PN 97-22

Procurement Notice

January 11, 1999

COVERAGE ON INFORMATION TO THE INTERNAL REVENUE SERVICE

PURPOSE: To provide guidance to NASA employees about furnishing to payment offices the taxpayer identification numbers of NASA contractors. The guidance will simplify NASA’s efforts in meeting requirements for reporting payment information to the Internal Revenue Service. This PN also permits NASA installations to have their own procedures for distributing TIN’s from the contracting office to the payment office, in place of using the last page of the contract as stated in FAR 4.203.

BACKGROUND: FAR 4.203 and subpart 4.9 have requirements for collecting Taxpayer Identification Numbers (TIN’s) and providing the TIN’s to the payment office. Payment offices use the TIN’s to meet requirements for reporting information to the IRS using IRS Form 1099. Payment offices can also use the TIN’s to meet requirements under the Debt Collection Improvement Act of 1996 to collect and report on any delinquent amounts arising out of the contractor’s relationship with the Government. 

Payment offices use IRS Form 1099 to report to the IRS payments for services. Payments for merchandise are exempt from the reporting requirement. However under this final rule, each NASA installation, that has its own employer identification number, may elect to report to the IRS the payments for merchandise. This optional reporting eliminates the need for the NASA installation to distinguish payments for merchandise from payments for services. This reporting does not change a taxpayer’s obligation to record the payments, regardless of type, as "gross receipts and sales" on tax forms.

REGULATIONS: Part 1804 is amended as set forth in the enclosed replacement pages to the NFS.

REPLACEMENT PAGES: You may used the enclosed pages to replace Structure page 1, Structure page 2, Structure page 3, Structure page 4, and Part 1804 to the NFS.

REGULATORY COMPLIANCE: This PN was published as a final rule in the Federal Register (64 FR 1528).

EFFECTIVE DATE: This PN is effective as dated and shall remain in effect until cancelled or superseded.

HEADQUARTERS CONTACT: Dave Beck, Code HK, (202) 358-0482, e-mail: david.beck@hq.nasa.gov. 

R. Scott Thompson

Director, Contract Management Division

 Enclosures

STRUCTURE OF THE NASA FAR SUPPLEMENT

TO THE SUBPART LEVEL

SUBCHAPTER A--GENERAL

PART 1801 FEDERAL ACQUISITION REGULATIONS SYSTEM

1801.1 Purpose, Authority, Issuance

1801.2 Administration

1801.3 Agency Acquisition Regulations

1801.4 Deviations from the FAR

1801.6 Career Development, Contracting Authority, and Responsibilities

1801.7 Determinations and Findings

PART 1802 DEFINITIONS OF WORDS AND TERMS

1802.1 Definitions

PART 1803 IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF INTEREST

1803.1 Safeguards

1803.2 Contractor Gratuities to Government Personnel

1803.3 Reports of Suspected Antitrust Violations

1803.5 Other Improper Business Practices

1803.6 Contracts with Government Employees or Organizations Owned or Controlled by Them

1803.7 Voiding and Rescinding Contracts

1803.8 Limitation on the Payment of Funds to Influence Federal Transactions

PART 1804 ADMINISTRATIVE MATTERS

1804.1 Contract Execution

1804.2 Contract Distribution

1804.4 Safeguarding Classified Information Within Industry

1804.5 Electronic Commerce in Contracting

1804.6 Contract Reporting

1804.8 Government Contract Files

1804.9 Taxpayer Identification Number Information

1804.70 Transfer of Contracting Office Responsibility

1804.71 Uniform Acquisition Instrument Identification

1804.72 Review and Approval of Contractual Instruments

1804.73 Procurement Requests

SUBCHAPTER B--COMPETITION AND ACQUISITION PLANNING

PART 1805 PUBLICIZING CONTRACT ACTIONS

1805.1 Dissemination of Information

1805.2 Synopses of Proposed Contracts

1805.3 Synopses of Contract Awards

1805.4 Release of Information

1805.5 Paid Advertisements

PART 1806 COMPETITION REQUIREMENTS

1806.2 Full and Open Competition After Exclusion of Sources

1806.3 Other Than Full and Open Competition

1806.5 Competition Advocates

PART 1807 ACQUISITION PLANNING

1807.1 Acquisition Plans

1807.2 Planning for the Purchase of Supplies in Economic Quantities

1807.3 Contractor Versus Government Performance

1807.5 Inherently Governmental Functions

1807.70 Consolidated Contracting

1807.71 Master Buy Plan

1807.72 Acquisition Forecasting

PART 1808 REQUIRED SOURCES OF SUPPLIES AND SERVICES

1808.1 Excess Personal Property

1808.4 Federal Supply Schedules

1808.6 Acquisition from Federal Prison Industries, Inc.

1808.7 Acquisition from Nonprofit Agencies Employing People Who Are Blind or Severely Disabled

1808.8 Acquisition of Printing and Related Supplies

1808.11 Leasing of Motor Vehicles

PART 1809 CONTRACTOR QUALIFICATIONS

1809.1 Responsible Prospective Contractors

1809.2 Qualifications Requirements

1809.4 Debarment, Suspension, and Ineligibility

1809.5 Organizational and Consultant Conflicts of Interest

1809.6 Contractor Team Arrangements

PART 1810 MARKET RESEARCH

PART 1811 DESCRIBING AGENCY NEEDS

1811.1 Selecting and Developing Requirements Documents

1811.4 Delivery of Performance Schedules

1811.5 Liquidated Damages

1811.6 Priorities and Allocations

PART 1812 ACQUISITION OF COMMERCIAL ITEMS

1812.1 Acquisition of Commercial Items—General

1812.3 Solicitation Provisions and Contract Clauses for the Acquisition of Commercial Items

1812.4 Unique Requirements Regarding Terms and Conditions for Commercial Items

1812.70 Commercial Space Hardware or Services

SUBCHAPTER C--CONTRACTING METHODS AND CONTRACT TYPES

PART 1813 SIMPLIFIED ACQUISITION PROCEDURES

1813.1 Procedures

1813.3 Simplified Acquisition Methods

PART 1814 SEALED BIDDING

1814.2 Solicitation of Bids

1814.3 Submission of Bids

1814.4 Opening of Bids and Award of Contract

PART 1815 CONTRACTING BY NEGOTIATION

1815.2 Solicitation and Receipt of Proposals and Information

1815.3 Source Selection

1815.4 Contract Pricing

1815.5 Preaward, Award, and Postaward Notifications, Protests, and Mistakes

1815.6 Unsolicited Proposals

1815.70 Ombudsman

PART 1816 TYPES OF CONTRACTS

1816.2 Fixed-Price Contracts

1816.3 Cost-Reimbursement Contracts

1816.4 Incentive Contracts

1816.5 Indefinite-Delivery Contracts

1816.6 Time-and-Materials, Labor-Hour, and Letter Contracts

PART 1817 SPECIAL CONTRACTING METHODS

1817.1 Multiyear Contracting

1817.2 Options

1817.4 Leader Company Contracting

1817.5 Interagency Acquisitions Under the Economy Act

1817.70 Acquisitions with Military Departments

1817.71 Exchange or Sale of Personal Property

1817.73 Phased Acquisition

PART 1818 RESERVED

SUBCHAPTER D--SOCIOECONOMIC PROGRAMS

PART 1819 SMALL BUSINESS PROGRAMS

1819.2 Policies

1819.3 Determination of Status as a Small Business Concern

1819.5 Set-Asides for Small Business

1819.6 Certificates of Competency

1819.7 Subcontracting with Small Business, Small Disadvantaged Business and Women-Owned Business Concerns

1819.8 Contracting with the Small Business Administration (The 8(a) Program)

1819.10 Small Business Competitiveness Demonstration Program

1819.70 NASA 8 Percent Goal

1819.71 NASA Rural Area Small Business Plan

1819.72 NASA Mentor-Prote¢ge¢ Program

PART 1820 RESERVED

PART 1821 RESERVED

PART 1822 APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS

1822.1 Basic Labor Policies

1822.3 Contract Work Hours and Safety Standards Act

1822.4 Labor Standards for Contracts Involving Construction

1822.6 Walsh-Healey Public Contracts Act

1822.8 Equal Employment Opportunity

1822.10 Service Contract Act of 1965

1822.13 Special Disabled and Vietnam Era Veterans

1822.14 Employment of the Handicapped

PART 1823 ENVIRONMENT, CONSERVATION, OCCUPATIONAL SAFETY, AND DRUG-FREE WORKPLACE

1823.1 Pollution Control and Clean Air and Water

1823.3 Hazardous Material Identification and Material Safety Data

1823.5 Drug-Free Workplace

1823.70 Safety and Health

1823.71 Frequency Authorization

PART 1824 PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION

1824.1 Protection of Individual Privacy

1824.2 Freedom of Information Act

PART 1825 FOREIGN ACQUISITION

1825.1 Buy American Act--Supplies

1825.2 Buy American Act--Construction Materials

PART 1804

ADMINISTRATIVE MATTERS

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 automated   information resources.

1804.470-1 Scope.

1804.470-2 Policy.

1804.470-3 Security plan for unclassified Federal Information Technology systems.

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.

1804.602 Federal Procurement Data System.

1804.670 Individual Procurement Action Report (NASA Form 507 series).

1804.670-1 Applicability and coverage.

1804.670-2 Submission due date.

1804.670-3 Preparing Individual Procurement Action Reports (NASA   Forms 507, 507A, 507B, 507G, and 507M).

1804.671 Committee on Academic Science and Engineering (C.A.S.E.) Report.

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 Detailed 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 INFORMATION

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 Prefixes.

1804.7103 Serial numbers.

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.

PART 1804

ADMINISTRATIVE MATTERS

Subpart 1804.1--Contract Execution

1804.103 Contract clause.

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 Associate 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.

Subpart 1804.2--Contract Distribution

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 NASA Center for AeroSpace Information (CASI), Attention: Document Processing Section, 800 Elkridge Landing Road, Linthicum Heights, MD 21090-2934.

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.

Subpart 1804.4--Safeguarding Classified Information Within Industry

1804.402 General.

(b) NASA industrial security policies and procedures are prescribed in NMI 1600.2, NASA Security Program. (See also 1842.202-72).

1804.404-70 Contract clause.

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 automated information resources.

1804.470-1 Scope.

This section implements the acquisition-related aspects of Federal policies for assuring the security of unclassified automated information resources.

1804.470-2 Policy.

NASA policies and procedures on automated information security are prescribed in NMI 2410.7, Assuring the Security and Integrity of NASA Automated Information Resources, and in NHB 2410.9, NASA Automated Information Security Handbook, Chapters 3 and 4. Security requirements for safeguarding sensitive information in unclassified Federal computer systems are required in: (a) contracts for automatic data processing equipment, software, the management or operation of Data Processing Installations (DPIs) or related services; and (b) contracts under which contractor personnel must have physical or electronic access to sensitive automated information, or automated information that supports mission-critical functions.

1804.470-3 Security plan for unclassified Federal Information Technology systems.

When considered appropriate for contract performance, the contracting officer, with the concurrence of the requiring activity and the center automated information security (AIS) manager, may require the contractor to submit for post-award Government approval a detailed Security Plan for Unclassified Federal Information Technology Systems. The plan shall be required as a contract data deliverable that will be subsequently incorporated into the contract as a compliance document after Government approval. The plan shall demonstrate thorough understanding of NMI 2410.7 and NHB 2410.9, and shall include, as a minimum, the security measures and program safeguards to ensure that the information technology resources acquired and used by contractor and subcontractor personnel:

(a) Operate effectively and accurately:

(b) Are protected from unauthorized alteration, disclosure, or misuse of information processed, stored, or transmitted;

(c) Can maintain the continuity of automated information support for Government missions, programs, and functions;

(d) Incorporate management, general, and application controls sufficient to provide cost-effective assurance of the system’s integrity and accuracy; and

(e) Have appropriate technical, personnel, administrative, environmental, and access safeguards.

1804.470-4 Contract clauses.

The contracting officer shall insert the clause substantially as stated at 1852.204-76, Security Requirements for Unclassified Automated Information Resources, in solicitations and contracts involving unclassified automated information resources. Paragraph (a) of the clause shall be completed with information supplied by the cognizant requiring activity.

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, procurement regulations, and associated information on the Internet.

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 Internet and in the Commerce Business Daily (CBD); and

(2) Post solicitation documents, including solicitation amendments or cancellations, and other procurement information on the Internet.

(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. 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 solicitations reside. External sites should not duplicate any of the files residing on the NAIS.

Subpart 1804.6--Contract Reporting

1804.601 Record requirements.

The Headquarters Office of Procurement (Code HS) is responsible for meeting the requirements of FAR 4.601, based on installation submission of Individual Procurement Action Reports (NASA Form 507 series) data.

1804.602 Federal Procurement Data System.

(d) Code HS is responsible for requesting, obtaining, and reporting Contractor Establishment Codes to the FPDS.

1804.670 Individual Procurement Action Report (NASA Form 507 series).

The Individual Procurement Action Report and Supplements (NASA Form 507 series) provide essential procurement records and statistics through a single uniform reporting program as a basis for required recurring and special reports to Congress, Federal Procurement Data Center, and other Federal agencies. The preparation and utilization of the NASA Form 507 series are integral parts of the agencywide Financial and Contractual Status (FACS) system.

1804.670-1 Applicability and coverage.

The following procurement actions are individually reportable and require the completion of one or more of the forms in the 507 series.

(a) Initial basic procurements.

(1) All contracts, regardless of dollar obligation amount.

(2) All grants, cooperative agreements, and funded Space Act agreements.

(3) Intragovernmental procurements and purchase orders when the initial value is more than $25,000.

(4) All purchase orders for advisory and assistance services.

(5) Purchase orders of $25,000 or less for services within the four designated industry groups identified at FAR 19.1005(a) under the Small Business Competitiveness Demonstration Program. (These actions are not FACS reportable, but are required for FPDS reports.)

(b) Modifications. Modifications that (1) obligate or deobligate funds, regardless of dollar amount, (2) change the estimated cost and/or fee, (3) extend the completion date, or (4) add or change procurement statistics previously reported.

1804.670-2 Submission due date.

The FACS report shall have information as of the last day of the month and shall arrive in NASA Headquarters not later than the close of business on the fifth work day following each month being reported. The installation procurement officer should establish an agreement with the installation financial officer on a cut-off date for processing contractual documents to ensure that the FACS procurement submission and the FACS financial submission for the month include the same contracts.

1804.670-3 Preparing Individual Procurement Action Reports (NASA Forms 507, 507A, 507B, 507G, and 507M).

(a) The information required by the following forms shall be provided when submitting individual Procurement Action Reports:

(1) New contract awards - NASA Forms 507, 507A, and 507B.

(2) New grants, cooperative agreements, funded Space Act agreements, intragovernmental agreements, and orders against federal supply schedules - NASA Forms 507G and 507B.

(3) Modifications to any procurement action - NASA Forms 507M and, if necessary, 507B.

(b) The NASA Forms 507 series shall be prepared in accordance with instructions issued by Code HS. These instructions will be issued and updated through Procurement Information Circulars (PICs).

1804.671 Committee on Academic Science and Engineering (C.A.S.E.) Report.

NASA Form 1356, C.A.S.E. Report on College and University Projects, shall be prepared for awards to nonprofit institutions of higher education or to nonprofit institutions that are operationally affiliated or integrated with an educational institution. Information on this form is used to produce reports required by the National Science Foundation and to respond to inquiries. Submission is required regardless of instrument type (contract, grant, cooperative agreement, or funded Space Act agreement) and type of proposal (solicited or unsolicited). Instructions appear on the form itself and constitute the detailed guidance for preparation and submission. The form, which is either included with the acquisition package or initiated by the contracting office, shall be completed, reviewed, and promptly forwarded upon award to the Headquarters Office of Human Resources and Education (Code FE).

Subpart 1804.8--Government Contract Files

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.

1804.803-70 Checklist.

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 Detailed procedures for closing out contract files.

(a) When the contracting office retains contract administration (excluding acquisitions under the simplified acquisition threshold), the contracting officer shall 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 shall 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 NHB 1441.1, NASA Records Disposition Handbook.

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 NHB 1441.1, NASA Records Disposition Handbook.

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

1804.7000 Scope of subpart.

This subpart contains policies and procedures applicable to the transfer of contracts between NASA installations.

1804.7001 Definition.

"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.

1804.7003-1 Coordinations.

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.

1804.7003-2 File inventory.

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.

1804.7003-3 Notifications.

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.

1804.7003-4 Transfer.

(a) Upon completion of the actions described in 1804.7003-1 through 1804.7003-3, the contracting officer of the transferring installation shall issue a letter to the contractor, agencies performing contract administration functions, contracting officer representatives, and the contracting officer of the receiving installation. This letter shall provide notification of the transfer date, termination of appointment of the contracting officer's representatives, and the name, mailing address, and telephone number of the contracting officer of the receiving installation.

(b) After issuing the letters described in 1804.7003-4(a), the contracting officer of the transferring installation shall send the contract file to the contracting officer of the receiving installation with a letter transferring contract responsibility. This letter shall contain a provision for acceptance of the responsibility for the contract and its related files by the contracting officer of the receiving installation.

1804.7003-5 Retention documentation.

The contracting officer of the transferring installation shall retain for permanent file a copy of the approvals and concurrences required by 1804.7002, the transfer acceptance letter of the contracting officer of the receiving installation, and any additional documents necessary for a complete summary of the transfer action.

1804.7004 Responsibilities of the contracting officer of the receiving installation.

1804.7004-1 Pre-transfer file review.

The contracting officer of the receiving installation shall review the contract, letters of request, actions in process, and other related files and to request corrective action, if necessary, before the official transfer of the contract. This review may be waived by written notification to the contracting officer of the transferring installation.

1804.7004-2 Post-transfer actions.

The contracting officer of the receiving installation shall--

(a) Provide the contracting officer of the transferring installation written acceptance of contract responsibility and receipt of the contract files;

(b) Inform all offices affected within the installation of the receipt of the contract;

(c) Appoint new contracting officer's technical representatives, as necessary;

(d) Issue a contract modification to provide for the administrative changes resulting from the transfer action (e.g., identifying offices responsible for performing contract administration and making payment and the office to which vouchers, reports, and data are to be submitted);

(e) Provide copies of the contract documents to affected installation offices; and

(f) If appropriate, supplement the letter of request to the Government agency providing contract administration services to reflect the changes resulting from the transfer action. The supplement may terminate or amend an existing contract administration support arrangement or may request support in additional areas.

Subpart 1804.71--Uniform Acquisition Instrument Identification

1804.7100 Scope of subpart.

This subpart contains the procedures for uniform numbering of NASA solicitations, contracts (including letter contracts), purchase orders (including requests to other Government agencies), basic ordering agreements, other agreements between the parties involving the payment of appropriated funds or collection of funds for credit to the Treasury of the United States, and modifications or supplements to these instruments.

1804.7101 Policy.

(a) Contractual documents shall be numbered with approved prefixes and serial numbers as prescribed in this subpart. If other identification is required for center purposes, it shall be placed on the document in such a location as to clearly separate it from the identification number.

(b) The identification number shall consist of not more than 11 alpha-numeric characters positioned as prescribed in this subpart and shall be retained unchanged for the life of the particular instrument.

1804.7102 Prefixes.

(a) Approved prefixes are as follows:

(b) The contract prefix shall be used for the following documents:

(1) Contracts, including letter contracts, indefinite-delivery contracts, utilities contracts, leases of real property and renewals.

(2) Easements.

(3) Basic ordering agreements.

(4) Other written agreements involving payment or receipt of funds not covered by 1804.7102(e).

(c) Contracts totally funded under reimbursable arrangements with the Department of Energy shall use a DEN prefix instead of the NAS prefix (e.g., DEN 8 for Marshall).

(d) Space Act agreements awarded under the authority of Section 203(c)(5) or 203(c)(6) of the Space Act shall use an NCA prefix instead of the NAS prefix (e.g., NCA 8 for Marshall).

(e) The purchase order prefix shall be used for purchase orders (including blanket purchase agreements) and requests to other Government agencies to furnish supplies or services.

(f) Solicitations shall be numbered in accordance with installation procedures, except that in all cases the identifying number shall begin with the portion of the installation's contract prefix following "NAS."

(g) If a prefix is required for an installation or office not listed in this subsection, a request for a prefix assignment shall be submitted to the Headquarters Office of Procurement (Code HS).

1804.7103 Serial numbers.

(a) Installations shall number contracts and agreements identified in 1804.7102(b) serially by fiscal year. The serial number shall be five digits beginning with a two-digit fiscal year identifier followed by a three digits commencing with "001" and continuing in succession. For example, the first contracts awarded by Ames Research Center in fiscal year 1997 shall be numbered NAS 2 97001 and NAS 2 97002. Fiscal year identification is optional for Space Act agreements.

(b) Serial number for purchase orders shall be assigned serially without fiscal year identification. When the series of numbers exceeds five digits (over 99,999), a new series shall be used, beginning the series with number "1" and followed by the capital letter "A." Should additional series become necessary, they will be distinguished by the capital letters "B," "C," and so forth, as may be required, except that the letters "I" and "O" shall not be used.

1804.7104 Modifications of contracts or agreements.

(a) Modifications of definitive or letter contracts or agreements shall (1) bear the same identification as the contract or agreement being modified and (2) be numbered consecutively for each contract or agreement, beginning with Modification Number 1, regardless of whether the modification is accomplished by unilateral or bilateral action. Except for termination notices, modifications shall be effected by the use of Standard Form 30, Amendment of Solicitation/Modification of Contract.

(b) Definitive contracts superseding letter contracts shall retain the same contract number as that originally assigned to the letter contract. Actions definitizing letter contracts are considered modifications and shall be assigned modification numbers in accordance with paragraph (a) of this subsection.

Subpart 1804.72--Review and Approval of Contractual Instruments

1804.7200 Contract review by Headquarters.

(a) Requests for approval of contracts and supplemental agreements by the Associate Administrator for Procurement shall be submitted to the Headquarters Office of Procurement (Code HS) in sufficient time to allow a minimum of 15 days for review.

(b) Each request for approval shall be accompanied by (1) five copies of the contractual document, one of which has been executed by the contractor and contracting officer, and (2) the official contract file containing the appropriate documentation as set forth in FAR 4.803(a). However, for the items specified in FAR 4.803(a)10, (11), and (12), the contracting officer shall provide documentation pertaining only to the successful offeror; and, in lieu of the items specified in FAR 4.803(a)(26)(ii) and (iii), the contracting officer shall provide an index briefly describing the content of all previous modifications.

(c) The approval required under this section shall be made by signature of the Associate Administrator for Procurement on the contract/supplemental agreement.

Subpart 1804.73--Procurement Requests

1804.7301 General.

Except in unusual circumstances, the contracting office shall not issue solicitations until an approved procurement request, containing a certification that funds are available, has been received. However, the contracting office may take all necessary actions up to the point of contract obligation before receipt of the approved procurement request certifying that funds are available when --

(a) Such action is necessary to meet critical program schedules;

(b) Program authority has been issued and funds to cover the procurement will be available prior to the date set for contract award or contract modification; and

(c) The procurement officer authorizes such action in writing before solicitation issuance.

(d) The solicitation includes the clause at FAR 52.232-18, Availability of Funds. The clause shall be deleted from the resultant contract.