contain the NRA
number and title at the top. A brief description not exceeding two
pages is preferable, but it should be detailed enough to enable ready
comprehension of the research areas of interest. Specifications
containing detailed statements of work should be avoided. Any program
management information included must be limited to matters that are
essential for proposal preparation.
(4) Instructions for Responding to NASA Research Announcements. The
NRA shall contain instructions in accordance with 1870.203.
(d) Unsolicited proposals. (1) Unsolicited proposals for new
efforts that are within the scope of an open NRA shall be evaluated in
accordance with 1815.506(b).
(2) Unsolicited proposals for renewal of ongoing efforts that are
within the scope of an open NRA shall be evaluated in accordance with
1815.505-70.
(3) A broad agency announcement is not an ``acquisition
requirement'' as the term is used in FAR 15.507(a)(2).
(e) Receipt of proposals, evaluation, and selection. (1) Proposals
shall be protected as provided in 1815.508-70 and 1815.509-70.
(2) Evaluation, selection, and award may occur during or after the
period established for receipt of proposals. Late proposals and
modifications shall be treated in accordance with 1815.412 (a) and (b).
(3) When more than one time is established in the NRA for
evaluating proposals, proposals received prior to the time established
will be considered as part of the initial group to be evaluated.
Subsequent groups of proposals to be evaluated shall be formed from
those proposals received after the time established for the earlier
evaluation groups and prior to the time established for a subsequent
group, along with those proposals, if any, held over under paragraph
(e)(8) of this section.
(4) The selection decision shall be made following peer or
scientific review of a proposal. Peer or scientific review shall
involve (i) evaluation, outside NASA, by a discipline specialist in the
area of the proposal, (ii) evaluation by an in-house specialist, or
(iii) both. Evaluation by specialists outside NASA shall be conducted
subject to the conditions in FAR 15.413-2(f) and NFS 1815.413 and
1815.413-2. In particular, the selecting official shall ensure
compliance with FAR 15.413-2(f)(5) regarding the designation of outside
evaluators and avoidance of conflicts of interest. After receipt of a
proposal and before selection, scientific or engineering personnel
shall communicate with an offeror, regarding the proposal, only for the
purpose of clarification, as defined in FAR 15.601, or in order to
understand the meaning of some aspect of the proposal that is not
clear, or in order to obtain confirmation or substantiation of a
proposed approach, solution, or cost estimate.
(5) Competitive range determinations shall not be made, and best
and final offers shall not be requested.
(6) Part of a proposal may be selected unless the offeror requests
otherwise. In addition, changes to a selected proposal may be sought if
(i) the ideas or other aspects of the proposal on which selection is
based are contained in the proposal as originally submitted, and are
not introduced by the changes; and (ii) the changes sought would not
involve a material alteration to the requirements stated in the NRA.
Changes that would affect a proposal's selection shall not be sought.
When changes are desired, they may be described to the contracting
officer under paragraph (e)(10)(ii) of this section, or the selecting
official may request revisions from the offeror. The changes shall not
transfer information from one offeror's proposal to another offeror
(see FAR 15.610(d)(2)). When collaboration between offerors would
improve proposed research programs, collaboration may be suggested to
the offerors.
(7) The basis for selection of a proposal shall be documented in a
selection statement applying the evaluation factors in the NRA. The
selection statement represents the conclusions of the selecting
official and must be self-contained. It shall not incorporate by
reference the evaluations of the reviewers.
(8) A proposal that is scientifically and programmatically
meritorious, but that is not selected during its initial review under
an NRA, may be included in subsequent reviews unless the offeror
requests otherwise. If the proposal is not to be held over for
subsequent reviews, the offeror shall be notified that the proposal was
not selected for award.
(9) The selecting official shall notify each offeror whose proposal
was not selected for award and explain generally why the proposal was
not selected. If requested, the selecting official shall arrange a
debriefing under 1815.1003, with the participation of a contracting
officer.
(10) The selecting official shall forward to the contracting
officer--
(i) The results of the technical evaluation, including the total
number of proposals received under the NRA by the time of selection,
the selection statement, and the proposal(s) selected for funding;
(ii) A description of any changes desired in any offeror's
statement of work, including the reasons for the changes and any effect
on level of funding;
(iii) If a contract will be used to fund the proposal, a
description of deliverables, including technical reports, and delivery
dates, consistent with the requirements of the NRA;
(iv) A procurement request;
(v) Comments on the offeror's cost proposal (either the selecting
official's comments, which may be based on the reviewers' comments, or
copies of the reviewers' comments with any different conclusions of the
selecting official); these comments shall address the need for and
reasonableness of travel, computer time, materials, equipment,
subcontracted items, publication costs, labor hours, labor mix, and
other costs; and
(vi) A copy of the selected proposal as originally submitted, any
revisions, and any correspondence from the successful offeror.
[[Page 40518]]
(11) The selecting official may provide to the contracting officer
copies of the reviewers' evaluations. Reviewers' names and institutions
may be omitted.
(12) The selecting official may notify each offeror whose proposal
was selected for negotiation.
(i) The notification shall state that--
(A) The proposal has been selected for negotiation;
(B) The offeror's business office will be contacted by a
contracting officer, who is the only official authorized to obligate
the Government; and
(C) Any costs incurred by the offeror in anticipation of an award
are at the offeror's risk.
(ii) The notification may identify which award instrument has been
recommended.
(f) Award. If a contract is selected as the award instrument (see
FAR 35.003(a) and 1835.003(a)), the contracting officer shall--
(1) Advise the offeror that the Government contemplates entering
into negotiations; the type of contract contemplated; and the estimated
award date, level of effort, and delivery schedule;
(2) Send the offeror a model contract, if necessary, including
modifications contemplated in the offeror's statement of work, and
request agreement or identification of any exceptions (the contract
statement of work may summarize the proposed research, state that the
research shall be conducted in accordance with certain technical
sections of the proposal (which shall be identified by incorporating
them into the contract by reference), and identify any changes to the
proposed research);
(3) Request the offeror to complete and return certifications and
representations and Standard Form 33, Solicitation, Offer, and Award,
or other appropriate forms;
(4) Conduct negotiations in accordance with FAR subparts 15.8 and
15.9, as applicable;
(5) Award a contract by transmitting written notice of the award;
and
(6) Comply with FAR subparts 4.6 and 5.3 on contract reporting and
synopses of contract awards.
(g) Cancellation of an NRA. When program changes, program funding,
or any other reasons require cancellation of an NRA, the office issuing
the NRA shall notify potential offerors by using the mailing list for
the NRA.
1835.070 [Amended]
128. In paragraph (b) to section 1835.070, the word ``either'' is
removed.
1835.071 [Removed]
129. Section 1835.071 is removed.
PART 1837--SERVICE CONTRACTING
1837.000 [Removed]
130. Section 1837.000 is removed.
PART 1839--ACQUISITION OF FEDERAL INFORMATION PROCESSING RESOURCES
131. In section 1839.7001, in paragraph (a), ``2410.1E'' is revised
to read ``2410.1'', and paragraph (b) is revised to read as follows:
1839.7001 Policy.
(a) * * *
(b) The Designated Senior Official (DSO), the Chief Information
Officer (Code A), has responsibility and accountability for
interpreting, applying, and overseeing the implementation of the
Federal Information Resources Management Regulations (FIRMR) (41 CFR
chapter 201) within NASA.
132. In section 1839.7003-1, paragraphs (a)(2) and (c) are revised
to read as follows:
1839.7003-1 Responsibility.
* * * * *
(a) * * *
(2) Timely submission of APRs to Headquarters Code JTD in
accordance with 1839.7003-5.
* * * * *
(c) The Senior Installation IRM Official (SIIO) is responsible for
formally concurring on all APRs.
133. In section 1839.7003-2, paragraph (b) introductory text is
revised to read as follows:
1839.7003-2 FIRMR applicability and procurement authority
certification.
* * * * *
(a) * * *
(b) Determine if the agency has authority to acquire the FIP
resources by virtue of a specific agency or regulatory delegation, or
if a specific acquisition delegation must be obtained. This requires
comparing the total estimated dollar value of all the FIP resources to
be acquired to the criteria and thresholds specified in FIRMR 41 CFR
201-20.305. NASA may contract for FIP resources without obtaining a
specific acquisition delegation when the total dollar value of FIP
resources, including all optional quantities and periods over the life
of the contract, does not exceed the authority delegated from GSA;
except that the dollar value for a specific make and model
specification or for requirements available from only one responsible
source may not exceed the authority delegated from GSA.
* * * * *
134. In section 1839.7003-2, paragraphs (b)(1) through (b)(4) are
removed and paragraphs (b)(5) through (b)(7) are redesignated as
paragraphs (b)(1) through (b)(3).
135. In the certification format of the newly designated paragraph
(b)(1) to section 1839.7003-2, ``NHB 2410.1E'' is revised to read ``NHB
2410.1''. 136. In section 1839.7003-3, paragraph (e) is revised to read
as follows:
1839.7003-3 GSA nonmandatory MAS contracts.
* * * * *
(e) Use the competitive threshold authority delegated from GSA for
obtaining a DPA when use of a GSA nonmandatory MAS contract is a
competitive procedure relative to FAR part 6. Use the noncompetitive
threshold authority delegated from GSA when use of a GSA nonmandatory
MAS contract is a noncompetitive procedure relative to FAR part 6.
* * * * *
137. In section 1839.7003-4, paragraph (a) introductory text is
revised to read as follows:
1839.7003-4 APR format.
(a) (FIRMR) 41 CFR 201-20.305-3 requires NASA to prepare APRs as
indicated by instructions in the FIRMR Bulletin series. APRs under the
Trail Boss Program will be submitted in the format provided in FIRMR
Bulletin C-7, entitled ``Trail Boss Program,'' as modified by Enclosure
C-5B of NHB 2410.1. APRs for all other FIP resources, will be submitted
in the format provided in FIRMR Bulletin C-5, entitled ``Instructions
for Preparing an Agency Procurement Request (APR),'' as modified by
Enclosure C-4B of NHB 2410.1.
* * * * *
138. In section 1839.7003-4, paragraphs (a)(1) through (a)(5) are
removed, paragraph (b) is redesignated as paragraph (c), and paragraph
(a)(6) is redesignated as paragraph (b).
139. Section 1839.7003-5 is revised to read as follows:
1839.7003-5 APR submission.
(a) The contracting officer shall forward the original of the APR
submittal (the APR and all required documentation) to Headquarters Code
JTD, with a transmittal letter (see NHB 2410.1, Enclosures C-4A and C-
5A) signed by the procurement officer. Include a 5\1/4\ '' or 3\1/2\ ''
diskette, formatted for use on a DOS 3.3, or higher compatible,
personal computer, that contains a WordPerfect 5.0 or 5.1 or ASCII
format of the APR.
[[Page 40519]]
(b) APR's should be submitted as soon as, but not before, the FRDD
and other documentation (waivers, JOFOCs, procurement plans, or ASM
minutes, as appropriate) have been completed and approved in final form
within the Agency.
140. In section 1839.7003-6, paragraphs (b) and (c) are revised to
read as follows:
1839.7003-6 DPA amendments.
(a) * * *
(b) Amendments to a previously submitted or approved specific
acquisition DPA should follow the same procedures and employ the same
format as that required by the current FIRMR and (NFS) 48 CFR part
1839. For such an APR, see NHB 2410.1, Enclosure C-3, paragraph 2. The
existing documentation supporting the acquisition should be reviewed
and certified by the procurement officer as to its timeliness. If this
documentation is either not current or affected by the amendment, the
documentation shall be revised. If an original document was submitted
or requested by Headquarters or GSA, its revision shall be resubmitted
with the APR.
(c) The following are reasons for submitting an APR to seek an
amended DPA:
(1) A substantive revision in the technical requirements.
(2) A change in acquisition strategy.
(3) Slippages in the planned contract award date that exceed 12
months. (Slippages less than 12 months should be identified to GSA
during routine status reporting.)
(4) A change in contract life.
(5) A change in the position title or organizational identity of
the official authorized to conduct the acquisition.
(6) An increase in anticipated contract costs.
* * * * *
1839.7004 [Amended]
141. In section 1839.7004, ``NHB 2410.1E'' is revised to read ``NHB
2410.1''.
142. In section 1839.7006, the last sentence in paragraph (a) is
revised to read as follows:
1839.7006 DPA transmittal.
(a) * * * Delegation of regulatory and specific agency procurement
authority will be handled as directed by the Chief Information Officer.
143. In paragraph (b) to section 1839.7006, ``Code J'' is revised
to read ``Code A''.
144. In section 1839.7006, paragraph (d) is removed, paragraphs (e)
through (g) are redesignated as paragraph (d) through (f), and the
newly designated paragraphs (d) and (e) are revised to read as follows:
1839.7006 DPA transmittal.
* * * * *
(d) Pre-award and post-award reports include 6-Month Status Reports
and Contract Award Reports.
(1) GSA requires a 6-Month Status Report on all specific
acquisition DPA's for which a contract or modification has not been
awarded. The contracting officer shall submit status reports to Code JT
not later than May 15 and November 15 of each year. The contents of
these reports are specified in the DPA.
(2) GSA requires a Contract Award Report within 30 days after award
of a contract or modification issued pursuant to a specific acquisition
DPA. The contracting officer shall submit Contract Award Reports to
Code JT not later than 25 days after the award of a contract or
modification.
(e) Code JTD requires an Annual Status Report on all extant
contracts with specific acquisition DPA's. The contracting officer
shall submit an Annual Status Report to Code JT not later than November
15 of each year. The reports are in lieu of (and not in addition to)
GSA's annual reporting requirement.
* * * * *
PART 1842--CONTRACT ADMINISTRATION
1842.101 [Amended]
145. In section 1842.101, ``Acquisition Liaison Division (Code
HP)'' is revised to read ``Analysis Division (Code HC)''.
PART 1846--QUALITY ASSURANCE
146. In section 1846.470-1, the last sentence is revised to read as
follows:
1846.470-1 Solicitation provision.
* * * Fee associated with a Q/PI plan shall not be considered an
amount over the total fee negotiated for the contract and shall not,
when combined with fee considerations, exceed the limitations
prescribed in FAR 15.903(d)(1).
1846.470-2 [Amended]
147. In paragraph (b) to section 1846.470-2, the phrase ``and in
contracts resulting therefrom.'' is revised to read ``and in resulting
contracts.''
148. In section 1846.670-1, paragraphs (a), (b)(1), and (c) are
revised to read as follows:
1846.670-1 General.
(a) This subpart contains procedures and instructions for use of
the Material Inspection and Receiving Report (MIRR) (DD Form 250
series) and suppliers' commercial shipping/packing lists used to
evidence Government procurement quality assurance (PQA).
(b) * * *
(1) Shipments by subcontractors not made to the Government;
* * * * *
(c) To preclude delays in shipments or payments and avoid multiple
corrections, contractors are encouraged to consult the Government
representative regarding implementation of this subpart.
149. In section 1846.670-2, paragraph (a)(4) is removed, and
paragraph (a)(3) is revised to read as follows:
1846.670-2 Applicability.
(a) * * *
(1) * * *
(2) * * *
(3) Contracts for which the end item is a technical or scientific
report.
* * * * *
150. In section 1846.670-4, paragraph (c) is revised to read as
follows:
1846.670-4 Application.
(a) ***
(b) ***
(c) The DD Form 250 may be used for imprest fund purchases,
purchase orders, delivery orders placed against Federal Supply Schedule
contracts, delivery orders placed against indefinite-delivery
contracts, or delivery orders placed against blanket purchase
agreements, or when the purchasing, requisitioning, or ordering
document provides for inspection and/or acceptance.
151. Section 1846.670-5 is revised to read as follows:
1846.670-5 Forms.
(a) Contractors may obtain from the contracting office at no cost
MIRR forms required on Government contracts.
(b) Contractors may print forms, provided
(1) Their format and dimensions are identical to the MIRR forms
printed by the Government and
(2) The forms provide for 78 characters per printed image
horizontally and 62 lines vertically border-to-border for the DD Form
250 and 61 lines vertically border-to-border for the DD Form 250c.
152. In section 1846.671, paragraph (a) is revised to read as
follows:
[[Page 40520]]
1846.671 Procurement quality assurance on shipments between
contractors.
(a) The supplier's commercial shipping document/packing list shall
indicate performance of required PQA actions at subcontract level. The
following entries shall be made on the document/packing list:
Required PQA of items has been performed.
Date: (Signature of Authorized Government Representative) (Typed
Name and Office)
* * * * *
153. In paragraph (a)(1) to section 1846.672-1, the date
``67AUG07'' is removed, and paragraph (a)(4) is revised to read as
follows:
1846.672-1 Preparation instructions.
* * * * *
(a) * * *
(4) Overflow data of the DD Form 250 shall be entered in Block 16
or in the body of the DD Form 250c with block cross reference.
Additional DD Form 250c sheets solely for continuation of Block 23 data
shall not be numbered or distributed as part of the MIRR.
* * * * *
154. In section 1846.672-1, paragraphs (b), (c), (d)(1) and
(d)(1)(ii) are revised to read as follows:
(b) Classified information. Classified information shall not appear
on the MIRR, nor shall the MIRR be classified.
(c) Block 1--PROC. INSTRUMENT IDEN. (CONTRACT).
(1) Enter the contract number as contained in the contractual
document, including any call/order number.
(2) Enter the name of the contracting office immediately below the
contract number. This requirement may be satisfied by including the
prefix in the contract number to identify the contracting office.
(d) Block 2--SHIPMENT NO.
(1) The shipment number is a three-alpha-character prefix and a
four-character numeric or alpha-numeric serial number.
(i) * * *
(ii) The first shipment under a prime contract from each ``shipped
from'' address shall be numbered 0001; subsequent shipments under that
prime contract shall be consecutively numbered.
* * * * *
1846.672-1 [Amended]
155. In section 1846.672-1, paragraphs (g)(1) and (h)(1) are
revised to read as follows:
(g) Block 5--DISCOUNT TERMS. * * *
(1) The contractor may enter the discount terms on all copies of
the MIRR.
(2) * * *
(h) Block 6--INVOICE. * * *
(1) The contractor may enter the invoice number and date on all
copies of the MIRR.
* * * * *
156. In paragraph (r)(1)(i) to section 1846.672-1, the phrase ``or
`Vacuum Tube' '' is removed.
157. In paragraph (r)(2) introductory text to section 1846.672-1,
the phrase ``enter such data only once,'' is revised to read ``enter
data only once,''.
158. In paragraph (r)(2)(ii) to section 1846.672-1, the phrase
``shipment may be made without it at the direction of the contracting
officer.'' is revised to read ``shipment may be made at the direction
of the contracting officer.''
159. In paragraph (w) introductory text to section 1846.672-1, the
last sentence is revised to read as follows:
(w) Block 21--PROCUREMENT QUALITY ASSURANCE. * * * Notes taking
exception shall be entered in Block 16 or on attached supporting
documents with block cross reference.
* * * * *
160. The introductory text to section 1846.672-3 is revised to read
as follows:
1846.672-3 Correction instructions.
When, because of errors or omissions, it is necessary to correct
the MIRR after distribution, it shall be revised by correcting the
original master and distributing the corrected form. The corrections
shall be made as follows:
* * * * *
161. Section 1846.672-5 is revised to read as follows:
1846.672-5 Packing-list instructions.
Copies of the MIRR may be used as a packing list. The packing list
copies shall be in addition to the copies of the MIRR required for
distribution (see 1846.673) and shall be marked ``PACKING LIST''.
162. Paragraphs (b) and (c) to section 1846.703-70 are revised to
read as follows:
1846.703-70 Additional criteria.
* * * * *
(a) * * *
(b) The warranty as a deterrent against the furnishing of defective
or nonconforming supplies.
(c) Whether the contractor's quality program is reliable enough to
provide adequate protection without a warranty, or, if not, whether a
warranty would cause the contractor to institute an effective quality
program.
* * * * *
PART 1849--TERMINATION OF CONTRACTS
163. In section 1849.102-70, paragraph (a) is revised to read as
follows:
1849.102-70 Prior clearance of significant contract terminations.
(a) Any information on contract termination involving a reduction
in employment of 100 or more contractor employees must have prior NASA
Headquarters clearance before it is released. Release of information to
Congress or the public is the responsibility of the NASA Headquarters
Office of Legislative Affairs (Code LB). A reduction of fewer than 100
may be significant and, if so, should be similarly cleared.
164. In paragraph (b) introductory text to section 1849.102-70, the
phrase ``the Office of Legislative Affairs, NASA Headquarters (Code
LB)'' is revised to read ``Code LB''.
165. In paragraph (c) to section 1849.102-70, the phrase ``the
Office of Legislative Affairs, NASA Headquarters, (Code LB)'' is
revised to read ``Code LB''.
166. In paragraph (d) to section 1849.102-70, the phrase ``The
Office of Legislative Affairs, NASA Headquarters, (Code LB)'' is
revised to read ``Code LB''.
1849.111-71 [Amended]
167. In section 1849.111-71, paragraph (a)(1), the dollar amount
``$100,000'' is revised to read ``$1,000,000'' and in paragraph
(a)(2)(i), the dollar amount ``$50,000'' is revised to read
``$100,000''.
1849.111-72 [Amended]
168. In section 1849.111-72, the word ``judge'' is revised to read
``review''.
1849.111-74 [Amended]
169. In section 1849.111-74, the phrase ``of an upper-tier'' is
revised to read ``of a lower tier'', and in the last sentence, the
phrase ``may be used only for specified contracts and'' is removed and
the word ``immediate'' is revised to read ``first tier''.
170. In section 1849.603-70, paragraph (d) introductory text and
paragraphs (d)(1) and (d)(2) are revised to read as follows:
1849.603-70 Termination contracting officer's settlement memorandum.
* * * * *
(d) Settlement summary. The TCO shall address the settlements
reached on the following items:
(1) Contractor's cost. See FAR 15.808(a) for format.
[[Page 40521]]
(2) Profit/Fee. See FAR 15.808(a)(10).
* * * * *
PART 1852--SOLICITATION PROVISIONS AND CONTRACT CLAUSES
1852.227-70 [Amended]
171. In section 1852.227-70, the date of the clause ``APR 1988'' is
revised to read ``(JULY 1995)''.
172. In paragraph (d)(2) of the clause at section 1852.227-70, the
citation ``14 CFR part 1245, subpart 2, Licensing of NASA Inventions''
is revised to read ``37 CFR part 404, Licensing of Government Owned
Inventions.''
173. In paragraph (d)(3) of the clause at section 1852.227-70,
remove the comma after the word ``appeal'' and the phrase ``in
accordance with 14 CFR 1245.211,'' is revised to read ``to the
Administrator''.
174. In the clause heading to section 1852.246-72, the date ``(OCT
1988)'' is revised to read ``(JUNE 1995)'' and paragraph (a) to the
clause is revised to read as follows:
1852.246-72 Material inspection and receiving report.
* * * * *
(a) At the time of each delivery to the Government under this
contract, the Contractor shall furnish a Material Inspection and
Receiving Report (DD Form 250 series) prepared in ____ [Insert number
of copies, including original] copies, an original and ____ copies
[Insert number of copies].
* * * * *
PART 1853--FORMS
175. In section 1853.101 the first sentence is revised to read as
follows:
1853.101 Requirements for use of forms.
The requirements for use of the forms in this part are contained in
parts 1801 through 1851 of this chapter, where the subject matter
applicable to each form is addressed. * * *
176. In section 1853.103 the first sentence is revised to read as
follows and ``Acquisition Liaison Division, Code HP'' is revised to
read ``Contract Management Division, Code HK''.
1853.103 Exceptions.
Alteration of any form prescribed by the regulations in this
chapter is prohibited unless prior approval has been obtained from the
NASA Forms Officer (Code JTD) (through the Installation Forms Manager),
who will coordinate the request with the Office of Procurement, Code H.
* * *
177. In section 1853.104, the first sentence is revised to read as
follows:
1853.104 Overprinting.
Forms may be overprinted with names, addresses, and other uniform
entries that are consistent with the purpose of the form and that do
not alter the form in any other way. * * *
178. Section 1853.105 is revised to read as follows:
1853.105 Computer generation.
Forms prescribed by the regulations in this chapter may be adapted
for computer preparation providing there is no change to the name,
content, or sequence of the data elements, and the form carries the
form number and edition date.
1853.108 [Amended]
179. In section 1853.108, ``the Acquisition Liaison Division, Code
HP'' is revised to read ``the Contract Management Division, Code HK''.
180. Section 1853.204-70 is revised to read as follows:
1853.204-70 General (NASA Forms 507, 507A, 507B, 507G, 507M, 531,
533M, 533P, 533Q, 667, 1098, 1356, 1611, 1612; DD Form 1593; FBI Form
FD-258; and SF 85P).
(a) The following forms shall be used as prescribed at 1804.671-4:
(1) NASA Form 507, Individual Procurement Action Report (New
Awards).
(2) NASA Form 507A, Individual Procurement Action Report (New
Awards) Supplement A.
(3) NASA Form 507B, Individual Procurement Action Report Supplement
B.
(4) NASA Form 507G, Individual Procurement Action Report (Grants/
Orders).
(5) NASA Form 507M, Individual Procurement Action Report
(Modifications).
(b) NASA Form 531, Name Check Request. NASA Form 531, prescribed in
1804.470 and 1852.204-76, shall be used for National Agency Check (NAC)
investigations.
(c) The following forms shall be used as prescribed at 1804.675:
(1) NASA Form 533M, Monthly Contractor Financial Management Report.
(2) NASA Form 533P, Monthly Contractor Financial Management
Performance Analysis Report.
(3) NASA Form 533Q, Quarterly Contractor Financial Management
Report.
(d) NASA Form 667, Report on NASA Subcontracts. NASA Form 667,
prescribed at 1804.672, shall be used by contractors to submit
information to NASA on each subcontract or subcontract modification
over $25,000.
(e) NASA Form 1098, Checklist for Contract Award File Content. NASA
Form 1098, prescribed at 1804.803-71, shall be used as a guide in
compiling contract files and shall accompany contracts and supplemental
agreements submitted to Headquarters for approval. In Item 19 (Jul 90
edition), line out the entry ``D&F: Other Than Full and Open
Competition in the Public Interest (FAR/NFS 6.302-7),'' and write in
``JOFOC (FAR/NFS 6.3).''
(f) NASA Form 1356, C.A.S.E. Report on College and University
Projects. NASA Form 1356, prescribed at 1804.7202, shall be used to
report information applicable to colleges and universities.
(g) NASA Form 1611, Contract Completion Statement. As prescribed at
1804.804-2 and 1804.804-5, NASA Form 1611 shall be used for closeout of
all contracts above the small purchase threshold.
(h) The following forms shall be used as prescribed at 1804.804-5:
(1) NASA Form 1612, Contract Closeout Checklist.
(2) DOD Form 1593, Contract Administration Completion Record.
181. Section 1853.216-70 is revised to read as follows:
1853.216-70 Assignees under cost-reimbursement contracts (NASA Forms
778, 779, 780, 781).
The following forms shall be used as prescribed at 1816.370:
(a) NASA Form 778, Contractor's Release.
(b) NASA Form 779, Assignee's Release.
(c) NASA Form 780, Contractor's Assignment of Refunds, Rebates,
Credits, and Other Amounts.
(d) NASA Form 781, Assignee's Assignment of Refunds, Rebates,
Credits, and Other Amounts.
182. In section 1853.242-70, the section heading is revised and
paragraph (g) is added to read as follows:
1853.242-70 Delegation (NASA Forms 1430, 1430A, 1431, 1432, 1433) and
service request (NASA Form 1434).
* * * * *
(g) NASA Form 1434, Letter of Request for Pricing-Audit-Technical
Evaluation Services. NASA Form 1434, prescribed at 1842.202-70(e)(1),
shall be used to request contract administration and audit services
incident to preaward of a contract but exclusive of preaward surveys.
1853.242-71 [Removed]
183. Section 1853.242-71 is removed.
[[Page 40522]]
1853.242-72 [Redesignated as Section 1853.242-71]
184. Section 1853.242-72 is redesignated as section 1853.242-71.
185. In section 1853.249, paragraph (b) is revised to read as
follows:
1853.249 Termination of contracts (NASA Forms 1412, 1413).
* * * * *
(b) NASA Form 1413, Termination Docket Checklist. NASA Form 1413,
prescribed at 1849.105-70, shall be used to ensure adequacy of
termination records.
PART 1870--NASA SUPPLEMENTARY REGULATIONS
Subpart 1870.1--[Amended]
186. Section 1870.000 and subpart 1870.1 are revised to read as
follows:
1870.000 Scope of part.
This part contains NASA-unique regulations which--
(a) Constitute a system of regulations such that presentation in a
unified format is essential;
(b) Relate to numerous FAR subparts;
(c) Have, as a whole, no clearly identifiable FAR counterpart; and
(d) May include non-regulatory material necessary to complete
coverage of the instant subject.
Subpart 1870.1--NASA Acquisition of Investigations System
1870.101 System content.
(a) The regulations governing the NASA Acquisition of
Investigations set forth the system in a single document, covering the
roles of individuals with procurement and programmatic responsibilities
both within NASA and the private sector. Therefore, the regulation
provides guidance to all NASA personnel engaged in the solicitation,
evaluation and selection of investigations. It emphasizes the
responsibilities of line management and, as appropriate, the selected
investigators in the acquisition of equipment necessary for the
investigation. It provides for uniform procedures and equitable
treatment in the evaluation and selection of investigators and
acquisition of investigative equipment consistent with the FAR and NFS.
(b) The system regulation contains policy and procedures applicable
to the solicitation of investigations with ``Announcements of
Opportunity,'' a form of broad agency announcement authorized at FAR
6.102(d)(2)(i).
1870.102 NASA acquisition of investigations.
(a) The NASA Acquisition of Investigations System is prescribed by
Appendix I to this section 1870.102.
(b) NASA may reprint this Appendix I as a separate Handbook for
sale and/or distribution provided the following two conditions are met:
(1) With the exception of availability and distribution
information, any subsequent modification in the text shall be preceded
by a change to the NASA FAR Supplement 1870.102.
(2) The following information shall be included as a part of the
prefatory material in the NASA Handbook:
Important Notice
This Handbook is a separately bound, verbatim version of NASA
FAR Supplement (NFS) (48 CFR 1870.102) Section 1870.102, Appendix I.
Reference to other parts of the Federal Acquisition Regulation (FAR)
and the NFS will be required for complete coverage of all
procurement aspects. NASA reserves the right to make changes to NFS
1870.102, Appendix I without issuing a new edition of this Handbook.
Any such changes will be published in the Federal Register; however,
it is anticipated that such changes will be rare, unless mandated by
statute or unusual circumstances. In the event of apparent conflict
between this Handbook and the NFS, the NFS shall govern.
APPENDIX I TO 1870.102--GUIDELINES FOR ACQUISITION OF INVESTIGATIONS
Preface
NASA has always provided opportunities for qualified people in
NASA, other Government agencies, colleges and universities, private
industry, and foreign countries to participate in developing and
carrying out its responsibilities in aeronautical and space
activities. NASA has treated itself as a part of the scientific and
technical community and has encouraged this community to bring to
bear its expertise in developing investigatory objectives, selecting
the investigations to carry out, participating in the resulting
missions, analyzing the data obtained, and publishing the results.
The acquisition of investigations process covered by this
Handbook allows the continuation of our successful cooperative
endeavors with the scientific, technological, and applications user
communities and provides standards requiring greater attention to
the planning and management of investigations. Also, this Handbook
emphasizes the responsibilities of line management and, as
appropriate, the selected investigators in the acquisition of
equipment necessary for the investigation.
Guidelines for Acquisition of Investigations
Contents
Chap. 1 The Investigation Acquisition System
100 General
101 Key Features of the System
102 Management Responsibilities
Chap. 2 Applicability of the Process
200 General
201 Criteria for Determining Applicability
202 Programs and Activities Where Use May be Considered
203 Specific Approval Required
Chap. 3 The Announcement of Opportunity
300 General
301 Need for Preparatory Effort
302 Responsibilities
303 Proposal Opportunity Period
304 Guidelines for Announcement of Opportunity
305 Announcement of Opportunity Soliciting Foreign
Participation
306 Guidelines for Proposal Preparation
Chap. 4 Evaluation of Proposals
400 General
401 Criteria for Evaluation
402 Methods of Evaluation
403 Advisory Subcommittee Evaluation Process
404 Contractor Evaluation Process
405 Government Evaluation Process
406 Cost, Engineering, Integration, and Management Evaluation
407 Program Office Evaluation
408 Steering Committee Review
409 Principles to Apply
Chap. 5 The Selection Process
500 General
501 Decisions to Be Made
502 The Selection Statement
503 Notification of Proposers
504 Debriefing
Chap. 6 Payload Formulation
600 Payload Formulation
Chap. 7 Procurement and Other Considerations
700 Early Involvement Essential
701 Negotiation, Discussions, and Contract Award
702 Application of the Federal Acquisition Regulation (FAR) and
the NASA FAR Supplement (NFS)
703 Other Administrative and Functional Requirements
Appendices
Appendix A to Appendix I--Format of Announcement of Opportunity
Appendix B to Appendix I--General Instructions and Provisions
Appendix C to Appendix I--Guidelines for Proposal Preparation
Appendix D to Appendix I--Glossary of Terms and Abbreviations
Associated with Investigations
Chapter 1--The Investigation Acquisition System
100 General
The best space research results when space research
investigators participate in the selection of investigations. The
investigation acquisition system encourages the participation of
investigators and the selection of investigations which contribute
most effectively to the advancement of NASA's scientific and
technological objectives. It is a system separate from the
acquisition process, but requiring the same management and
discipline to assure compliance with statutory requirements and
considerations of equity. ``NASA Acquisition of Investigations'' is
the name under which
[[Page 40523]]
this system is incorporated into the NASA FAR Supplement.
101 Key Features of the System
1. Use of the system commences with a Program Associate
Administrator's determination that the investigation acquisition
process is appropriate for a program. An Announcement of Opportunity
(AO) is disseminated to the interested community. This solicitation
does not specify the investigations to be proposed but solicits
investigative ideas which contribute to broad objectives. In order
to determine which of the proposals should be selected, a formal
competitive evaluation process is utilized. The evaluation for merit
is normally made by experts in the fields represented by the
proposals. Care should be taken to avoid conflicts of interest.
These evaluators may be from NASA, other Government agencies,
universities, or the commercial sector. Along with or subsequent to
the evaluation for merit, the other factors of the proposals, such
as engineering, cost, and integration aspects, are reviewed by
specialists in those areas. The evaluation conclusions as well as
considerations of budget and other factors are used to formulate a
complement of recommended investigations. A steering committee
serving as staff to the Program Associate Administrator (Program AA)
reviews the proposed payload or program of investigation, the
iterative process, and the selection recommendations. The steering
committee serves as a forum where different interests, such as
flight program, discipline management, and administration, can be
weighed.
The Program AA selects the proposals that will participate in
the program. Once selected, an investigator is assigned appropriate
responsibilities relating to the investigation through a contract
with the institution. For foreign investigators, these
responsibilities will usually be outlined in an agreement between
NASA and the sponsoring governmental agency in the investigator's
country.
2. The AO process provides a disciplined approach to
investigation acquisition. The following major steps must be
followed in each case:
a. The AO shall be signed by the Program AA and shall be widely
distributed to the scientific, technological, and applications user
communities, as appropriate.
b. An evaluation team shall be formed including recognized peers
of the investigators.
c. A project office will be assigned to assess the engineering,
cost, integration, and management aspects of the proposals.
d. A program office will be responsible to formulate a
complement of investigations consistent with the objectives stated
in the AO, cost, and schedule constraints.
e. A steering committee appointed by the appropriate Program AA
shall review the proposed investigations for relevance and merit,
will assure compliance with the system as described in this
Handbook, and make selection recommendations.
f. Selections shall be made by the Program AA.
3. Payloads will be formulated consisting of investigations
selected through the AO process and/or other authorized methods.
4. When the need is determined by the Program AA, payload
specialists will be selected in accordance with NMI 7100.16, Payload
Specialists for Space Transportation Systems (STS) Missions.
102 Management Responsibilities
1. Program AA are responsible for overseeing the process and for
making key decisions essential to the process including:
a. Determination to use the investigation acquisition system.
b. Appointment of the steering committee members.
c. Designation of a staff to assure uniformity in the issuance
of the AO and conformity with the required procedures in the
evaluation and selection.
d. Reuse, to the maximum extent practicable, of space hardware
and support equipment.
e. Determination to use advisory subcommittees, contractor, or
full-time Government employees only in the evaluation process.
f. Issuance of the AO.
g. Selection of investigations and investigators, determination
of need of a definition phase, determination of the role of the
investigator with regard to providing essential investigation
hardware and services, and determination of the need for payload
specialists.
h. Assure consideration is given to minorities in the
establishment of peer groups, distribution of the AO and in the
selection of investigations.
i. Provide a framework for cooperative foreign participation in
Space Shuttle, Spacelab, and Space Station missions.
2. The Program AA should call upon any required experts
throughout the process. The remaining chapters of this Handbook will
discuss the exercise of the foregoing responsibilities in greater
detail.
Chapter 2--Applicability of the Process
200 General
The system used for acquisition of investigations is separate
from the agency procedures for procurement of known requirements. A
decision to use this special acquisition process will be based on a
determination that it is the most suitable to meet program needs.
The decision-making official will consider the criteria for use of
the system. The project plan or other documentation should discuss
the proposed mode of investigations selection.
201 Criteria for Determining Applicability
1. The decision to utilize the investigations acquisition
process as an alternative to the normal planning and acquisition
process can only be made after consideration of the conditions which
are requisite to its use. All of the following conditions should
exist before deciding that the system is applicable:
a. NASA has a general objective which can be furthered through
novel experimental approaches. To develop such approaches, NASA
wishes to draw upon the broadest reservoir of ideas that can be made
available.
b. Choices must be made among competing ideas in expanding
knowledge.
c. Individual participation of an investigator is essential to
exploitation of the opportunity.
2. The investigations acquisition process shall not be used when
any of the following characteristics are present:
a. The requiring office can define a requirement sufficiently to
allow for normal procurement.
b. The program is extremely complex, requiring specialized
integration, coordination, or other special handling, or extending
over a lengthy period wherein individual participation is not
essential.
c. It is not possible or considered essential to the program to
follow the steps of the investigations acquisition process.
202 Programs and Activities Where Use May be Considered
1. General--The investigation acquisition process is most
suitable for investigations aimed at exploration requiring several
unique sensors or instruments, but it has been used successfully in
several types of opportunity. A discussion of several types of
programs, the opportunities they offer, and comment on the
suitability of the special process follows.
2. Exploration and Space Research Flights
a. Examples--Space Transportation System (STS) flights with
attached payloads, generally Spacelab payloads; and free-flying
spacecraft, such as Explorers, Pioneers, Space Telescope, Landsats,
and Long Duration Exposure Facilities.
b. Types of Opportunity
(1) A common and sought after opportunity is to participate as a
Principal Investigator (PI) responsible for conceiving and
conducting a space investigation. This may involve a major piece of
instrumentation. In the case of a ``facility'' or ``multiuser''
payload, each PI's responsibilities would ordinarily involve a
relatively minor portion of the total instrument.
(2) There may also be an opportunity to serve on a PI's team as
a member or Co-Investigator.
(3) A type of opportunity that generally involves the use of
data from another investigator's instrument is that of guest
investigator or guest observer. Guest investigators usually
participate after the primary objectives have been satisfied for the
investigations involved.
(4) A team may be formed from selected investigators to assist
in defining planned mission objectives and/or to determine, in a
general manner, the most meaningful instruments to accomplish the
mission objectives.
c. Selection and Acquisition Procedures--The investigation
acquisition process may be applicable to all of these types of
opportunities. The supposition common in these opportunities is that
the best ideas and approaches are likely to result from the broadest
possible involvement of the scientific, technological or
applications user communities.
3. Minor Missions
a. Examples--Research aircraft, sounding rockets, balloons, and
minor missions are
[[Page 40524]]
generally of short duration, small in size, often single purpose, and
subject to repetition. Many investigations are follow-on to past-
flight investigations.
b. Types of Opportunity
(1) PIs responsible for investigation.
(2) Data use or analysis.
c. Selection and Acquisition Process--Opportunities for
participation on minor missions are generally suitable for normal
procurement procedures. The use of a general announcement announcing
the general nature and schedule of flights may be appropriate when
considered necessary to broaden participation by requesting
investigator-initiated research proposals. Procurement procedures as
contained in NASA FAR Supplement shall be used for follow-on repeat
flights. Although NASA seeks unique, innovative ideas for these
missions, the prospect of reflight and the latitude in determining
number and schedule of flights argue against the need for the use of
the investigations acquisition process to force dissimilar proposals
into an annual or periodic competitive structure. On the other hand,
there are some minor missions addressed to specific limited
opportunities; for example, a solar eclipse. When such limitations
indicate that the special competitive structure is needed, it should
be authorized.
4. Operational and Operational Prototype Spacecraft
a. Examples--GOES, TIROS.
b. Selection and Acquisition Process--The user agency can be
expected to specify performance parameters. Payload definition will
be the responsibility of the user agency and NASA. Specifications
sufficient for normal procedures can be produced. Use of data from
the mission is the responsibility of the user agency. Thus, the
special process is not required.
5. Reimbursable Missions
a. Examples--INTELSAT, SATCOM, WESTAR, MARISAT.
b. Selection and Acquisition Process--Payload determination and
delivery are the responsibility of the user organization. NASA's
role is essentially to provide launch services. No special process
is required.
6. Supporting Research and Technology (SR&T)
a. Examples--Studies, minor developments, instrument
conceptualization, ground-based observations, laboratory and
theoretical supporting research, and data reduction and analysis
which is unconstrained by a specific opportunity.
b. Selection and Acquisition Process--Programs in these areas
tend to go forward on a continuing basis, rather than exploiting
unique opportunities. Normal procurement procedures should be
utilized to satisfy these requirements. A general announcement of
area of interest could be made when greater participation is deemed
advisable. Proposals can be solicited or unsolicited and can be
entertained within the context of the normal procurement procedure.
203 Specific Approval Required
The Program AA responsible for the program is responsible for
determining whether or not to use the special investigations
acquisition process. Normally on major projects, or when a project
plan is required, use of the investigation acquisition system will
be justified and recommended in the project planning documentation
and will be coordinated with staff offices and discussed in the
planning presentation to the Deputy Administrator or designee.
Chapter 3--The Announcement of Opportunity
300 General
The AO is characterized by its generality. However, it is
essential that the AO contains sufficient data in order to obtain
meaningful proposals. To a considerable extent, the detail and depth
of the AO will depend on the objective. In all cases, judgment is of
paramount importance, since the purpose is to get adequate
information to assess the relevance, merit, cost, and management
without overburdening the proposer.
301 Need for Preparatory Effort
1. When the use of the AO process is contemplated, there is need
to consult with appropriate Headquarters offices and the Project
Installation responsible for the project prior to release of the AO.
2. In addition, the need to meet legal requirements in the
acquisition processes will require early external Program Office
involvement to:
a. Synopsize the AO in the Commerce Business Daily prior to the
time of release.
b. Determine if there is instrumentation or support equipment
available which may be appropriate to the AO with all necessary
background data considered essential for use by a proposer.
c. Determine mailing lists, including the mailing list
maintained by the International Affairs Division, Office of External
Relations, for broad dissemination of the AO.
d. Assure mandatory provisions are contained in the AO.
3. Other methods of dissemination of the AO may also be used,
such as the use of press releases, etc. When possible, the AO should
be widely publicized through publications of appropriate
professional societies; however, NASA policy does not allow payment
for the placement of advertisements.
302 Responsibilities
1. The Program Office originator is responsible for the content
of the AO and coordination with concerned Headquarters offices and
field installations. All personnel involved in the evaluation of
proposals are responsible for familiarizing themselves and complying
with this Handbook and other applicable regulations. To this end,
they are expected to seek the advice and guidance of appropriate
Headquarters program and staff offices, and Project Installation
management.
2. The Program Office is also responsible for coordinating the
AO with the International Affairs, Educational Affairs, Management
Support Divisions, Office of External Relations, Office of General
Counsel, and Office of Procurement prior to issuance. Attention is
directed to NMI 1362.1, Initiation and Development of International
Cooperation in Space and Aeronautical Programs.
3. Concurrence of the Office of Procurement is required before
issuance of an AO.
303 Proposal Opportunity Period
1. The AO is considered the primary method of soliciting
investigations. As such, it is necessary that the process
accommodate the continuous opportunities afforded by the Shuttle/
Spacelab flights. Thus, the following methods may be utilized,
individually or in combination, to enable an AO and resultant
proposals to be open for an extended period of time and/or to cover
a series or range of flight possibilities or disciplines:
a. The AO may be issued establishing a number of proposal
submission dates. Normally, no more than three proposal submission
dates should be established. The submittal dates may be spread over
the number of months most compatible with the possible flight
opportunities and the availability of resources necessary to
evaluate and fund the proposals.
b. The AO may be issued establishing a single proposal
submission date. However, the AO could provide that NASA amend the
AO to provide for subsequent dates for submission of proposals, if
additional investigations are desired within the AO objectives.
c. The AO may provide for an initial submission date with the AO
to remain open for submission of additional proposals up to a final
cutoff date. This final date should be related to the availability
of resources necessary to evaluate the continuous flow of proposals,
the time remaining prior to the flight opportunity(s) contemplated
by the AO, and payload funding and availability.
2. Generally, a core payload of investigations would be selected
from the initial submission of proposals under the above methods of
open-ended AOs. These selections could be final or tentative
recognizing the need for further definition. Proposals received by
subsequent submission dates would be considered in the scope of the
original AO but would be subject to the opportunities and resources
remaining available or the progress being made by prior selected
investigations.
3. Any proposal, whether received on the initial submission or
subsequent submission, requires notification to the investigator and
the investigator's institution of the proposal disposition. Some of
the proposals will be rejected completely and the investigators
immediately notified. The remaining unselected proposals may, if
agreeable with the proposers, be held for later consideration and
funding and the investigator so notified. However, if an
investigator's proposal is considered at a later date, the
investigator must be given an opportunity to validate the proposal
with the investigator's institution and for updating the cost and
other data contained in the original submission prior to a final
selection. In summary, NASA may retain proposals, receiving Category
I, II, or III classifications (see paragraph 403), for possible
later sponsorship until no longer
[[Page 40525]]
feasible to consider the proposal. When this final stage is reached,
the investigator must be promptly notified.
4. If the intent is to hold proposals for possible later
consideration, as discussed in subparagraph 3, the AO should
specifically indicate this intent and the procedure to be used.
Proposing investigators not desiring their proposals be held for
later consideration should be given the opportunity to so indicate
in their original submissions.
304 Guidelines for Announcement of Opportunity
1. The preparation of the AO should be a multi-functional
effort. It involves program and project management and usually
involves other offices of NASA.
2. The AO should be tailored to the particular needs of the
contemplated investigations and be complete in itself. Each AO will
be identified as (Program Office) originated and numbered
consecutively each calendar year, e.g., OA-1-95, OA-2-95; OLMSA-1-
95; OSS-1-95; etc. The required format and detailed instructions
regarding the contents of the AO are contained in Appendix A.
3. The General Instructions and Provisions (Appendix B) are
necessary to accommodate the unique aspects of the AO process.
Therefore, they must be appended to each AO.
4. At the time of issuance, copies of the AO must be furnished
to the Office of Procurement and to the Office of General Counsel.
5. Proposers should be informed of significant departures from
scheduled dates for activities related in the AO.
305 Announcement of Opportunity Soliciting Foreign Participation
Proposals for participation by individuals outside the U.S.
should be submitted in the same format (excluding cost plans) as
U.S. proposals; they should be typewritten and be in English; the
proposals should be reviewed and endorsed by the appropriate foreign
governmental agency. If letters of ``Notice of Intent'' are
required, the AO should indicate that they be sent to NASA's
International Affairs Division, Office of External Relations. Should
a foreign proposal be selected, NASA will arrange with the
sponsoring foreign agency for the proposed participation on a no-
exchange-of-funds basis, in which NASA and the sponsoring agency
will each bear the cost of discharging its respective
responsibilities. Note that additional guidelines applicable to
foreign proposers are contained in the Management Plan Section of
Appendix C (see Section II) and must be included in any Guidelines
for Proposal Preparation or otherwise furnished to foreign
proposers.
306 Guidelines for Proposal Preparation
While not all of the guidelines outlined in Appendix C will be
applicable in response to every AO, the investigator should be
informed of the relevant information required. The proposal may be
submitted on a form supplied by the Program Office. However, the
proposal should be submitted in at least two sections: (1)
Investigation and Technical Section; and (2) Management and Cost
Section as described in Appendix C.
Chapter 4--Evaluation of Proposals
400 General
The evaluation process assures consideration of the aspects of
each proposal and constitutes progressive sorting of the proposals.
A review resulting in a categorization is performed by using one of
the methods or combination of the methods outlined in paragraph 402.
The purpose of this initial review is to determine the scientific
and/or technological merit of the proposals in the context of the AO
objectives. Those proposals which are considered to have the
greatest scientific or technological merit are then reviewed in
detail for the engineering, management, and cost aspects, usually by
the Project Office at the installation responsible for the project.
Final reviews are performed by the Program Office and the Steering
Committee and are aimed at developing a group of investigations
which represent an integrated payload or a well-balanced program of
investigation which has the best possibility for meeting the
announced objectives within programmatic constraints. The importance
of considering the interrelationship of the several aspects of the
proposals to be reviewed in the process and the need for carefully
planning their treatment should not be overlooked. An evaluation
plan has been found helpful to the evaluators, program management
officials, and the selection official. The evaluation plan should be
developed before issuance of the AO. It should cover the recommended
staffing for any subcommittee or contractor support, review
guidelines as well as the procedural flow and schedule of the
evaluation. While not mandatory, such a plan should be considered
for each AO. A fuller discussion of the evaluation and selection
process is included in the following paragraphs.
401 Criteria for Evaluation
1. Each AO must indicate those criteria which the evaluators
will apply in evaluating a proposal. The relative importance of each
criterion must also be stated. This information will allow
investigators to make informed judgments in formulating proposals
that best meet the stated objectives.
2. Following is a list of general evaluation criteria
appropriate for inclusion in most AOs:
a. The scientific, applications, and/or technological merit of
the investigation.
b. The relevance of the proposed investigation to the AO's
stated scientific, applications, and/or technological objectives.
c. The competence and experience of the investigator and any
investigative team.
d. Adequacy of whatever apparatus may be proposed with
particular regard to its ability to supply the data needed for the
investigation.
e. The reputation and interest of the investigator's
institution, as measured by the willingness of the institution to
provide the support necessary to ensure that the investigation can
be completed satisfactorily.
In addition to or in lieu of the criteria listed herein,
additional criteria may be utilized. In all cases, the evaluation
criteria must be germane to the accomplishment of the stated
objectives.
3. Cost and management aspects will be considered in all
selections.
4. Once the AO is issued, it is essential that the evaluation
criteria be applied in a uniform manner. If it becomes apparent,
before the date set for receipt of proposals, that the criteria or
their relative importance should be changed, the AO will be amended,
and all known recipients will be informed of the change and given an
adequate opportunity to consider it in submission of their
proposals. Evaluation criteria and/or their relative importance will
not be changed after the date set for receipt of proposals.
402 Methods of Evaluation
Alternative methods are available to initiate the evaluation of
proposals received in response to an AO. These are referred to as
the Advisory Subcommittee Evaluation Process, the Contractor
Evaluation Process, and the Government Evaluation Process. In all
processes, a subcommittee of the appropriate Program Office Steering
Committee will be formed to categorize the proposals. The various
approaches, described in detail in paragraph 403. Following
categorization, those proposals still in consideration will be
processed to the selection official as prescribed hereafter.
403 Advisory Subcommittee Evaluation Process
1. Evaluation of scientific and/or technological merit of
proposed investigations is the responsibility of an advisory
subcommittee of the Steering Committee. It is of prime importance
that the appointment of members to the subcommittee be weighed
carefully as these individuals may exercise significant influence on
the selection of investigations and hence achievement of program
goals and objectives.
2. The subcommittee constitutes a peer group qualified to judge
the scientific and technological aspects of all investigation
proposals. One or more subcommittees may be established depending on
the breadth of the technical or scientific disciplines inherent in
the AO's objectives. Each subcommittee represents a discipline or
grouping of closely related disciplines. To maximize the quality of
the subcommittee evaluation and categorization, the following
conditions of selection and appointment should be considered.
a. The subcommittee normally should be established on an ad hoc
basis.
b. Qualifications and acknowledgment of the professional
abilities of the subcommittee members are of primary importance.
Institutional affiliations are not sufficient qualifications.
c. The executive secretary of the subcommittee must be a full-
time NASA employee.
d. Subcommittee members should normally be appointed as early as
possible and prior to receipt of proposals.
e. Care must be taken to avoid conflicts of interest. These
include financial interests, institutional affiliations,
professional biases
[[Page 40526]]
and associations, as well as familiar relationships. Conflicts could
further occur as a result of imbalance between Government and non-
Government appointees or membership from institutions representing a
singular school of thought in discipline areas involving competitive
theories in approach to an investigation.
f. The subcommittee should convene as a group in closed sessions
for proposal evaluation to protect the proposer's proprietary ideas
and to allow frank discussion of the proposer's qualifications and
the merit of the proposer's ideas. Lead review responsibility for
each proposal may be assigned to members most qualified in the
involved discipline. It is important that each proposal be
considered by the entire subcommittee.
3. It may not be possible to select a subcommittee fully
satisfying all of the conditions described in subparagraph 2. It is
not the purpose of these guidelines to establish provisions for
making trade-offs, where necessary, among the above criteria. This
is properly the responsibility of the nominating and appointing
officials. This latitude permits flexibility in making decisions in
accord with circumstances of each application. In so doing, however,
it is emphasized that recognized expertise in evaluating dissimilar
proposals is essential to the continued workability of the
investigation acquisition process.
4. Candidate subcommittee members should be nominated by the
office having responsibility for the evaluation. Nominations should
be approved in accordance with NMI 1150.2, ``Establishment,
Operation, and Duration of NASA Advisory Committees.'' The
notification of appointment should specify the duration of
assignment on the subcommittee, provisions concerning conflicts of
interest, and arrangements regarding honoraria, per diem, and travel
when actually employed.
5. It is important that members of the subcommittee be formally
instructed as to their responsibilities with respect to the
investigation acquisition process, even where several or all of the
members have served previously. This briefing of subcommittee
members should include:
a. Instruction of subcommittee members on agency policies and
procedures pertinent to acquisition of investigations.
b. Review of the program goals, AO objectives, and evaluation
criteria, including relative importance, which provide the basis for
evaluation.
c. Instruction on the use of preliminary proposal evaluation
data furnished by the Installation Project Office. The subcommittee
should examine these data to gain a better understanding of the
proposed investigations, any associated problems, and to consider
cost in relation to the value of the investigations' objectives.
d. Definition of responsibility of the subcommittee for
evaluation and categorization with respect to scientific and/or
technical merit in accordance with the evaluation criteria.
e. Instruction for documentation of deliberations and
categorizations of the subcommittee.
f. Inform the chairperson of the subcommittee and all members
that they should familiarize themselves with the provisions of the
current ``Standards of Conduct for NASA Employees'', NHB 1900.1, or
``Standards of Conduct for NASA Special Government Employees'', NHB
1900.2, as appropriate, regarding conflicts of interest. Members
should inform the appointing authority if their participation
presents a real or apparent conflict of interest situation. In
addition, all participants should inform the selection official in
the event they are subjected to pressure or improper contacts.
g. Inform members that prior to the selection and announcement
of the successful investigators and investigations, subcommittee
members and NASA personnel shall not reveal any information
concerning the evaluation to anyone who is not also participating in
the same evaluation proceedings, and then only to the extent that
such information is required in connection with such proceedings.
Also, inform members that subsequent to selection of an
investigation and announcement of negotiations with the
investigator's institution, information concerning the proceedings
of the subcommittee and data developed by the subcommittee will be
made available to others within NASA only when the requestor
demonstrates a need to know for a NASA purpose. Such information
will be made available to persons outside NASA including other
Government agencies, only when such disclosure is concurred in by
the Office of General Counsel. In this connection, reference is made
to 18 U.S.C. 1905 which provides criminal sanctions if any officer
or employee (including special employees) of the United States
discloses or divulges certain kinds of business confidential and
trade secret information unless authorized by law.
6. The product of an advisory subcommittee is the classification
of proposals into four categories. The categories are:
a. Category I--Well conceived and scientifically and technically
sound investigations pertinent to the goals of the program and the
AO's objectives and offered by a competent investigator from an
institution capable of supplying the necessary support to ensure
that any essential flight hardware or other support can be delivered
on time and that data can be properly reduced, analyzed,
interpreted, and published in a reasonable time. Investigations in
Category I are recommended for acceptance and normally will be
displaced only by other Category I investigations.
b. Category II--Well conceived and scientifically or technically
sound investigations which are recommended for acceptance, but at a
lower priority than Category I.
c. Category III--Scientifically or technically sound
investigations which require further development. Category III
investigations may be funded for development and may be reconsidered
at a later time for the same or other opportunities.
d. Category IV--Proposed investigations which are recommended
for rejection for the particular opportunity under consideration,
whatever the reason.
7. A record of the deliberations of the subcommittee should be
prepared by the assigned executive secretary and should be signed by
the Chairperson. The minutes should contain the categorizations with
basic rationale for such ratings and the significant strengths and
weaknesses of the proposals evaluated.
404 Contractor Evaluation Process
1. The use of the contractor method for obtaining support for
evaluation purposes of proposals received in response to an AO
requires the approval of the Program AA. Prior to the use of this
method, discussion should be held with the Office of Procurement.
2. It is NASA policy to avoid situations in the procurement
process where, by virtue of the work or services performed for NASA,
or as a result of data acquired from NASA or from other entities, a
particular company:
a. Is given an unfair competitive advantage over other companies
with respect to future NASA business;
b. Is placed in a position to affect Government actions under
circumstances in which there is potential that the company's
judgment may be biased; or
c. Otherwise finds that a conflict exists between the
performance of work or services for the Government in an impartial
manner and the company's own self-interest.
3. To reduce the possibility of an organizational conflict of
interest problem arising, the following minimum restrictions will be
incorporated into the contract:
a. No employee of the contractor will be permitted to propose in
response to the AO;
b. The ``Limitation on Future Contracting'' clause contained in
NASA FAR Supplement 1852.209-71 and the conditions set forth in NASA
FAR Supplement 1815.413-2 Alternate II (c) and (d) will be included
in all such contracts; and
c. Unless authorized by the NASA contracting officer, the
contractor shall not contact the originator of any proposal
concerning its contents.
4. The scope of work for the selected contractor will provide
for an identification of strengths and weaknesses and a summary of
the proposals. The contractor will not make selections nor recommend
investigations.
5. The steps to be taken in establishing evaluation panels and
the responsibilities of NASA and the contractor in relation to the
panels will be as follows:
a. The contractor will be required to establish and provide
support to panels of experts for review of proposals to evaluate
their scientific and technical merit;
b. These panels will be composed of scientists and specialists
qualified to evaluate the proposals;
c. The agency may provide to the contractor lists of
scientist(s) and specialist(s) in the various disciplines it
believes are qualified to serve on the panels;
d. The contractor will report each panel's membership to NASA
for approval; and
e. The contractor must make all the necessary arrangements with
the panel members.
[[Page 40527]]
6. The evaluation support by the contractor's panels of experts
will be accomplished as follows:
a. The panels will review the scientific and technical merit of
the proposals in accordance with the evaluation criteria in the AO
and will record their strengths and weaknesses.
b. The contractor will make records of each panel's
deliberations which will form the basis for a report summarizing the
results of the evaluations. Upon request, the contractor shall
provide all such records to NASA;
c. The chairperson of each panel shall certify that the
evaluation report correctly represents the findings of the review
panel; and
d. A final report will be submitted as provided in the contract.
7. A subcommittee of the Program Office Steering Committee will
be established on an ad hoc basis. Utilizing furnished data, the
subcommittee will classify the proposals into the four categories
enumerated in paragraph 403, ``Advisory Subcommittee Evaluation
Process.'' A record of the deliberations of the subcommittee should
be prepared by an assigned executive secretary and signed by the
chairperson. The minutes should contain the categorizations with the
basic rationale for such ratings and the significant strengths and
weaknesses of the proposals evaluated.
405 Government Evaluation Process
1. The Program AA may, in accordance with NMI 1150.2, appoint
one or more full-time Government employees as subcommittee members
of the Program Office Steering Committee to evaluate and categorize
the proposals.
2. Each subcommittee member should be qualified and competent to
evaluate the proposals in accordance with the AO evaluation
criteria. It is important that a subcommittee's evaluation not be
influenced by others either within or outside of NASA.
3. The subcommittee members will not contact the proposers for
additional information.
4. The subcommittee members will classify the proposals in
accordance with the four categories indicated in paragraph 403. Each
categorization will be supported by an appropriate rationale
including a narrative of each proposal's strengths and weaknesses.
406 Engineering, Integration, and Management Evaluation
1. The subcommittee responsible for categorization of each
proposal in terms of its scientific, applications, or technical
merit should receive information on probable cost, technical status,
developmental risk, integration and safety problems, and management
arrangements in time for their deliberations.
2. This information should be provided at the discretion of the
Headquarters Program Office by the Project Office at the
installation. This information can be in general terms and should
reflect what insights the Project Office can provide without
requesting additional details from the proposers. This limited
Project Office review will not normally give the subcommittees
information of significant precision. The purpose is to give the
subcommittee sufficient information so it can review the proposals
in conjunction with available cost, integration, and management
considerations to gain an impression of each investigator's
understanding of the problems of the experiment and to permit gross
trade-offs of cost versus value of the investigation objective.
3. Following categorization, the Project Office shall evaluate
proposals in contention, in depth, including a thorough review of
each proposal's engineering, integration, management, and cost
aspects. This review should be accomplished by qualified
engineering, cost, and business analysts at the project center.
4. In assessing proposed costs, the evaluation must consider:
a. The investigation objective.
b. Comparable, similar or related investigations.
c. Whether NASA or the investigator should procure the necessary
supporting instrumentation or services and the relative cost of each
mode.
d. Total overall or probable costs to the Government including
integration and data reduction and analysis. In the case of
investigations proposed by Government investigators, this includes
all associated direct and indirect cost. With respect to cooperative
investigations, integration, and other applicable costs should be
considered.
5. The Project Office, as part of the in-depth evaluation of
proposals that require instrumentation or support equipment, will
survey all potential sources for Government-owned instrumentation or
support equipment that may be made available, with or without
modifications, to the potential investigator. Such items contributed
by foreign cooperating groups which are still available under
cooperative project agreements will also be considered for use under
the terms and conditions specified in the agreements. As part of the
evaluation report to the Program Office, the availability or
nonavailability of instrumentation or support equipment will be
indicated.
6. Proposals which require instrumentation should be evaluated
by project personnel. This evaluation should cover the interfaces
and the assessment of development risks. This evaluation should
furnish the selection official with sufficient data to contribute to
the instrument determinations. Important among these are:
a. Whether the instrument requires further definition;
b. Whether studies and designs are necessary to provide a
reasonably accurate appreciation of the cost;
c. Whether the investigation can be carried out without
incurring undue cost, schedule, or risk of failure penalties; and
d. Whether integration of the instrument is feasible.
7. In reviewing an investigator's management plan, the Project
Office should evaluate the investigator's approach for efficiently
managing the work, the recognition of essential management
functions, and the effective overall integration of these functions.
Evaluation of the proposals under final consideration should
include, but not be limited to: workload--present and future related
to capacity and capability; past experience; management approach and
organization; e.g.:
a. With respect to workload and its relationship to capacity and
capability, it is important to ascertain the extent to which the
investigator is capable of providing facilities and personnel skills
necessary to perform the required effort on a timely basis. This
review should reveal the need for additional facilities or people,
and provide some indication of the Government support the
investigator will require.
b. A review should be made of the investigator, the
investigator's institution, and any supporting contractor's
performance on prior investigations. This should assist in arriving
at an assessment of the investigator and the institution's ability
to perform the effort within the proposed cost and time constraints.
c. The proposed investigator's management arrangements should be
reviewed, including make or buy choices, support of any co-
investigator, and preselected subcontractors or other instrument
fabricators to determine whether such arrangements are justified.
The review should determine if the proposed management arrangements
enhance the investigator's ability to devote more time to the
proposed experiment objectives and still effectively employ the
technical and administrative support required for a successful
investigation. In making these evaluations, the Project Office
should draw on the installation's engineering, business, legal, and
other staff resources, as necessary, as well as its scientific
resources. If further information is needed from the proposers, it
should be obtained through the proper contacts.
407 Program Office Evaluation
1. A Program Office responsible for the project or program at
Headquarters will receive the evaluation of the proposals, and weigh
the evaluative data to determine an optimum payload or program of
investigation. This determination will involve recommendations
concerning individual investigations; but, more importantly, should
result in a payload or program which is judged to optimize total
mission return within schedule, engineering, and budgetary
constraints. The recommendations should facilitate sound selection
decisions by the Program AA. Three sets of recommendations result
from the Program Office evaluation:
a. Optimum payload or program of investigations, or options for
alternative payloads or programs.
b. Recommendation for final or tentative selection based on a
determination of the degree of uncertainty associated with
individual investigations. A tentative selection may be considered
step one of a two-step selection technique.
c. Upon consideration of the guidelines contained in paragraph
501-lc, recommending responsibility for instrument development.
2. The Installation Project Office evaluation is principally
concerned with ensuring that the proposed investigation can be
managed, developed, integrated, and executed with an
[[Page 40528]]
appropriate probability of technical success within the estimated
probable cost. The Headquarters program Director, drawing upon these
inputs, should be mainly concerned with determining a payload or
program from the point of view of programmatic goals and budgetary
constraints. Discipline and cost trade-offs are considered at this
level. The Headquarters Program Office should focus on the potential
contribution to program objectives that can be achieved under
alternative feasible payload integration options.
3. It may be to NASA's advantage to consider certain
investigations for tentative selection pending resolution of
uncertainties in their development. Tentative selections should be
reconsidered after a period of time for final selection in a payload
or program of investigations. This two-step selection process should
be considered when:
a. The potential return from the investigation is sufficient,
relative to that of the other investigations under consideration,
and that its further development appears to be warranted before
final selection.
b. The investigation potential is of such high priority to the
program that the investigation should be developed for flight if at
all possible.
c. The investigative area is critical to the program and
competitive approaches need to be developed further to allow
selection of the optimum course.
4. Based on evaluation of these considerations associated with
the investigations requiring further development of hardware, the
following information should be provided to the Steering Committee
and the Program AA responsible for selection:
a. The expected gain in potential return associated with the
eventual incorporation of tentatively recommended investigations in
the payload(s) or program.
b. The expected costs required to develop instrumentation to the
point of ``demonstrated capability.''
c. The risk involved in added cost, probability of successfully
developing the required instrument capability, and the possibility
of schedule impact.
d. Identification of opportunities, if any, for inclusion of
such investigations in later missions.
5. In those cases where investigations are tentatively selected,
an explicit statement should be made of the process to be followed
in determining the final payload or program of investigations and
the proposers so informed. The two-phase selection approach provides
the opportunity for additional assurance of development potential
and probable cost prior to a final commitment to the investigation.
6. As instruments used in investigations become increasingly
complex and costly, the need for greater control of their
development by the responsible Headquarters Program Office also
grows. Accordingly, as an integral part of the evaluation process, a
deliberate decision should be made regarding the role of the
Principal Investigator with respect to the provision of the major
hardware associated with that person's investigation. The guidelines
for the hardware acquisition determination are discussed in
paragraph 501-lc.
7. The range of options for responsibility for the
instrumentation consists of:
a. Assignment of full responsibility to the Principal
Investigator. The responsibility includes all in-house or contracted
activity to provide the instrumentation for integration.
b. Retention of developmental responsibility by the Government
with participation by the Principal Investigator in key events
defined for the program. In all cases the right of the Principal
Investigator to counsel and recommend is paramount. Such involvement
of the Principal Investigator may include:
(1) Provision of instrument specifications.
(2) Approval of specifications.
(3) Independent monitorship of the development and advice to the
Government on optimization of the instrumentation for the
investigation.
(4) Participation in design reviews and other appropriate
reviews.
(5) Review and concurrence in changes resulting from design
reviews.
(6) Participation in configuration control board actions.
(7) Advice in definition of test program.
(8) Review and approval of test program and changes thereto.
(9) Participation in conduct of the test program.
(10) Participation in calibration of instrument.
(11) Participation in final inspection and acceptance of the
instrument.
(12) Participation in subsequent test and evaluation processes
incident to integration and flight preparation.
(13) Participation in the development and support of the
operations plan.
(14) Analysis and interpretation of data.
8. The Principal Investigator should as a minimum:
a. Approve the instrument specification.
b. Advise the project manager in development and fabrication.
c. Participate in final calibration.
d. Develop and support the operations plan.
e. Analyze and interpret the data.
9. The Project Installation is responsible for implementing the
program or project and should make recommendations concerning the
role for the Principal Investigators. The Program AA will determine
the role, acting upon the advice of the Headquarters Program Office
and the Steering Committee. The Principal Investigator's desires
will be respected in the negotiation of the person's role allowing
an appeal to the Program AA and the right to withdraw from
participation.
10. The Program Office should make a presentation to the
Steering Committee with supporting documentation on the decisions to
be made by the responsible Program AA.
408 Steering Committee Review
1. The most important role of the Steering Committee is to
provide a substantive review of a potential payload or program of
investigations and to recommend a selection to the Program AA. The
Steering Committee applies the collective experience of
representatives from the program and discipline communities and
offers a forum for discussing the selection from those points of
view. In addition to this mission-specific evaluation function, the
Steering Committee provides guidance to subcommittee chairpersons
and serves as a clearinghouse for problems and complaints regarding
the process. The Steering Committee is responsible for assuring
adherence to required procedures. Lastly, it is the forum where
discipline objectives are weighed against program objectives and
constraints.
2. The Steering Committee represents the means for exercising
three responsibilities in the process of selecting investigations
to:
a. Review compliance with procedures governing application of
the AO process.
b. Ensure that adequate documentation has been made of the steps
in the evaluation process.
c. Review the results of the evaluation by the subcommittee,
Project, and Program Offices and prepare an assessment or
endorsement of a recommended payload or program of investigations to
the Program AA.
3. The purpose in exercising the first of these responsibilities
is to ensure equity and consistency in the application of the
process. The Steering Committee is intended to provide the necessary
reviews and coordination inherent in conventional acquisition
practices.
4. The second and third responsibilities of the Steering
Committee are technical. They require that the Steering Committee
review the evaluations by subcommittee, the Project Office, and the
Program Office for completeness and appropriateness before
forwarding to the Program AA. Most important in this review are:
a. Degree to which results of evaluations and recommendations
follow logically from the criteria in the AO.
b. Consistency with objectives and policies generally beyond the
scope of Project/Program Offices.
c. Sufficiency of reasons stated for tentative recommendations
of those investigations requiring further instrument research and
development.
d. Sufficiency of reasons stated for determining
responsibilities for instrument development.
e. Sufficiency of consideration of reusable space flight
hardware and support equipment for the recommended investigations.
f. Sufficiency of reasons for classifying proposed
investigations in their respective categories.
g. Fair treatment of all proposals.
5. The Steering Committee makes recommendations to the selection
official on the payload or program of investigations and notes
caveats or provisions important for consideration of the selection
official.
409 Principles to Apply
1. Paragraph 408 contains a description of the evaluation
function appropriate for a major payload or very significant program
of investigation. The levels of review, evaluation, and refinement
described should be applied in those selections where warranted but
could be varied for less significant selection situations. It is
essential to consider the principles of the several
[[Page 40529]]
evaluative steps, but it may not be essential to maintain strict
adherence to the sequence and structure of the evaluation system
described. The selection official is responsible for determining the
evaluation process most appropriate for the selection situation
using this Chapter as a guide.
2. Significant deviations from the provisions of this Handbook
must be fully documented and be approved by the Program AA after
concurrence by the Office of General Counsel and Office of
Procurement.
Chapter 5--The Selection Process
500 General
The Program AA is responsible for selecting investigations for
contract negotiation. This decision culminates the evaluations and
processes that can be summarized as follows:
------------------------------------------------------------------------
Evaluation stage Principal emphasis Results
------------------------------------------------------------------------
Contractor (when Summary evaluation Report to
authorized). (strengths and Subcommittee.
weaknesses.
Subcommittee........... Science and Categorization of
technological individual proposals.
relevance, value, and
feasibility.
Project Office......... Engineering/cost/ Reports to
integration/management Subcommittee and
assessment. Program Office.
Program Office......... Consistency with Recommendations to
announcement and Steering Committee of
program objectives, payload or program of
and cost and schedule investigations.
constraints.
Steering Committee..... Logic of proposed Recommendations to
selections and Program Associate
compliance with proper Administrator.
procedures.
------------------------------------------------------------------------
501 Decisions To Be Made
1. The selection decisions by the Program AA constitute
management judgments balancing individual and aggregate scientific
or technological merit, the contribution of the recommended
investigations to the AO's objectives, and their consonance with
budget constraints. The selection official may develop additional
data to make the following decisions:
a. Determination of the adequacy of scientific/technical
analysis supporting the recommended selections. This supporting
rationale should involve considerations including:
(1) Assurance that the expected return contributes substantially
to program objectives and is likely to be realized.
(2) Assurance that the evaluation criteria were applied
consistently to all proposed investigations.
(3) Assurance that the set of recommended investigations
constitutes the optimum program or payload considering potential
value and constraints.
(4) Assurance that only one investigator is assigned as the
Principal Investigator to each investigation and that the Principal
Investigator will assume the associated responsibilities and be the
single point of contact and leader of any other investigators
selected for the same investigation.
b. Determination as to whether available returned space hardware
or support equipment, with or without modification, would be
adequate to meet or support investigation objectives.
c. Determination as to whether the proposed instrument
fabricator qualifies and should be accepted as a sole source or
whether the requirement should be competitive procured. The
following guidelines apply:
(1) The hardware required should be subjected to competitive
solicitation where it is clear that the capability is not
sufficiently unique to justify sole source procurement.
(2) The hardware requirement should be purchased from the
fabricator proposed by the investigator, which may be the
investigator's own institution, (a) when the fabricator's proposal
contains technical data that are not available from another source,
and it is not feasible or practicable to define the fabrication
requirement in such a way as to avoid the necessity of using the
technical data contained in the proposal; (b) when the fabricator
offers unique capabilities that are not available from another
source; (c) when the selection official determines that the proposed
hardware contributes so significantly to the value of the
investigator's proposal as to be an integral part of it.
(3) If a producer other than the one proposed by the
investigator offers unique capabilities to produce the hardware
requirement, NASA may buy the hardware from the qualified
fabricator.
(4) If a NASA employee submits a proposal as a principal
investigator, any requirement for hardware necessary to perform the
investigation must either be competed by the installation
procurement office or a justification must be written, synopsized,
and approved in accordance with the requirements of FAR and the NFS.
d. Determination of the desirability for tentative selection of
investigations. This determination involves considerations
including:
(1) Assessment of the state of development of the investigative
hardware, the cost and schedule for development in relation to the
gain in potential benefits at the time of final selection.
(2) Assurance that there is adequate definition of investigation
hardware to allow parallel design of other project hardware.
(3) Assurance that appropriate management procedures are
contained in the project plan for reevaluation and final selection
(or rejection) on an appropriate time scale.
e. Determination of the acceptability of the proposer's
management plan, including the proposed hardware development plan,
and the necessity, if any, of negotiating modifications to that
plan.
2. In the process of making the above determinations described
in subparagraph 1, the Program AA may request additional information
or evaluations. In most instances, this information can be provided
by the Program Office responsible for the mission, project, or
program. However, the Program AA may reconvene the subcommittee or
poll the members individually or provide for additional analysis or
require additional data from evaluators or proposers as considered
necessary to facilitate the Program AA's decision.
502 The Selection Statement
Upon completion of deliberations, the responsible Program AA
shall issue a selection statement. Ordinarily this statement will,
upon request, be releasable to the public. As a minimum, the
selection statement should include:
1. The general and specific evaluation criteria and relative
importance used for the selection.
2. The categorizations provided by the subcommittee and the
rationale for accepting or not accepting each Category I proposal
and a succinct statement concerning the nonacceptance of all other
proposals.
3. A concise description of each investigation accepted
including an indication as to whether the selection is a partial
acceptance of a proposal and/or a joinder with other investigators.
4. The role of the Principal Investigator with regard to
hardware essential to the investigation and whether the Principal
Investigator will be responsible for hardware acquisition and the
basis therefor.
5. An indication of the plan and acquisition using the regular
procurement processes, if the Principal Investigator is not to
acquire the hardware.
6. A statement indicating whether the selection is final or
tentative, recognizing the need for better definition of the
investigation and its cost.
7. A statement indicating use of Government-owned space flight
hardware and/or support equipment.
503 Notification of Proposers
1. It is essential that investigators whose proposals have no
reasonable chance for selection be so apprised as soon as
practicable. The responsible Program Office will, upon such
determination, notify investigators of that fact with the major
reason(s) why the proposals were so
[[Page 40530]]
considered. The notification letter should also inform such
investigators that they may obtain a detailed oral debriefing
provided they request it in writing. The letter should point out
that such a debriefing would be available only after completion of
the selection process and would otherwise be conducted in accordance
with the NASA FAR Supplement. (See paragraph 504.)
2. Letters of notification will be sent to those Principal
Investigators selected to participate. This letter should not commit
the agency to more than negotiations for the selected investigation,
but it should indicate the decision made and contain:
a. A concise description of the Principal Investigator's
investigation as selected, noting substantive changes, if any, from
the investigation originally proposed by the Principal Investigator.
b. The nature of the selection, i.e., whether it should be
considered final or tentative requiring additional hardware or cost
definition.
c. A description of the role of the Principal Investigator
including the responsibility for the provision of instruments for
flight experiments.
d. Identification of the principal technical and management
points to be treated in subsequent negotiations.
e. Any rights to be granted on use of data, publishing of data,
and duration of use of the data.
f. Where applicable, indication that a foreign selectee's
participation in the program will be arranged between the
International Affairs Division, Office of External Relations, and
the foreign government agency which endorsed the proposal.
3. In conjunction with the notification of successful foreign
proposers, the Program Office shall forward a letter to the
responsible International Affairs Division, Office of External
Relations, addressing the following:
a. The scientific technological objective of the effort.
b. The period of time for the effort.
c. The responsibilities of NASA and of the sponsoring
governmental agency; these may include:
(1) Provision and disposition of hardware and software.
(2) Responsibilities for reporting, reduction and dissemination
of data.
(3) Responsibilities for transportation of hardware.
d. Any additional information pertinent to the conduct of the
experiment.
4. Using the information provided above, the International
Affairs Division, Office of External Relations will negotiate an
agreement with the sponsoring foreign agency.
5. Notices shall also be sent to those proposers not notified
pursuant to the preceding paragraphs, and, as applicable, a copy to
the sponsoring foreign government agency. It is important that these
remaining proposers be informed at the same time as those selected.
Other agency notifications and press release procedures will apply,
as appropriate.
504 Debriefing
It is the policy to debrief, if requested, unsuccessful
proposers of investigations in accordance with NFS 1815.1003. The
following considerations are offered in arranging and conducting
debriefings:
1. Debriefing should be done by an official designated by the
responsible Program AA. Any other personnel receiving requests for
information concerning the rejection of a proposal should refer to
the designated official.
2. Debriefing of unsuccessful offerors should be made at the
earliest possible time; debriefing will generally be scheduled
subsequent to selection but prior to award of contracts to the
successful proposers.
3. Material discussed in debriefing should be factual and
consonant with the documented findings of several stages of the
evaluation process and the selection statement.
4. The debriefing official should advise of weak or deficient
areas in the proposal, indicate whether those weaknesses were
factors in the selection, and advise of the major considerations in
selecting the competing successful proposer where appropriate.
5. The debriefing official should not discuss other unsuccessful
proposals, ranking, votes of members, or attempt to make a point-by-
point comparison with successful proposals.
6. A memorandum of record of the debriefing should be provided
the Chairperson of the Steering Committee.
Chapter 6--Payload Formulation
600 Payload Formulation
1. Payload elements for Space Transportation System (STS)
missions can come from many sources. These include those selected
through AOs, those generated by in-house research, unsolicited
proposals and those derived from agreements between NASA and
external entities. However, it is anticipated that the primary
source of NASA payload elements will be the AO process. Generally,
proposals for payload elements submitted outside the AO process will
not be selected if they would have been responsive to an AO
objective.
2. Payload elements for STS flights fall into two major
categories. ``NASA or NASA-related'' payload elements are those
which are developed by a NASA Program Office or by another party
with which NASA has a shared interest. ``Non-NASA'' payload elements
are those which require only STS operation services from NASA and
interface with NASA through the Office of Space Flight.
3. In general, a Program Office will be designated
responsibility for formulating the ``NASA or NASA-related'' portion
of an STS payload. The Office of Space Flight will be responsible
for formulating the ``non-NASA'' portion of an STS payload. Flights
may, of course, consist wholly of payload elements of either type.
Resource allocation for mixed missions will be determined by the
Program Office and the Office of Space Flight.
Chapter 7--Procurement and Other Considerations
700 Early Involvement Essential
1. The distinctive feature of the AO process is that it is both
a program planning system and a procurement system in one procedure.
The choice of what aeronautical and space phenomena to investigate
is program planning. Procurement is involved with the purchase of
property and services to carry out the selected investigations.
2. Because of both the programmatic and multi-functional aspects
of the AO process, early involvement of external program office
elements is essential. Success of the process requires that it
proceed in a manner that meets program goals and complies with
statutory requirements and procurement policy.
3. The planning, preparation and selection schedule for the
investigation should commence early enough to meet statutory and
regulatory requirements. Chief of these are the requirements for
soliciting maximum feasible competition and for conducting
discussions with offerors within the competitive range by the
Project Office and/or any other evaluation group or office
authorized by the selection official.
701 Negotiation, Discussions, and Contract Award
Indicated below are some of the major procurement procedures
that need to be accomplished to assure uniformity and sufficiency in
the acquisition of investigations. These areas are not exclusive and
not intended to substitute for coordination and good judgment before
issuance of the AO, during evaluation of proposals, and prior to
contract award.
1. As negotiated procurements must be made by soliciting
proposals from the maximum number of qualified sources consistent
with the requirement, the AO must also be synopsized in the Commerce
Business Daily. Responses to the synopsis must be added to the AO
mailing list. Every effort should be made to publish opportunities
far enough in advance to encourage a broad response. (In no case
less than 45 days before the date set for receipt of proposals).
2. Significant items for consideration after receipt of
proposals:
a. Late Proposals--The policy on late proposals contained in the
NFS 1815.412 is applicable. Potential investigators should be
informed of this policy. In the AO context, the selection official
or designee will determine whether a late proposal will be
considered.
b. Competitive Considerations
(1) The proposals submitted in response to the AOs are not
necessarily fully comparable. However, all proposals within the
scope of an opportunity must be evaluated in accordance with the
criteria in the AO.
(2) Cost must be considered in the evaluation if costs are
involved in the investigation. General cost information should be
given to the subcommittee by the Installation Project Office for use
in determining the categories into which the subcommittee places
proposals.
(3) Further information should be obtained, as necessary, by the
Installation Project
[[Page 40531]]
Office and/or any other evaluation group authorized by the selection
official and from the investigators whose proposals are being
considered. This is similar to the procurement procedure for
conducting written and oral discussions. A major consideration
during discussions is to avoid unfairness and unequal treatment.
Good judgment is required by in the extent and content of the
discussions. There should be no reluctance in obtaining the advice
and guidance of management and staff offices during the discussion
phase. A summary should be prepared of the primary points covered in
the written and oral discussions and show the effect of the
discussions on the evaluation of proposals. This summary should also
contain general information about the questions submitted to the
investigators, the amount of time spent in oral discussion, and
revisions in proposals, if any, resulting from the discussions.
(4) During the conduct of discussions, all proposers being
considered shall be offered an equitable opportunity to submit cost,
technical, or other revisions in their proposals as may result from
the discussions. All proposers shall be informed that any revisions
to their proposals must be submitted by a common cut-off date in
order to be considered. The record should note compliance of the
investigators with that cut-off date.
3. Significant items for consideration before award:
a. Issuance of a Request for Proposal (RFP)--A formal RFP should
not be issued to obtain additional information on proposals accepted
under the AO process. Additional technical, cost, or other data
received should be considered as a supplement to the original
proposal.
b. Selection of Investigator/Contractor--The selection decision
of the Program AA approves the selected investigators and their
institutions as the only satisfactory sources for the
investigations. The selection of the investigator does not
constitute the selection of that person's proposed supporting
hardware fabricator unless the selection official specifically
incorporates the fabricator in the selection decision.
702 Application of the Federal Acquisition Regulation (FAR) and
the NASA FAR Supplement (NFS)
The AO process supplants normal procurement procedures only to
the extent necessary to meet the distinctive features of the
process. This process is not intended to conflict with any
established statutory requirements. The FAR, the NFS, and related
procurement directives should be used for guidance in those
instances where instructions are not in this Handbook.
703 Other Administrative and Functional Requirements
After selection, all other applicable administrative and
functional requirements will be complied with or incorporated in any
resultant contract. These may include requirements contained in such
publications as NHB 5300.4(1B), ``Quality Program Provisions for
Aeronautical and Space System Contractors,'' and NHB 9501.2,
``Procedures for Contractor Reporting of Correlated Cost and
Performance Data.''
Appendix A: Format of Announcement of Opportunity (AO)
OMB Approval Number 2700-0085
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION, Washington, DC 20546
ANNOUNCEMENT OF OPPORTUNITY
AO No. ________ (Issuance Date)
(Descriptive Heading)
I. Description of the Opportunity
This section should set forth the basic purpose of the AO and
describe the opportunity in terms of NASA's desire to obtain
proposals which will meet the stated scientific, applications and/or
technological objectives. These objectives may be directed to the
generation of proposals for investigations and/or they may pertain
to the acquisition of dissimilar ideas leading to selection of
investigators, guest observers, guest investigators, or theorists;
and/or any other approved area as identified in NHB 8030.6. In those
instances where proposals for investigations are sought, this
section should describe the requirement, if any, for selected
investigators to serve on advisory or working groups. In those
instances where the project or program has not yet been approved, an
qualifying statement should be included to indicate that this AO
does not constitute an obligation for the Government to carry the
effort to completion.
II. AO Objectives
This section will give a succinct statement of the specific
scientific, applications, and/or technological objective(s) for the
opportunity(s) for which proposals are sought.
III. Background
This section should provide an explanation of the context of the
opportunity, i.e., information which will help the reader understand
the relevance of the opportunity.
IV. Proposal Opportunity Period
This section should provide the proposal opportunity period(s).
The following methods may be used individually or in conjunction for
establishing the proposal opportunity period(s):
1. The AO may be issued establishing a single date by which
proposals may be received. However, the AO could provide that the
agency may amend the AO to provide for subsequent dates for
submission of proposals, if additional investigations are desired.
2. The AO may be issued to provide for an initial submission
date with the AO to remain open for submission of additional
proposals up to a final cutoff date. This final date should be
related to the availability of resources necessary to evaluate the
continuous flow of proposals and the time remaining prior to the
flight opportunities contemplated by the AO.
3. The AO may be issued establishing a number of dates by which
proposals may be received. Normally no more than three proposal
submission dates should be established. The submittal dates may be
spread over the number of months most compatible with the possible
flight opportunities and the availability of resources necessary to
evaluate and fund the proposal. If desired, this section should
further inform the reader that if a proposal receives a Category I,
II, or III rating but is not selected for immediate support, the
proposal may, if desired by the proposer, be held by NASA for later
consideration within the ground rules set forth in paragraphs 1 and
2. The section should inform the reader that if the person wishes
the proposal to be so treated, it should be indicated in the
proposal. This section should further indicate that offerors whose
proposals are to be considered at a later time will be given the
opportunity to revalidate their proposals with their institution and
update cost data.
V. Requirements and Constraints
1. This section will include technical, programmatic, cost, and
schedule requirements or constraints, as applicable, and will
specify performance limits such as lifetime, flight environment,
safety, reliability, and quality assurance provisions for flight-
worthiness. It will specify the requirements and constraints related
to the flight crew and the ground support. It will also include
requirements for data analysis, estimated schedule of data shipment
to user or observer, need for preliminary or raw data analysis and
interim reports. It will specify planned period (time) for data
analysis to be used for budgeting. It will provide any additional
information necessary for a meaningful proposal.
2. When NASA determines that instrumentation, ground support
equipment, or NASA supporting effort will be required or may be
expected to be required by the contemplated investigations, the AO
should indicate to the potential investigators that they must submit
specific information regarding this requirement to allow an in-depth
evaluation of the technical aspects, cost, management, and other
factors by the Installation Project Office.
VI. Proposal Submission Information
1. Preproposal Activities--In this section, the AO will indicate
requirements and activities such as the following:
a. Submittal of ``Notice of Intent'' to propose (if desired),
date for submission, and any additional required data to be
submitted. Indicate whether there are information packages which
will only be sent to those who submit ``Notice of Intent.''
b. Attendance at the preproposal conference (if held).
Information should be provided as to time, place, whether attendance
will be restricted in number from each institution, and whether
prior notice of intention to attend is required. If desired, a
request may be included that questions be submitted in writing
several days before the conference in order to prepare replies.
c. The name and address of the scientific or technical contact
for questions or inquiries.
d. Any other preproposal data considered necessary.
2. Format of Proposals--This section should provide the
investigator with the
[[Page 40532]]
information necessary to enable an effective evaluation of the
proposal. The information is as follows:
a. Proposal--The AO should indicate how the proposal should be
submitted to facilitate evaluation. The proposal should be submitted
in at least two sections; (1) Investigation and Technical Section;
and (2) Management and Cost Section.
b. Certification--The proposal must be signed by an
institutional official authorized to certify institutional support,
sponsorship of the investigation, management, and financial aspects
of the proposal.
c. Quantity--The number of copies of the proposal should be
specified. One copy should be clear black and white, and on white
paper of quality suitable for reproduction.
d. Submittal Address--Proposals from domestic sources should be
mailed to arrive not later than the time indicated for receipt of
proposals to:
National Aeronautics and Space Administration Office of (Program)
Code ______ AO No. ______
Washington, DC 20546
e. Format--To aid in proposal evaluation, and to facilitate
comparative analysis, a uniform proposal format will be required for
each AO. The number of pages, page size, and restriction on photo
reduction, etc., may be included. The format contained in Appendix C
can be used as a guide. Proposers may be requested to respond to all
of the items or the AO may indicate that only selected items need be
addressed. Using the Appendix format as a guide, specific guidelines
may be prepared for the AO or an appropriate form developed.
3. Additional Information--This section may be used to request
or furnish data necessary to obtain clear proposals that should not
require further discussions with the proposer by the evaluators.
Other pertinent data could also be included, such as significant
milestones.
4. Foreign Proposals--The procedures for submission of proposals
from outside the U.S. are contained in Appendix B, ``General
Instructions and Provisions.'' This section will describe any
additional requirements, for example, if information copies of
proposals are required to be furnished by the proposer to other
organizations at the same time the proposal is submitted.
5. Cost Proposals (U.S. Investigators Only)--This section
defines any special requirements regarding cost proposals of
domestic investigators. Reference then should be made to the cost
proposal certifications indicated in Appendix B, ``General
Instructions and Provisions.''
VII. Proposal Evaluation, Selection, and Implementation
1. Evaluation and Selection Procedure
a. This section should notify the proposers of the evaluation
process.
b. For example, a statement similar to the following should be
included: ``Proposals received in response to this AO will be
reviewed by a subcommittee appointed by the (appropriate Program
AA). The purpose of the review is to determine the scientific/
technical merit of the proposals in the context of this AO and so
categorize the proposals. Those proposals which are considered to
have the greatest scientific/technical merit are further reviewed
for engineering, integration, management, and cost aspects by the
Project Office at the installation responsible for the project. On
the basis of these reviews, and the reviews of the responsible
Program Office and the Steering Committee, the (appropriate Program
Associate Administrator) will appoint/select the investigators/
investigations.''
2. Evaluation Criteria
a. This section should indicate that the selection of proposals
which best meet the specific scientific, applications, and/or
technological objectives, stated in the AO, is the aim of the
solicitation. This section should list the criteria to be used in
the evaluation of proposals and indicate their relative importance.
See paragraph 401, NHB 8030.6, for a listing of criteria generally
appropriate.
b. This section will also inform the proposers that cost and
management factors, e.g., proposed small business participation in
instrumentation fabrication or investigation support, will be
separately considered.
VIII. Schedule
This section should include the following, as applicable:
1. Preproposal conference date.
2. Notice of Intent submittal date.
3. Proposal submittal date(s).
4. Target date for announcement of selections.
IX. Appendices
1. General Instructions and Provisions (must be attached to each
AO).
2. Other Pertinent Data, e.g., Spacelab Accommodations Data.
/s/ Associate Administrator for (Program)
Appendix B: General
Instructions and Provisions
I. Instrumentation and/or Ground Equipment
By submitting a proposal, the investigator and institution agree
that NASA has the option to accept all or part of the offeror's plan
to provide the instrumentation or ground support equipment required
for the investigation or NASA may furnish or obtain such
instrumentation or equipment from any other source as determined by
the selecting official. In addition, NASA reserves the right to
require use, by the selected investigator, of Government
instrumentation or property that becomes available, with or without
modification, that will meet the investigative objectives.
II. Tentative Selections, Phased Development, Partial Selections, and
Participation with Others
By submitting a proposal, the investigator and the organization
agree that NASA has the option to make a tentative selection pending
a successful feasibility or definition effort. NASA has the option
to contract in phases for a proposed experiment, and to discontinue
the investigative effort at the completion of any phase. The
investigator should also understand that NASA may desire to select
only a portion of the proposed investigation and/or that NASA may
desire the individual's participation with other investigators in a
joint investigation, in which case the investigator will be given
the opportunity to accept or decline such partial acceptance or
participation with other investigators prior to a selection. Where
participation with other investigators as a team is agreed to, one
of the team members will normally be designated as its team leader
or contact point.
III. Selection Without Discussion
The Government reserves the right to reject any or all proposals
received in response to this AO when such action shall be considered
in the best interest of the Government. Notice is also given of the
possibility that any selection may be made without discussion (other
than discussions conducted for the purpose of minor clarification).
It is therefore emphasized that all proposals should be submitted
initially on the most favorable terms that the offeror can submit.
IV. Foreign Proposals
See Appendix C, Section II, para. 3.
V. Treatment of Proposal Data
It is NASA policy to use information contained in proposals and
quotations for evaluation purposes only. While this policy does not
require that the proposal or quotation bear a restrictive notice,
offerors or quoters should place the following notice on the title
page of the proposal or quotation and specify the information,
subject to the notice by inserting appropriate identification, such
as page numbers, in the notice. Information (data) contained in
proposals and quotations will be protected to the extent permitted
by law, but NASA assumes no liability for use and disclosure of
information not made subject to the notice.
Restriction on Use and Disclosure of Proposal and Quotation Information
(Data)
The information (data) contained in [insert page numbers or
other identification] of this proposal or quotation constitutes a
trade secret and/or information that is commercial or financial and
confidential or privileged. It is furnished to the Government in
confidence with the understanding that it will not, without
permission of the offeror, be used or disclosed for other than
evaluation purposes; provided, however, that in the event a contract
is awarded on the basis of this proposal or quotation the Government
shall have the right to use and disclose this information (data) to
the extent provided in the contract. This restriction does not limit
the Government's right to use or disclose this information (data) if
obtained from another source without restriction.
VI. Status of Cost Proposals (U.S. Proposals Only)
The investigator's institution agrees that the cost proposal is
for proposal evaluation and selection purposes, and that following
selection and during negotiations leading to a definitive contract,
the institution will be required to resubmit or execute a Standard
[[Page 40533]]
Form (SF) Form 1411 ``Contract Pricing Proposal Cover Sheet'' and
certifications and representations required by law and regulation.
VII. Late Proposals
The Government reserves the right to consider proposals or
modifications thereof received after the date indicated, should such
action be in the interest of the Government.
VIII. Source of Space Transportation System Investigations
Investigators are advised that candidate investigations for
Space Transportation System (STS) missions can come from many
sources.
IX. Disclosure of Proposals Outside Government
NASA may find it necessary to obtain proposal evaluation
assistance outside the Government. Where NASA determines it is
necessary to disclose a proposal outside the Government for
evaluation purposes, arrangements will be made with the evaluator
for appropriate handling of the proposal information. Therefore, by
submitting a proposal the investigator and institution agree that
NASA may have the proposal evaluated outside the Government. If the
investigator or institution desire to preclude NASA from using an
outside evaluation, the investigator or institution should so
indicate on the cover. However, notice is given that if NASA is
precluded from using outside evaluation, it may be unable to
consider the proposal.
X. Equal Opportunity (U.S. Proposals Only)
By submitting a proposal, the investigator and institution agree
to accept the following clause in any resulting contract:
Equal Opportunity
During the performance of this contract, the Contractor agrees
as follows:
1. The Contractor will not discriminate against any employee or
applicant for employment because of race, color, religion, sex, or
national origin.
2. The Contractor will take affirmative action to ensure that
applicants are employed, and that employees are treated during
employment without regard to their race, color, religion, sex, or
national origin. This shall include, but not be limited to, (a)
employment, (b) upgrading, (c) demotion, (d) transfer, (e)
recruitment or recruitment advertising, (f) layoff or termination,
(g) rates of pay or other forms of compensation, and (h) selection
for training, including apprenticeship.
3. The Contractor shall post in conspicuous places available to
employees and applicants for employment the notices to be provided
by the Contracting Officer that explain this clause.
4. The Contractor shall, in all solicitations or advertisements
for employees placed by or on behalf of the Contractor, state that
all qualified applicants will receive consideration for employment
without regard to race, color, religion, sex, or national origin.
5. The Contractor shall send to each labor union or
representative of workers with which it has a collective bargaining
agreement or other contract or understanding the notice to be
provided by the Contracting Officer, advising the labor union or
workers' representative of the Contractor's commitments under this
clause, and post copies of the notice in conspicuous places
available to employees and applicants for employment.
6. The Contractor shall comply with Executive Order 11246, as
amended, and the rules, regulations, and orders of the Secretary of
Labor.
7. The Contractor shall furnish to the contracting agency all
information required by Executive Order 11246, as amended, and by
the rules, regulations, and orders of the Secretary of Labor.
Standard Form 100 (EEO-1), or any successor form, is the prescribed
form to be filed within 30 days following the award, unless filed
within 12 months preceding the date of award.
8. The Contractor shall permit access to its books, records, and
accounts by the contracting agency or the Office of Federal Contract
Compliance Programs (OFCCP) for the purposes of investigation to
ascertain the Contractor's compliance with the applicable rules,
regulations, and orders.
9. If the OFCCP determines that the Contractor is not in
compliance with this clause or any rule, regulation, or order of the
Secretary of Labor, the contract may be canceled, terminated, or
suspended in whole or in part, and the Contractor may be declared
ineligible for further Government contracts, under the procedures
authorized in Executive Order 11246, as amended. In addition,
sanctions may be imposed and remedies invoked against the Contractor
as provided in Executive Order 11246, as amended, the rules,
regulations, and orders of the Secretary of Labor, or as otherwise
provided by law.
10. The Contractor shall include the terms and conditions of
subparagraph 1 through 9 of this clause in every subcontract or
purchase order that is not exempted by the rules, regulations, or
orders of the Secretary of Labor issued under Executive Order 11246,
as amended, so that these terms and conditions will be binding upon
each subcontractor or vendor.
11. The Contractor shall take such action with respect to any
subcontract or purchase order as the contracting agency may direct
as means of enforcing these terms and conditions, including
sanctions for non-compliance; provided, that if the Contractor
becomes involved in, or is threatened with, litigation with a
subcontractor or vendor as a result of direction, the Contractor may
request the United States to enter into the litigation to protect
the interests of the United States.
XI. Patent Rights
1. For any contract resulting from this solicitation awarded to
other than a small business firm or nonprofit organization, the
clause at NFS 1852.227-70, ``New Technology,'' shall apply. Such
contractors may, in advance of contract, request waiver of rights as
set forth in the provision at NFS 1852.227-71, ``Requests for Waiver
of Rights to Inventions.''
2. For any contract resulting from this solicitation awarded to
a small business firm or nonprofit organization, the clause at FAR
52.227-11, ``Patent Rights--Retention by the Contractor (Short
Form)'' (as modified by NFS 1852.227-11), shall apply.
Appendix C: Guidelines for Proposal Preparation
The following guidelines apply to the preparation of proposals
in response to an AO. The material is a guide for the proposer and
not intended to be encompassing or directly applicable to the
various types of proposals which can be submitted. The proposer
should provide information relative to those items applicable or as
required by the AO.
I. Cover Letter
A letter or cover page should be forwarded with the proposal
signed by the investigator and an official by title of the
investigator's organization who is authorized to commit the
organization responsible for the proposal.
II. Table of Contents
The proposal should contain a table of contents.
III. Identifying Information
The proposal should contain a short descriptive title for the
investigation, the names of all investigators, the name of the
organization or institution and the full name, address, and
telephone number of the Principal Investigator.
SECTION I--INVESTIGATION AND TECHNICAL PLAN
1. Investigation and Technical Plan
The investigation and technical plan generally will contain the
following:
a. Summary. A concise statement about the investigation, its
conduct, and the anticipated results.
b. Objective and Significant Aspects. A brief definition of the
objectives, their value, and their relationships to past, current,
and future effort. The history and basis for the proposal and a
demonstration of the need for such an investigation. A statement of
present development in the discipline field.
c. Investigation Approach
(1) Fully describe the concept of the investigation.
(2) Detail the method and procedures for carrying out the
investigation.
2. Instrumentation
This section should describe all information necessary to plan
for experiment development, integration, ground operations, and
flight operations. This section must be complete in itself without
need to request additional data. Failure to furnish complete data
may preclude evaluation of the proposal.
a. Instrument Description--This section should fully describe
the instrumentation and indicate items which are proposed to be
developed as well as any existing instrumentation. Performance
characteristics should be related to the experiment objectives as
stated in the proposal.
b. Instrument Integration--This section should describe all
parameters of the instrument pertinent to the accommodation of the
instrument in the spacecraft, Spacelab,
[[Page 40534]]
Shuttle Orbiter, Space Station, etc. These include, but are not limited
to, volumetric envelope; weight; power requirements; thermal
requirements; telemetry requirement; sensitivity to or generation of
contamination (e.g., EMI gaseous effluent); data processing
requirements.
c. Ground Operations--This section should identify requirements
for pre-launch or post-launch ground operations support.
d. Flight Operations--This section should identify any
requirements for flight operations support including mission
planning. Operational constraints, viewing requirements, and
pointing requirements should also be identified. Details of
communications needs, tracking needs, and special techniques, such
as extravehicular activity or restrictions in the use of control
thrusters at stated times should be delineated. Special
communications facilities that are needed must be described. Any
special orbital requirements, such as time of month, of day, phase
of moon, and lighting conditions are to be given in detail. Describe
real-time ground support requirements and indicate any special
equipment or skills required of ground personnel.
3. Data Reduction and Analysis
A discussion of the data reduction and analysis plan including
the method and format. A section of the plan should include a
schedule for the submission of reduced data to the receiving point.
In the case of Space Science programs, the National Space Science
Data Center, Greenbelt, MD, will be the repository for such data and
the Department of the Interior, Sioux Falls, SD, for earth
observations data.
4. Orbiter Crew and/or Payload Specialist Training Requirement
A description of the tasks required of each crew member
(Commander, Pilot, Mission Specialist) or payload specialist should
be provided, including the task duration and equipment involved.
Indicate special training necessary to provide the crew members or
payload specialist(s) with the capability for performing the
aforementioned tasks.
SECTION II--MANAGEMENT PLAN AND COST PLAN
A. Management Plan
The management plan should summarize the management approach and
the facilities and equipment required. Additional guidelines
applicable to non-U.S. proposers are contained herein:
1. Management
a. The management plan sets forth the approach for managing the
work, the recognition of essential management functions, and the
overall integration of these functions.
b. The management plan gives insight into the organization
proposed for the work, including the internal operations and lines
of authority with delegations, together with internal interfaces and
relationships with the NASA major subcontractors and associated
investigators. Likewise, the management plan usually reflects
various schedules necessary for the logical and timely pursuit of
the work accompanied by a description of the investigator's work
plan and the responsibilities of the co-investigators.
c. The plan should describe the proposed method of instrument
acquisition. It should include the following, as applicable.
(1) Rationale for the investigator to obtain the instrument
through or by the investigator's institution.
(2) Method and basis for the selection of the instrument
fabricator.
(3) Unique capabilities of the instrument fabricator that are
not available from any other source.
(4) Characteristics of the proposed fabricator's instrument that
make it an inseparable part of the investigation.
(5) Availability of personnel to administer the instrument
contract and technically monitor the fabrication.
(6) Status of development of the instrument.
(7) Method by which the investigator proposes to:
(a) Prepare instrument specifications.
(b) Review development progress.
(c) Review design and fabrication changes.
(d) Participate in testing program.
(e) Participate in final checkout and calibration.
(f) Provide for integration of instrument.
(g) Support the flight operations.
(h) Coordinate with co-investigators, other related
investigations, and the payload integrator.
(i) Assure safety, reliability, and quality.
(j) Provide required support for Payload Specialist(s), if
applicable.
(8) Planned participation by small and/or minority business in
any subcontracting for instrument fabrication or investigative
support functions.
2. Facilities and Equipment
All major facilities, laboratory equipment, and ground-support
equipment (GSE) (including those of the investigator's proposed
contractors and those of NASA and other U.S. Government agencies)
essential to the experiment in terms of its system and subsystems
are to be indicated, distinguishing insofar as possible between
those already in existence and those that will be developed in order
to execute the investigation. The outline of new facilities and
equipment should also indicate the lead time involved and the
planned schedule for construction, modification, and/or acquisition
of the facilities.
3. Additional Guidelines Applicable to Non-U.S Proposers Only
The following guidelines are established for foreign responses
to NASA's AO. Unless otherwise indicated in a specific announcement,
these guidelines indicate the appropriate measures to be taken by
foreign proposers, prospective foreign sponsoring agencies, and NASA
leading to the selection of a proposal and execution of appropriate
arrangements. They include the following:
a. Where a ``Notice of Intent'' to propose is requested,
prospective foreign proposers should write directly to the NASA
official designated in the AO and send a copy of this letter to the
International Relations Division, Office of External Relations, Code
IR, NASA, Washington, DC 20546, U.S.A.
b. Unless otherwise indicated in the AO, proposals will be
submitted in accordance with this Appendix excluding cost plans.
Proposals should be typewritten and written in English.
c. Persons planning to submit a proposal should arrange with an
appropriate foreign governmental agency for a review and endorsement
of the proposed activity. Such endorsement by a foreign organization
indicates that the proposal merits careful consideration by NASA and
that, if the proposal is selected, sufficient funds will be
available to undertake the activity envisioned.
d. Proposals including the requested number of copies and
letters of endorsement from the foreign governmental agency must be
forwarded to NASA in time to arrive before the deadline established
for each AO. These documents should be sent to:
National Aeronautics and Space Administration
International Relations Division
Code IR
Office of External Relations
Washington, DC 20546
U.S.A.
e. Those proposals received after the closing date will be
treated in accordance with NASA's provisions for late proposals.
Sponsoring foreign government agencies may, in exceptional
situations, forward a proposal directly to the above address if
review and endorsement is not possible before the announced closing
date. In such cases, NASA should be advised when a decision on
endorsement can be expected.
f. Shortly after the deadline for each AO, NASA's International
Relations Division will advise the appropriate sponsoring agency
which proposals have been received and when the selection process
should be completed. A copy of this acknowledgement will be provided
to each proposer.
g. Successful and unsuccessful proposers will be contacted
directly by the NASA Program Office coordinating the AO. Copies of
these letters will be sent to the sponsoring Government agency.
h. NASA's International Relations Division will then begin
making the arrangements to provide for the selectee's participation
in the appropriate NASA program. Depending on the nature and extent
of the proposed cooperation, these arrangements may entail:
(1) A letter of notification by NASA.
(2) An exchange of letters between NASA and the sponsoring
foreign governmental agency.
(3) An agreement or Memorandum of Understanding between NASA and
the sponsoring foreign governmental agency.
B. Cost Plan (U.S. Investigations Only)
The cost plan should summarize the total investigation cost by
major categories of cost as well as by function.
1. The categories of cost should include the following:
a. Direct Labor--List by labor category, with labor hours and
rates for each. Provide actual salaries of all personnel and the
percentage of time each individual will devote to the effort.
b. Overhead--Include indirect costs, which because of its
incurrence for common or joint
[[Page 40535]]
objectives, is not readily subject to treatment as a direct cost.
Usually this is in the form of a percentage of the direct labor
costs.
c. Materials--This should give the total cost of the bill of
materials including estimated cost of each major item. Include lead
time of critical items.
d. Subcontracts--List those over $25,000, specify the vendor and
the basis for estimated costs. Include any baseline or supporting
studies.
e. Special Equipment--Include a list of special equipment with
lead and/or development time.
f. Travel--List estimated number of trips, destinations,
duration, purpose, number of travelers, and anticipated dates.
g. Other Costs--Costs not covered elsewhere.
h. General and Administrative Expense--This includes the
expenses of the institution's general and executive offices and
other miscellaneous expenses related to the overall business.
i. Fee (if applicable).
2. Separate schedules, in the above format, should be attached
to show total cost allocable to the following:
a. Principal Investigator and other Investigators' costs.
b. Instrument costs.
c. Integration costs.
d. Data reduction and analysis including the amount and cost of
computer time.
3. If the effort is sufficiently known and defined, a funding
obligation plan should provide the proposed funding requirements of
the investigations by quarter and/or annum keyed to the work
schedule.
Appendix D: Glossary of Terms and Abbreviations Associated with
Investigations
Advisory Committee Subcommittee--Any committee, board,
commission, council, conference, panel, task force; or other similar
group, or any subcommittee or other subgroup thereof, that is not
wholly composed of full-time Federal Government employees, and that
is established or utilized by NASA in the interest of obtaining
advice or recommendations.
Announcement of Opportunity (AO)--A document used to announce
opportunities to participate in NASA programs. AOs are published in
accordance with this Handbook.
AO Process--A term used to describe the program planning and
procurement procedure used to acquire investigative effort,
initiated by an AO.
Categorization--The process whereby proposed investigations are
classified into four categories: synopsized here as Category I--
recommended for immediate acceptance; Category II--recommended for
acceptance but at a lower priority than Category I proposals;
Category III--sound investigations requiring further development;
Category IV--rejected.
Co-Investigator (Co-I)--Associate of a Principal Investigator,
responsible to the Principal Investigator for discrete portions or
tasks of the investigation. A NASA employee can participate as a Co-
I on an investigation proposed by a private organization.
Data Users--Participants in NASA programs, selected to perform
investigations utilizing data from NASA payloads or facilities.
Experiments--Activities or effort aimed at the generation of
data. NASA-sponsored experiments generally concern generation of
data obtained through measurement of aeronautical and space
phenomena or use of space to observe earth phenomena.
Federal Acquisition Regulation (FAR)--The regulations governing
the conduct of procurement.
Flight--That portion of the mission encompassing the period from
launch to landing or launch to termination of the active life of
spacecraft. The term shuttle ``flight'' means a single shuttle round
trip--its launch, orbital activity, and return; one flight might
deliver more than one payload. More than one flight might be
required to accomplish one mission.
Flight Investigation--Investigation conducted utilizing
aeronautical or space instrumentation.
Flight Opportunity--A flight mission designed to accommodate one
or more experiments or investigations.
Guest Investigators--Investigators selected to conduct
observations and obtain data within the capability of a NASA
mission, which are additional to the mission's primary objectives.
Sometimes referred to as Guest Observers.
Investigation--Used interchangeably with ``Experiments.''
Investigation Team--A group of investigators collaborating on a
single investigation.
Investigator--A participant in an investigation. May refer to
the Principal Investigator, Co-Investigator, or member of an
investigation team.
Mission--The performance of a coherent set of investigations or
operations in space to achieve program goals. (Example: Measure
detailed structure of Sun's chromosphere; survey mineral resources
of North America.)
NASA FAR Supplement (NFS)--Procurement regulations promulgated
by NASA in addition to the FAR.
NHB--NASA Handbook.
NMI--NASA Management Instruction.
Notice of Intent--A notice or letter submitted by a potential
investigator indicating the intent to submit a proposal in response
to an AO.
Payload--A specific complement of instruments, space equipment,
and support hardware carried to space to accomplish a mission or
discrete activity in space.
Peer Group--A gathering of experts in related disciplinary areas
convened as a subcommittee of the Program Office Steering Committee
to review proposals for flight investigations.
Peer Review--The process of proposal review utilizing a group of
peers in accordance with the categorization criteria as outlined in
this Handbook.
Principal Investigator (PI)--A person who conceives an
investigation and is responsible for carrying it out and reporting
its results. A NASA employee can participate as a PI only on a
government-proposed investigation.
Program--An activity involving human resources, materials,
funding, and scheduling necessary to achieve desired goals.
Project--Within a program, an undertaking with a scheduled
beginning and ending, which normally involves the design,
construction, and operation of one or more aeronautical or space
vehicles and necessary ground support in order to accomplish a
scientific or technical objective.
Project Office--An office generally established at a NASA field
installation to manage a project.
Selection Official--The NASA official designated to determine
the source for award of a contract or grant.
Space Facility--An instrument or series of instruments in space
provided by NASA to satisfy a general objective or need.
Steering Committee--A standing NASA sponsored committee
providing advice to the Program Associate Administrators and
providing procedural review over the investigation selection
process. Composed wholly of full-time Federal Government employees.
Study Office--An office established at a NASA field installation
to manage a potential undertaking which has not yet developed into
project status.
Subcommittee--An arm of the Program Office Steering Committee
consisting of experts in relevant disciplines to review and
categorize proposals for investigations submitted in response to an
AO.
Supporting Research and Technology (SR&T)---The programs devoted
to the conduct of research and development necessary to support and
sustain NASA programs.
Team--A group of investigators responsible for carrying out and
reporting the results of an investigation or group of
investigations.
Team Leader--The person appointed to manage and be the point of
contact for the team and who is responsible for assigning respective
roles and privileges to the team members and reporting the results
of the investigation.
Team Member--A person appointed to a team who is an associate of
the other members of the team and is responsible to the team leader
for assigned tasks or portions of the investigation.
1870.202 [Amended]
187. In section 1870.202, paragraph (b) is revised to read as
follows:
1870.202 System Content.
(a) * * *
(b) The system contains instructions for proposers. These
instructions shall be included in the NRA, a form of broad agency
announcement authorized at 1835.016.
188. Section 1870.203 and Appendix I are revised to read as
follows:
1870.203 Instructions for Responding to NRAs.
(a) The ``Instructions for Responding to NASA Research
Announcements'' document (prescribed in 1835.016-70(c)(4)) is set forth
as Appendix I to this section.
[[Page 40536]]
(b) This Appendix may be reproduced locally as part of the NRA
provided:
(1) The issuing office shall verify that the current version of
Appendix I is used.
(2) The text shall be reproduced verbatim; however, the issuing
office may remove the NFS page headers and add the NRA number. Any
other change shall be treated as a deviation in accordance with
1801.400.
Appendix I to 1870.203--Instructions for Responding to NASA Research
Announcements Instructions for Responding to Nasa Research
Announcements
(June 1995)
1. Foreword
a. These instructions apply to ``NASA Research Announcements.''
The ``NASA Research Announcement (NRA)'' permits competitive
selection of research projects in accordance with statute while
preserving the traditional concepts and understandings associated
with NASA sponsorship of research.
b. These instructions are Appendix I to 1870.203 of the NASA
Federal Acquisition Regulation Supplement.
2. Policy
a. Proposals received in response to an NRA will be used only
for evaluation purposes. NASA does not allow a proposal, the
contents of which are not available without restriction from another
source, or any unique ideas submitted in response to an NRA to be
used as the basis of a solicitation or in negotiation with other
organizations, nor is a pre-award synopsis published for individual
proposals.
b. A solicited proposal that results in a NASA award becomes
part of the record of that transaction and may be available to the
public on specific request; however, information or material that
NASA and the awardee mutually agree to be of a privileged nature
will be held in confidence to the extent permitted by law, including
the Freedom of Information Act.
3. Purpose
These instructions supplement documents identified as ``NASA
Research Announcements.'' The NRAs contain programmatic information
and certain requirements which apply only to proposals prepared in
response to that particular announcement. These instructions contain
the general proposal preparation information which applies to
responses to all NRAs.
4. Relationship to Award
a. A contract, grant, cooperative agreement, or other agreement
may be used to accomplish an effort funded in response to an NRA.
NASA will determine the appropriate instrument.
b. Grants are generally used to fund basic research in
educational and nonprofit institutions, while research in other
private sector organizations is accomplished under contract.
Contracts resulting from NRAs are subject to the Federal Acquisition
Regulation and the NASA FAR Supplement (NHB 5100.4). Any resultant
grants or cooperative agreements will be awarded and administered in
accordance with the NASA Grant and Cooperative Agreement Handbook
(NHB 5800.1).
5. Conformance to Guidance
a. NASA does not have mandatory forms or formats for responses
to NRAs; however, it is requested that proposals conform to the
guidelines in these instructions. NASA may accept proposals without
discussion; hence, proposals should initially be as complete as
possible and be submitted on the proposers' most favorable terms.
b. To be considered responsive, a submission must, at a minimum,
present a specific project within the areas delineated by the NRA;
contain sufficient technical and cost information to permit a
meaningful evaluation; be signed by an official authorized to
legally bind the submitting organization; not merely offer to
perform standard services or to just provide computer facilities or
services; and not significantly duplicate a more specific current or
pending NASA solicitation.
6. NRA-Specific Items
Several proposal submission items appear in the NRA itself: the
unique NRA identifier; when to submit proposals; where to send
proposals; number of copies required; and sources for more
information. Items included in these instructions may be
supplemented by the NRA.
7. Proposal Contents
a. The following information is needed to permit consideration
in an objective manner. NRAs will generally specify topics for which
additional information or greater detail is desirable. Each proposal
copy shall contain all submitted material, including a copy of the
transmittal letter if it contains substantive information.
b. Transmittal Letter or Prefatory Material. (1) The legal name
and address of the organization and specific division or campus
identification if part of a larger organization;
(2) A brief, scientifically valid project title intelligible to
a scientifically literate reader and suitable for use in the public
press;
(3) Type of organization: e.g., profit, nonprofit, educational,
small business, minority, women-owned, etc.;
(4) Name and telephone number of the principal investigator and
business personnel who may be contacted during evaluation or
negotiation;
(5) Identification of other organizations that are currently
evaluating a proposal for the same efforts;
(6) Identification of the NRA, by number and title, to which the
proposal is responding;
(7) Dollar amount requested, desired starting date, and duration
of project;
(8) Date of submission; and
(9) Signature of a responsible official or authorized
representative of the organization, or any other person authorized
to legally bind the organization (unless the signature appears on
the proposal itself).
c. Restriction on Use and Disclosure of Proposal Information.
Information contained in proposals is used for evaluation purposes
only. Offerors or quoters should, in order to maximize protection of
trade secrets or other information that is confidential or
privileged, place the following notice on the title page of the
proposal and specify the information subject to the notice by
inserting appropriate identification, such as page numbers, in the
notice. In any event, information contained in proposals will be
protected to the extent permitted by law, but NASA assumes no
liability for use and disclosure of information not made subject to
the notice.
Notice
Restriction on Use and Disclosure of Proposal Information.
The information (data) contained in [insert page numbers or
other identification] of this proposal constitutes a trade secret
and/or information that is commercial or financial and confidential
or privileged. It is furnished to the Government in confidence with
the understanding that it will not, without permission of the
offeror, be used or disclosed other than for evaluation purposes;
provided, however, that in the event a contract (or other agreement)
is awarded on the basis of this proposal the Government shall have
the right to use and disclose this information (data) to the extent
provided in the contract (or other agreement). This restriction does
not limit the Government's right to use or disclose this information
(data) if obtained from another source without restriction.
d. Abstract. Include a concise (200-300 word if not otherwise
specified in the NRA) abstract describing the objective and the
method of approach.
e. Project Description. (1) The main body of the proposal shall
be a detailed statement of the work to be undertaken and should
include objectives and expected significance; relation to the
present state of knowledge; and relation to previous work done on
the project and to related work in progress elsewhere. The statement
should outline the plan of work, including the broad design of
experiments to be undertaken and a description of experimental
methods and procedures. The project description should address the
evaluation factors in these instructions and any specific factors in
the NRA. Any substantial collaboration with individuals not referred
to in the budget or use of consultants should be described.
Subcontracting significant portions of a research project is
discouraged.
(2) When it is expected that the effort will require more than
one year, the proposal should cover the complete project to the
extent that it can be reasonably anticipated. Principal emphasis
should be on the first year of work, and the description should
distinguish clearly between the first year's work and work planned
for subsequent years.
f. Management Approach. For large or complex efforts involving
interactions among numerous individuals or other organizations,
plans for distribution of responsibilities and arrangements for
ensuring a coordinated effort should be described. Intensive working
relations with NASA field centers that are not logical inclusions
elsewhere in the proposal should be described.
[[Page 40537]]
g. Personnel. The principal investigator is responsible for
supervision of the work and participates in the conduct of the
research regardless of whether or not compensated under the award. A
short biographical sketch of the principal investigator, a list of
principal publications and any exceptional qualifications should be
included. Omit social security number and other personal items which
do not merit consideration in evaluation of the proposal. Give
similar biographical information on other senior professional
personnel who will be directly associated with the project. Give the
names and titles of any other scientists and technical personnel
associated substantially with the project in an advisory capacity.
Universities should list the approximate number of students or other
assistants, together with information as to their level of academic
attainment. Any special industry-university cooperative arrangements
should be described.
h. Facilities and Equipment. (1) Describe available facilities
and major items of equipment especially adapted or suited to the
proposed project, and any additional major equipment that will be
required. Identify any Government-owned facilities, industrial plant
equipment, or special tooling that are proposed for use.
(2) Before requesting a major item of capital equipment, the
proposer should determine if sharing or loan of equipment already
within the organization is a feasible alternative. Where such
arrangements cannot be made, the proposal should so state. The need
for items that typically can be used for research and non-research
purposes should be explained.
i. Proposed Costs. (1) Proposals should contain cost and
technical parts in one volume: do not use separate ``confidential''
salary pages. As applicable, include separate cost estimates for
salaries and wages; fringe benefits; equipment; expendable materials
and supplies; services; domestic and foreign travel; ADP expenses;
publication or page charges; consultants; subcontracts; other
miscellaneous identifiable direct costs; and indirect costs. List
salaries and wages in appropriate organizational categories (e.g.,
principal investigator, other scientific and engineering
professionals, graduate students, research assistants, and
technicians and other non-professional personnel). Estimate all
manpower data in terms of man-months or fractions of full-time.
(2) Explanatory notes should accompany the cost proposal to
provide identification and estimated cost of major capital equipment
items to be acquired; purpose and estimated number and lengths of
trips planned; basis for indirect cost computation (including date
of most recent negotiation and cognizant agency); and clarification
of other items in the cost proposal that are not self-evident. List
estimated expenses as yearly requirements by major work phases.
(Standard Form 1411 may be used).
(3) Allowable costs are governed by FAR Part 31 and the NASA FAR
Supplement Part 1831 (and OMB Circulars A-21 for educational
institutions and A-122 for nonprofit organizations).
j. Security. Proposals should not contain security classified
material. If the research requires access to or may generate
security classified information, the submitter will be required to
comply with Government security regulations.
k. Current Support. For other current projects being conducted
by the principal investigator, provide title of project, sponsoring
agency, and ending date.
l. Special Matters. (1) Include any required statements of
environmental impact of the research, human subject or animal care
provisions, conflict of interest, or on such other topics as may be
required by the nature of the effort and current statutes, executive
orders, or other current Government-wide guidelines.
(2) Proposers should include a brief description of the
organization, its facilities, and previous work experience in the
field of the proposal. Identify the cognizant Government audit
agency, inspection agency, and administrative contracting officer,
when applicable.
8. Renewal Proposals
a. Renewal proposals for existing awards will be considered in
the same manner as proposals for new endeavors. A renewal proposal
should not repeat all of the information that was in the original
proposal. The renewal proposal should refer to its predecessor,
update the parts that are no longer current, and indicate what
elements of the research are expected to be covered during the
period for which support is desired. A description of any
significant findings since the most recent progress report should be
included. The renewal proposal should treat, in reasonable detail,
the plans for the next period, contain a cost estimate, and
otherwise adhere to these instructions.
b. NASA may renew an effort either through amendment of an
existing contract or by a new award.
9. Length
Unless otherwise specified in the NRA, effort should be made to
keep proposals as brief as possible, concentrating on substantive
material. Few proposals need exceed 15-20 pages. Necessary detailed
information, such as reprints, should be included as attachments. A
complete set of attachments is necessary for each copy of the
proposal. As proposals are not returned, avoid use of ``one-of-a-
kind'' attachments: their availability may be mentioned in the
proposal.
10. Joint Proposals
a. Where multiple organizations are involved, the proposal may
be submitted by only one of them. It should clearly describe the
role to be played by the other organizations and indicate the legal
and managerial arrangements contemplated. In other instances,
simultaneous submission of related proposals from each organization
might be appropriate, in which case parallel awards would be made.
b. Where a project of a cooperative nature with NASA is
contemplated, describe the contributions expected from any
participating NASA investigator and agency facilities or equipment
which may be required. The proposal must be confined only to that
which the proposing organization can commit itself. ``Joint''
proposals which specify the internal arrangements NASA will actually
make are not acceptable as a means of establishing an agency
commitment.
11. Late Proposals
A proposal or modification received after the date or dates
specified in an NRA may be considered if the selecting official
deems it to offer NASA a significant technical advantage or cost
reduction.
12. Withdrawal
Proposals may be withdrawn by the proposer at any time. Offerors
are requested to notify NASA if the proposal is funded by another
organization or of other changed circumstances which dictate
termination of evaluation.
13. Evaluation Factors
a. Unless otherwise specified in the NRA, the principal elements
(of approximately equal weight) considered in evaluating a proposal
are its relevance to NASA's objectives, intrinsic merit, and cost.
b. Evaluation of a proposal's relevance to NASA's objectives
includes the consideration of the potential contribution of the
effort to NASA's mission.
c. Evaluation of its intrinsic merit includes the consideration
of the following factors, none of which is more important than any
other:
(1) Overall scientific or technical merit of the proposal or
unique and innovative methods, approaches, or concepts demonstrated
by the proposal.
(2) Offeror's capabilities, related experience, facilities,
techniques, or unique combinations of these which are integral
factors for achieving the proposal objectives.
(3) The qualifications, capabilities, and experience of the
proposed principal investigator, team leader, or key personnel
critical in achieving the proposal objectives.
(4) Overall standing among similar proposals and/or evaluation
against the state-of- the-art.
d. Evaluation of the cost of a proposed effort includes the
realism and reasonableness of the proposed cost and available funds.
14. Evaluation Techniques
Selection decisions will be made following peer and/or
scientific review of the proposals. Several evaluation techniques
are regularly used within NASA. In all cases proposals are subject
to scientific review by discipline specialists in the area of the
proposal. Some proposals are reviewed entirely in-house, others are
evaluated by a combination of in-house and selected external
reviewers, while yet others are subject to the full external peer
review technique (with due regard for conflict-of-interest and
protection of proposal information), such as by mail or through
assembled panels. The final decisions are made by a NASA selecting
official. A proposal which is scientifically and programmatically
meritorious, but not selected for award during its initial review,
may be included in subsequent reviews unless the proposer requests
otherwise.
[[Page 40538]]
15. Selection for Award
a. When a proposal is not selected for award, and the proposer
has indicated that the proposal is not to be held for subsequent
reviews, the proposer will be notified. NASA will explain generally
why the proposal was not selected. Proposers desiring additional
information may contact the selecting official who will arrange a
debriefing.
b. When a proposal is selected for award, negotiation and award
will be handled by the procurement office in the funding
installation. The proposal is used as the basis for negotiation. The
contracting officer may request certain business data and may
forward a model contract and other information which will be of use
during the contract negotiation.
16. Cancellation of NRA
NASA reserves the right to make no awards under this NRA and to
cancel this NRA. NASA assumes no liability for cancelling the NRA or
for anyone's failure to receive actual notice of cancellation.
Cancellation may be followed by issuance and synopsis of a revised
NRA, since amendment of an NRA is normally not permitted.
[FR Doc. 95-19144 Filed 8-8-95; 8:45 am]
BILLING CODE 7510-01-P
