January 20, 2000
IMPLEMENTING FOREIGN PROPOSALS TO NASA RESEARCH ANNOUNCEMENTS
ON A NO-EXCHANGE-OF-FUNDS BASIS
PURPOSE: To conform the handling of foreign proposals under NASA Research Announcements (NRAs) with that under Announcements of Opportunity (AOs).
BACKGROUND: NASA is adopting as final, with changes, the interim rule published in the Federal Register (64 FR 48560-48562, September 7, 1999) that revised NFS Parts 1852, Solicitation Provisions and Contract Clauses, and 1872, Acquisition of Investigations. Editorial and administrative changes are included in the final rule. Included in these changes is a revision to the proposal submission requirements to be consistent with internal procedures.
REGULATION: Changes are made in Parts 1852 and 1872 as set forth in the enclosed replacement pages.
REPLACEMENT PAGES: You may use the enclosed pages to replace 52:61, 52:62, 52:65, 52:66, 52:66.1 (remove 52:66.2), 52-96, 52-96, 72:31 and 72:32.
REGULATORY COMPLIANCE: This PN was published as a final rule in the Federal Register (64 FR 3153-3154, January 20, 2000).
EFFECTIVE DATE: This PN is effective as dated and shall remain in effect until canceled or superseded.
HEADQUARTERS CONTACT: Celeste Dalton, NASA Headquarters, Code HK, Washington, DC 20546, (202) 358-1645, email: firstname.lastname@example.org
R. Scott Thompson
Director, Contract Management Division
1852.235-71 Key Personnel and Facilities.
As prescribed in 1835.070(b), insert the following clause:
KEY PERSONNEL AND FACILITIES
(a) The personnel and/or facilities listed below (or specified in the contract Schedule) are considered essential to the work being performed under this contract. Before removing, replacing, or diverting any of the listed or specified personnel or facilities, the Contractor shall (1) notify the Contracting Officer reasonably in advance and (2) submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on this contract.
(b) The Contractor shall make no diversion without the Contracting Officer's written consent; provided, that the Contracting Officer may ratify in writing the proposed change, and that ratification shall constitute the Contracting Officer's consent required by this clause.
(c) The list of personnel and/or facilities (shown below or as specified in the contract Schedule) may, with the consent of the contracting parties, be amended from time to time during the course of the contract to add or delete personnel and/or facilities.
[List here the personnel and/or facilities considered essential, unless they are specified in the contract Schedule.]
(End of clause)
1852.235-72 Instructions for Responding to NASA Research Announcements.
As prescribed in 1835.070(c), insert the following provision:
INSTRUCTIONS FOR RESPONDING TO NASA RESEARCH ANNOUNCEMENTS
(1) Proposals received in response to a NASA Research Announcement (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.
(2) 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) 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) 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. Contracts resulting from NRAs are subject to the Federal Acquisition Regulation and the NASA FAR Supplement. Any resultant grants or cooperative agreements will be awarded and administered in accordance with the NASA Grant and Cooperative Agreement Handbook (NPG 5800.1).
(5) 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.
(6) To be considered for award, 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.
(b) 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.
(c) 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.
(1) Transmittal Letter or Prefatory Material.
(i) The legal name and address of the organization and specific division or campus identification if part of a larger organization;
(ii) A brief, scientifically valid project title intelligible to a scientifically literate reader and suitable for use in the public press;
(iii) Type of organization: e.g., profit, nonprofit, educational, small business, minority, women-owned, etc.;
(iv) Name and telephone number of the principal investigator and business personnel who may be contacted during evaluation or negotiation;
(v) Identification of other organizations that are currently evaluating a proposal for the same efforts;
(vi) Identification of the NRA, by number and title, to which the proposal is responding;
(vii) Dollar amount requested, desired starting date, and duration of project;
(viii) Date of submission; and
(ix) 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).
(2) 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 an appropriate identification 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.
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,
set of attachments is necessary for each copy of the proposal. As proposals are not returned, avoid use of "one-of-a-kind" attachments.
(f) Joint Proposals.
(1) 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.
(2) 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.
(g) Late Proposals. Proposals or proposal modifications received after the latest date specified for receipt may be considered if a significant reduction in cost to the Government is probable or if there are significant technical advantages, as compared with proposals previously received.
(h) Withdrawal. Proposals may be withdrawn by the proposer at any time before award. Offerors are requested to notify NASA if the proposal is funded by another organization or of other changed circumstances which dictate termination of evaluation.
(i) Evaluation Factors.
(1) 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.
(2) Evaluation of a proposal's relevance to NASA's objectives includes the consideration of the potential contribution of the effort to NASA's mission.
(3) Evaluation of its intrinsic merit includes the consideration of the following factors of equal importance:
(i) Overall scientific or technical merit of the proposal or unique and innovative methods, approaches, or concepts demonstrated by the proposal.
(ii) Offeror's capabilities, related experience, facilities, techniques, or unique combinations of these which are integral factors for achieving the proposal objectives.
(iii) The qualifications, capabilities, and experience of the proposed principal investigator, team leader, or key personnel critical in achieving the proposal objectives.
(iv) Overall standing among similar proposals and/or evaluation against the state-of-the-art.
(4) Evaluation of the cost of a proposed effort may include the realism and reasonableness of the proposed cost and available funds.
(j) 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.
(k) Selection for Award.
(1) When a proposal is not selected for award, 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.
(2) 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 award instrument and other information pertinent to negotiation.
(l) Additional Guidelines Applicable to Foreign Proposals and Proposals Including Foreign Participation.
(1) NASA welcomes proposals from outside the U.S. However, foreign entities are generally not eligible for funding from NASA. Therefore, unless otherwise noted in the NRA, proposals from foreign entities should not include a cost plan unless the proposal involves collaboration with a U.S. institution, in which case a cost plan for only the participation of the U.S. entity must be included. Proposals from foreign entities and proposals from U.S. entities that include foreign participation must be endorsed by the respective government agency or funding/sponsoring institution in the country from which the foreign entity is proposing. Such endorsement should indicate that the proposal merits careful consideration by NASA, and if the proposal is selected, sufficient funds will be made available to undertake the activity as proposed.
(2) All foreign proposals must be typewritten in English and comply with all other submission requirements stated in the NRA. All foreign proposals will undergo the same evaluation and selection process as those originating in the U.S. All proposals must be received before the established closing date. Those received after the closing date will be treated in accordance with paragraph (g) of this provision. Sponsoring foreign government agencies or funding institutions may, in exceptional situations, forward a proposal without endorsement if endorsement is not possible before the announced closing date. In such cases, the NASA sponsoring office should be advised when a decision on endorsement can be expected.
(3) Successful and unsuccessful foreign entities will be contacted directly by the NASA sponsoring office. Copies of these letters will be sent to the foreign sponsor. Should a foreign proposal or a U.S. proposal with foreign participation be selected, NASA's Office of External Relations will arrange with the foreign sponsor for the proposed participation on a no-exchange-of-funds basis, in which NASA and the non-U.S. sponsoring agency or funding institution will each bear the cost of discharging their respective responsibilities.
(4) Depending on the nature and extent of the proposed cooperation, these arrangements may entail:
(i) An exchange of letters between NASA and the foreign sponsor; or
(ii) A formal Agency-to-Agency Memorandum of Understanding (MOU).
(m) Cancellation of NRA. NASA reserves the right to make no awards under this NRA and to cancel this NRA. NASA assumes no liability for canceling the NRA or for anyone's failure to receive actual notice of cancellation.
(End of provision)
1852.236-71 Additive or Deductive Items.
As prescribed in 1836.570(a), insert the following provision:
ADDITIVE OR DEDUCTIVE ITEMS
(a) The low bidder for purposes of award shall be the conforming responsible bidder offering the low aggregate amount for the first or base bid item, plus or minus (in order of priority listed in the Schedule) those additive or deductive bid items providing the most features of the work within the funds determined by the Government to be available before bids are opened. If addition of another bid item in the listed order of priority would make the award exceed those funds for all bidders, it shall be skipped and the next subsequent additive bid item in a lower amount shall be added for each bid if award on it can be made within the funds.
(b) An example for one bid is an amount available of $100,000, a bidder's base bid of $85,000, and four successive additives of $10,000, $8,000, $6,000, and $4,000. In this example, the aggregate amount of the bid for purposes of award would be $99,000 for the base bid plus the first and fourth additives, the second and third additives being skipped because either of them would cause the aggregate bid to exceed $100,000.
(c) All bids shall be evaluated on the basis of the same additive or deductive bid items. The listed order of priority must be followed only for determining the low bidder. After determination of the low bidder, award in the best interests of the Government may be made to that bidder on its base bid and any combination of its additive or deductive bid items for which funds are determined to be available at the time of the award, provided that award of the combination of bid items does not exceed the amount offered by any other conforming responsible bidder for the same combination of bid items.
(End of provision)
1852.236-72 Bids with Unit Prices.
As prescribed in 1836.570(b), insert the following provision:
BIDS WITH UNIT PRICES
(a) All extensions of the unit prices bid will be subject to verification by the Government. If there is variation between the unit price and any extended amounts, the unit price will be considered to be the bid.
(b) If a modification to a bid based on unit prices that provides for a lump-sum adjustment to the total estimated cost is submitted, the application of the lump sum adjustment to each unit
nition of essential management functions, and the overall integration of these functions.
(ii) 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.
(iii) The plan should describe the proposed method of instrument acquisition. It should include the following, as applicable.
(A) Rationale for the investigator to obtain the instrument through or by the investigator's institution.
(B) Method and basis for the selection of the instrument fabricator.
(C) Unique capabilities of the instrument fabricator that are not available from any other source.
(D) Characteristics of the proposed fabricator's instrument that make it an inseparable part of the investigation.
(E) Availability of personnel to administer the instrument contract and technically monitor the fabrication.
(F) Status of development of the instrument.
(G) 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.
(H) 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:
(i) Where a "Notice of Intent" to propose is requested, prospective foreign proposers should write directly to the NASA official designated in the AO.
(ii) Unless otherwise indicated in the AO, proposals will be submitted in accordance with this Appendix. Proposals should be typewritten and written in English. Foreign entities are generally not eligible for funding from NASA. Therefore, proposals from foreign entities should not include a cost plan unless the proposal involves collaboration with a U.S. institution, in which case a cost plan for only the participation of the U.S. entity must be included (unless otherwise noted in the AO).
(iii) 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.
(iv) 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.
(v) 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.
(vi) Shortly after the deadline for each AO, the Program Office will advise the appropriate sponsoring agency which proposals have been received and when the selection process should be completed. A copy of this acknowledgment will be provided to each proposer.
(vii) 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.
(viii) NASA's Office of External Relations 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:
(A) An exchange of letters between NASA and the sponsoring foreign governmental agency.
(B) 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.