TABLE
OF CONTENTS
SUBPART 1804.1 CONTRACT EXECUTION
1804.103 Contract
clause.
1804.170 Contract
effective date.
SUBPART 1804.2 CONTRACT
DISTRIBUTION
1804.202 Agency
distribution requirements.
1804.203
Taxpayer identification
information.
SUBPART 1804.4 SAFEGUARDING
CLASSIFIED INFORMATION WITHIN
INDUSTRY
1804.402 General.
1804.404-70 Contract clause.
1804.470
Security
requirements for unclassified information technology (IT) resources.
1804.470-1 Scope.
1804.470-2 Policy.
1804.470-3 IT
Security Requirments.
1804.470-4 Contract
clauses.
SUBPART 1804.5 ELECTRONIC COMMERCE IN CONTRACTING
1804.570
NASA
Acquisition Internet Service (NAIS).
1804.570-1 General.
1804.570-2
Electronic
Posting System.
SUBPART 1804.6 CONTRACT
REPORTING
1804.601 Record
requirements.
1804.604 Responsibilities.
SUBPART 1804.8 GOVERNMENT CONTRACT FILES
1804.802-70 Handling of classified
material.
1804.803 Contents
of contract files.
1804.803-70
Checklist.
1804.804 Closeout
of contract files.
1804.804-2 Closeout of the contracting office files if another office
administers
the
contract.
1804.804-5 Procedures
for closing out contract files.
1804.805 Storage,
handling, and disposal of contract files.
1804.805-70
Review, separation, and
retirement of contract files.
SUBPART 1804.9 TAXPAYER
IDENTIFICATION NUMBER
1804.904 Reporting payment
information to the IRS.
SUBPART 1804.70 TRANSFER
OF CONTRACTING OFFICE RESPONSIBILITY
1804.7000 Scope
of subpart.
1804.7001 Definition.
1804.7002 Approval
of Transfer Requests.
1804.7003 Responsibilities of the contracting officer
of the transferring
installation.
1804.7003-1
Coordinations.
1804.7003-2
File inventory.
1804.7003-3
Notifications.
1804.7003-4
Transfer.
1804.7003-5
Retention documentation.
1804.7004 Responsibilities
of the contracting officer of the receiving
installation.
1804.7004-1
Pre-transfer file review.
1804.7004-2
Post-transfer actions.
SUBPART 1804.71 UNIFORM
ACQUISITION INSTRUMENT
IDENTIFICATION
1804.7100 Scope
of subpart.
1804.7101
Policy.
1804.7102 Numbering
scheme for solicitations.
1804.7103 Numbering
scheme for contracts.
1804.7104 Modifications of contracts or agreements.
SUBPART 1804.72 REVIEW
AND APPROVAL OF CONTRACTUAL
INSTRUMENTS
1804.7200 Contract
review by Headquarters.
SUBPART 1804.73 PROCUREMENT
REQUESTS
1804.7301 General.
The contracting officer shall include the
clause at FAR 52.204-1, Approval of Contract, in solicitations, contracts,
and supplemental agreements that require higher level approval. For actions requiring Headquarters approval,
insert "NASA Assistant Administrator for Procurement" in the clause's
blank space.
1804.170 Contract effective date.
(a)
"Contract effective date" means the date agreed upon by the
parties for beginning the period of performance under the contract. In no case shall the effective date precede
the date on which the contracting officer or designated higher approval
authority signs the document.
(b) Costs
incurred before the contract effective date are unallowable unless they qualify
as precontract costs (see FAR
31.205-32) and the
clause prescribed at 1831.205-70 is used.
1804.202 Agency
distribution requirements.
In addition to the requirements in FAR
4.201,
the contracting officer shall distribute one copy of each R&D contract,
including the Statement of Work, to the
1804.203 Taxpayer identification information.
Instead of using the last page of the
contract to provide the information listed in FAR
4.203, NASA installations may allow contracting officers to use a different
distribution method, such as annotating the cover page of the payment office
copy of the contract.
(b) NASA security policies and procedures are prescribed
in NPD 1600.2, NASA Security Policy; NPR 1620.2, Physical Security
Vulnerability Risk Assessments; NPR 2810.1 Security of Information Technology;
and NPD 2810.1, NASA Information Security Policy.
The contracting officer shall insert the
clause at 1852.204-75, Security
Classification Requirements, in solicitations and contracts if work to be
performed will require security clearances.
This clause may be modified to add instructions for obtaining security
clearances and access to security areas that are applicable to the particular
acquisition and installation.
1804.470 Security requirements for unclassified
information technology (IT) resources.
1804.470-1 Scope.
This
section implements NASA's acquisition requirements pertaining to Federal
policies for the security of unclassified information and information
systems. Federal policies include the
Federal Information System Management Act (FISMA) of 2002, Homeland Security
Presidential Directive (HSPD) 12, Clinger-Cohen Act of 1996 (40 U.S.C. 1401 et
seq.), OMB Circular A-130, Management of Federal Information Resources, and the
National Institute of Standards and Technology (NIST) security requirements and
standards. These requirements safeguard
IT services provided to NASA such as the management, operation, maintenance,
development, and administration of hardware, software, firmware, computer
systems, networks, and telecommunications systems.
1804.470-2 Policy.
NASA
IT security policies and procedures for unclassified information and IT are
prescribed in NASA Policy Directive (NPD) 2810,
Security of Information Technology; NASA Procedural Requirements (NPR) 2810, Security
of Information Technology; and interim policy updates in the form of NASA
Information Technology Requirements (NITR).
IT services must be performed in accordance with these policies and
procedures.
1804.470-3 IT Security Requirements.
These
IT security requirements cover all NASA contracts in which IT plays a role in
the provisioning of services or products (e.g., research and development,
engineering, manufacturing, IT outsourcing, human resources, and finance) that
support NASA in meeting its institutional and mission objectives. These requirements are applicable where a
contractor or subcontractor must obtain physical or electronic (i.e.,
authentication level 2 and above as defined in NIST Special Publication 800-63,
Electronic Authentication Guideline) access to NASA's computer systems,
networks, or IT infrastructure. These
requirements are also applicable in cases where information categorized as low,
moderate, or high by the Federal Information Processing Standards (FIPS) 199,
Standards for Security Categorization of Federal Information and Information
Systems, is stored, generated, processed, or exchanged by NASA or on behalf of
NASA by a contractor or subcontractor, regardless of whether the information
resides on a NASA or a contractor/subcontractor’s information system.
1804.470-4 Contract clause.
(a)
Insert the clause at 1852.204-76, Security Requirements for Unclassified
Information Technology Resources, in all solicitations and contracts
when contract performance requires contractors to --
(1)
Have physical or electronic access to NASA's computer systems, networks, or IT
infrastructure; or
(2)
Use information systems to generate, store, process, or exchange data with NASA
or on behalf of NASA, regardless of whether the data resides on a NASA or a
contractor’s information system.
(b) Paragraph (d) of the clause
allows contracting officers to waive the requirements of paragraphs (b) and
(c)(1) through (3) of the clause.
Contracting officers must obtain the approval of the --
(1) Center IT Security Manager before granting
any waivers to paragraph (b) of the clause; and
(2) The Center Chief of Security before granting
any waivers to paragraphs (c)(1) through (3) of the clause.
Subpart
1804.5--Electronic Commerce in Contracting
1804.570 NASA Acquisition
Internet Service (NAIS).
1804.570-1 General.
The NASA Acquisition Internet Service (NAIS)
provides an electronic means for posting procurement synopses, solicitations,
and associated information on the NAIS
Internet site which in turn, automatically posts relevant information onto the
Governmentwide point of entry (GPE).
1804.570-2 Electronic Posting System.
(a) The NAIS Electronic Posting System (EPS)
enables the NASA procurement staff to --
(1)
Electronically create and post synopses on the NAIS Internet site and
the GPE; and
(2) Post solicitation documents, including
solicitation amendments or cancellations, and other procurement information on
the NAIS Internet site with linked references on the GPE.
(b) The EPS maintains an on-line index
linking the posted synopses and solicitations for viewing and downloading.
(c) The EPS shall be used to --
(1)
Create and post all synopses in accordance with FAR Part 5 and NFS 1805;
and
(2)
Post all competitive solicitation files, excluding large construction
and other drawings, for acquisitions exceeding $25,000.
(d) The NAIS is the official site for
solicitation postings which in turn, automatically posts relevant information
onto the Government-wide point of entry (GPE).
In the event supporting materials, such as program libraries, cannot be
reasonably accommodated by the NAIS, Internet sites external to NAIS may be
established after coordination with the contracting officer. Such sites must be linked from the NAIS
business opportunities index where the solicitation resides. External sites should not duplicate any of
the files residing on the NAIS.
The Headquarters Office of Procurement,
Analysis Division, is responsible for
meeting the requirements of FAR
4.601, based on installation validation and approval of
data entered into the Federal Procurement Data System.
(d)(1) Centers shall ensure
that only actions awarded to SBA certified HUBZone small businesses are counted
towards HUBZone goal achievement when reporting information in the Federal
Procurement Data System (FPDS). Such
businesses must be determined by SBA as eligible to receive HUBZone contracts
prior to the time of proposal submission.
1804.604 Responsibilities.
(c)
Centers must perform a statistically-valid verification and validation of
FPDS-NG data twice per year on a minimum of 25 percent of center actions. The procurement officer must certify data
accuracy and completeness. Specific
process requirements are as follows:
(i) A cross-section of contract actions (delivery orders,
purchase orders, funding actions, new contract awards, grants, cooperative
agreements, etc.) shall be reviewed to provide visibility into the various
types of actions that the center executes.
The Office of Federal Procurement Policy (OFPP) requires a
statistically-valid data verification and validation process, and each center
is responsible for developing a statistically-valid method of contract action
selection. If the center reviews greater than 25 percent of its actions per
center guidance, the reviews should continue at the level required by the
center.
(ii) Validation
and verification must be conducted by an organization or person that did not
award the contracts being reviewed. The
reviews may be performed by contractor personnel as long as the individual was
not involved in the award of the contract action under review and the review
function is within the scope of the contract with NASA.
(iii) The review shall include the following
fields in FPDS-NG:
(A) Extent Competed – was competition
recorded correctly?
(B) Type
of Set-Aside – was the correct type of set-aside chosen?
(C) Contracting
Officer’s Business Size Selection – was the correct business size selected?
(D) Type
of Small Business Award (SWOB, SVOB, HUBZONE, etc.).
(E) Dollar
Amount of the Action.
(F) Place
of Manufacture.
(G) Advisory
and Assistance Services – was the field checked if the contract action was for
advisory and assistance services?
(H) Description
of Requirement – is there a meaningful description provided? A meaningful description is one that includes
something other than the effort title and/or the type of effort (e.g., “Phase
II SBIR” or “Space Shuttle Engine Modification”).
(I) Performance-Based
Acquisition – was the field checked if the contract action was
performance-based? (This field must be
checked in the basic and in each modification).
(J) Procurement
Placement Code (PPC) – was the correct PPC used?
(K) Vendor
Data in the Central Contractor Registration (CCR) – does data displayed in
FPDS-NG match data in CCR?
(L) Product/Service
Code – when multiple codes apply, does the code selected adequately describe
the preponderance of work being performed under the contract?
(iv) Errors or discrepancies identified during
the review must be documented and corrected in FPDS-NG and PRISM/CMM. Current year awards must be reviewed, but if
an error is identified that has been carried forward from the basic award, the
basic award must be corrected.
(v) Errors identified in CCR data and the
basic contract award information input by another agency (when placing orders)
cannot be corrected by NASA, but must still be reported.
(vi)
The procurement
officer shall submit the review results and the certification to the Office of
Procurement Analysis Division on or before the 30th of May and November of each
year. The May review covers the period
from October 1 through March 31, and the November review covers the period from
April 1 through September 30. The
reviews may be included as a part of center self-assessment activities or as
stand alone activities. Centers may
elect to conduct reviews on a more frequent basis (e.g., quarterly or monthly)
and include this data in the report accompanying the twice-yearly certifications.
(vii) The procurement officer must sign the
certification letter. The letter must
state that the verification and validation review has been accomplished and
must certify data accuracy and completeness.
The certification letter must be accompanied by an Excel spreadsheet
which identifies the contract actions reviewed, the findings for each field
identified in 1804.604(c)(iii), the changes (if any) required, and the date
that the changes were accomplished in FPDS-NG and/or CMM/PRISM.
(viii) Each center must identify a primary focal
point and one alternate for FPDS-NG data verification and validation
responsibility. The focal point is
responsible for establishing and coordinating the center’s review process and
ensuring that reviews comply with the requirements of this section and the OFPP
mandate for independent review of contract actions. The focal point must also ensure that
certifications (with required Excel spreadsheet data) are provided to the
Office of Procurement Analysis Division by the established due dates. Focal point and/or alternate changes must be
promptly provided to the Analysis Division.
(ix) Each center shall develop and maintain an
FPDS-NG Data Validation and Verification Implementation Plan. The implementation plan must describe the
method to be used in arriving at a statistically-valid sample representing a
cross-section of center contract actions, the percentage of actions to be
reviewed by the center twice yearly, the Excel spreadsheet template to be
provided with the certification, the frequency of planned reviews, and the
center plan for ensuring that the reviews are conducted by an organization or
person that did not award the contracts being reviewed. The procurement officer must provide a copy
the center’s implementation plan, and any changes or updates, to the Office of
Procurement Analysis Division.
1804.802-70 Handling of classified material.
When a contract is unclassified, classified
material relating to that contract shall be maintained in a separate file
folder and container, and the unclassified folder shall be marked to indicate
the location of the classified material.
The front and back of each folder containing classified material shall
be marked with the highest classification assigned to any document in the
folder.
1804.803 Contents of
contract files.
NASA Form 1098, Checklist for Contract Award
File Content, shall be used as the "top page" in contract files.
1804.804 Closeout of
contract files.
1804.804-2 Closeout of the contracting office files if
another office administers the contract.
(b)
Upon receiving the NASA Form 1611
or DD Form 1594, Contract Completion Statement, from the contract
administration office and complying with FAR 4.804-2(b), the contracting officer shall complete the form.
1804.804-5 Procedures
for closing out contract files.
(a)
When the contracting office retains contract administration (excluding
acquisitions under the simplified acquisition threshold), the contracting
officer must comply with FAR 4.804-5(a) by completing NASA Form 1612, Contract Closeout
Checklist, and DD Form 1593, Contract Administration Completion Record.
(b) To
comply with FAR 4.804-5(b), the contracting officer must complete NASA Form
1611 or DD Form 1594, Contract Completion Statement, except for acquisitions
under the simplified acquisition threshold.
1804.805 Storage,
handling, and disposal of contract files.
(a) See NPR
1441.1, NASA Records Retention Schedules.
1804.805-70 Review, separation, and retirement of
contract files.
(a)
Upon determination of contract completion under the procedures outlined
in 1804.804, each office shall remove the official contract files from the
active file series, mark each file folder with "Completed (Date)",
and place the folder in a completed (inactive) contract file series. Separate series should be established for
contracts of $25,000 or less and for contracts of more than $25,000, to
facilitate later disposal. Any original
or official file copies of documents contained in duplicate or
"working" contract files shall be removed and placed in the
appropriate official file; any remaining material in the duplicate or
"working" file shall be destroyed immediately or segregated and
marked for early disposal.
(b)
Each office shall review contractor "general" files (i.e., a
file containing documents relating generally to a contractor rather than a
specific contract) at least once annually and remove documents that --
(1)
Are obsolete or superseded documents relating generally to the
contractor (e.g., documents no longer pertinent to any aspect of a contractor's
current or future capability, performance, or programs, and documents relating
to a contractor that is no longer a possible source of supplies, services, or
technical assistance) and dispose of the
documents as authorized in 1804.805; or
(2)
Pertain only to completed contracts.
Place those files that are not routine in nature in inactive files for
later disposal, and immediately dispose of routine documents as authorized in NPR 1441.1, NASA Records Retention Schedules.
Subpart
1804.9--Taxpayer Identification Number Information
1804.904 Reporting payment information to the IRS.
Each NASA installation, that has its own
employer identification number, may elect to report to the IRS payments under purchase
orders and contracts for merchandise and other exempt bills.
Subpart 1804.70--Transfer
of Contracting Office Responsibility
This subpart contains policies and procedures
applicable to the transfer of contracts between NASA installations.
"Transfer of a contract," as used in this
subpart, means that process whereby a contract and all future responsibility
for a contract held by one installation are transferred or reassigned in
writing to another installation.
1804.7002
Approval of Transfer Requests.
(a)
The approval authority for requests to transfer a contract is the
official in charge of the cognizant Headquarters program office or
designee. Requests for approval shall be
submitted by the director of the transferring installation after receiving the
concurrence of the director of the receiving installation. Concurrence of the Associate Deputy
Administrator (Code AI) is also required for a transfer where an installation's
roles and missions may be affected.
(b)
Approval of a program transfer by the cognizant Headquarters official
constitutes approval to transfer program-related contracts.
1804.7003
Responsibilities of the contracting officer of the transferring
installation.
The contracting officer of the transferring
installation shall take the following steps before transferring the contract:
(a)
Agree on a plan and schedule with the contracting officer of the receiving
installation for transferring contract responsibility and contract files.
(b)
Coordinate with the following offices:
(1)
Financial Management Office, to determine the contract financial records
to be transferred and the method, timing, and dollar amount of such transfers.
(2)
Technical (Engineering and Project) Office, to determine the status of
any outstanding engineering changes.
(3) Reliability and Quality Assurance Office, to
determine status and method of
transferring the reliability and quality assurance functions.
(4)
Industrial Property and Facilities Office, to determine the method of
transferring the Government property records.
(5)
Transportation Office, to determine the status of bills of lading
furnished the contractor.
(6)
Security Office, to determine whether any classified material is
outstanding and whether special precautions are necessary during the transfer
process.
(7)
Other organizational elements, to determine the status of any other
actions such as new technology, materials reports, PERT, and safety.
The contracting officer of the transferring
installation shall prepare an inventory of the contract file. This inventory shall also include a separate
listing of all outstanding requests for contract administration assistance
issued to other Government agencies, indicating the name and address of the
agency office, functions requested to be performed, estimated cost of the
services, and estimated reimbursement due the administration agency for the
services yet to be performed for each requested function. Copies of this
inventory shall be provided to the contracting officer of the receiving
installation.
The contracting officer of the transferring
installation shall provide written notification of the planned transfer to the
contractor and all agencies performing or requested to perform administration
services.