97-76
Procurement
Notice
Procurement
Notice
National
Aeronautics and
Space
Administration
Washington, DC
20546
PN 97-76
August 6, 2002
SMALL BUSINESS COMPETITIVENESS
DEMONSTRATION PROGRAM
AND
CONFORMANCE WITH FAC 01-07 AND MISCELLANEOUS
ADMINISTRATIVE AND TECHNICAL CHANGES
BACKGROUND:
ITEM
I - This PN removes Research and Development in the Physical Engineering
and Life Sciences (NAICS 54171), from the list of targeted industry categories
(TICs) in Subpart 1819.10. The conversion from SIC to NAICS combined several
stand-alone classification categories together. The NAICS 54171 contains not only categories previously listed as
TICs but also other categories, some of which are used in conjunction with the
Small Business Innovative Research (SBIR) Program. The deletion of this category will avoid any potential conflicts
between the goals of the Competitiveness Demonstration Program and the SBIR
Program.
ITEM II - Item II of Federal Acquisition Circular (FAC) 01-07
removed Subpart 25.3, Balance of Payments Programs. This PN makes conforming
changes to NFS Parts 1825 and 1852 as a result of FAC 01-07. Additionally, this PN makes administrative
changes in section 1804.670, Individual Procurement Action Report (NASA 507
series); removes redundant language in section 1804.7403, Procedures, regarding
offeror registration in the Central Contractor Registration (CCR) database and
contract award; and clarifies the prescription language for NFS provisions in
1813.302-570 and 1815.209-70, NASA solicitation provisions. Finally, this rule makes technical
corrections to organizational addresses and reference citations.
ACQUISITIONS
AFFECTED BY CHANGES:
ITEM I - Any new acquisitions subject to the requirements of FAR
19.10 and 1819.10.
ITEM II - Non-commercial acquisitions
within the Simplified Acquisition Threshold using the consolidated
representations and certification provision at 1852.213-70, Offeror
Representations and Certifications-Other Than Commercial Items.
ACTION
REQUIRED BY CONTRACTING OFFICERS:
ITEM I - None.
ITEM
II - (1) Contracting
Officers shall follow the Individual Procurement Action Reporting (NASA Form
507 series) requirements and instructions contained in PIC 02-12 and any
superceding PICs.
(2) Solicitations issued after August 6, 2002,
for non-commercial acquisitions within the Simplified Acquisition Threshold
utilizing the consolidated representations and certification contained in the
provision at 1852.213-70, Offeror Representations and Certifications-Other Than
Commercial Items, must use the provision dated July 2002.
Clause/PROVISION Changes:
ITEM I - There are no clause or
provision changes as a result of this PN.
ITEM II - This PN revises the provision
at 1852.213-70, Offeror Representations and Certifications-Other Than Commercial
Items, by deleting the “Balance of Payments Program” throughout.
PARTS AFFECTED:
Changes are made in Parts 1804, 1813, 1815, 1819, 1825, and 1852.
REPLACEMENT PAGES: You may use the enclosed pages to replace Part 1804, 13:3,
13:4, 15:5, 15:6, 19:7, 19:8, 25:1, 25:2, 52:9, 52:10, 52:10.1, 52:10.2,
52:10.3, 52:10.4, 52-91, and 52-92.
TYPE OF
RULE AND PUBLICATION DATE: This PN was published as a final rule in the
Federal Register (67 FR 50823 - 50824) on August 6, 2002.
HEADQUARTERS
CONTACTS: ITEM I-Yolande Harden, Code HK, (202)
358-1279, e-mail: yharden@hq.nasa.gov;
ITEM II-Celeste Dalton, Code HK, (202) 358-1645, email:
cdalton@hq.nasa.gov.
R. Scott
Thompson
Director,
Contract Management Division
Enclosures
DISTRIBUTION:
PN List
HK/cbo/x1248/8-16-02
DocName:
a:/pn97-76.doc
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 information technology
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).
1804.671 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 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 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.
SUBPART
1804.74 CENTRAL CONTRACTOR
REGISTRATION
1804.7400 Scope.
1804.7401 Definitions.
1804.7402 Policy
1804.7403 Procedures.
1804.7404 Solicitation
provisions and contract clauses.
PART
1804
ADMINISTRATIVE
MATTERS
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 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.
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, 7121 Standard
Drive, Hanover, MD 21076-1320.
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.
1804.402
General.
(b) NASA security policies and procedures are
prescribed in NPD 1600.2A, NASA Security Policy; NPG 1600.6A, Communications
Security Procedures and Guidelines; NPG 1620.1, Security Procedures and
Guidelines; NPG 2810.1 and NPD 2810.1 Security of Information Technology.
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
information technology resources.
1804.470-1 Scope.
This section implements NASA's acquisition‑related aspects of
Federal policies for assuring the security of unclassified automated
information resources. Federal policies
include, but are not limited to, the Computer Security Act of 1987 (40 U.S.C.
1441 et seq.), the Clinger-Cohen Act of 1996 (40 U.S.C. 1401 et seq.), Public
Law 106-398, section 1061, Government Information Security Reform, OMB Circular
A-130, Management of Federal Information Resources, and the National Institute
of Standards and Technology security guidance and standards.
1804.470-2 Policy.
(a)
NASA policies and procedures on security for automated information technology
are prescribed in NPD 2810.1, Security of Information Technology, and
in NPG 2810.1, Security of Information Technology. The provision of information technology (IT) security in
accordance with these policies and procedures, is required in all contracts
that include IT resources or services in which a contractor must have physical
or electronic access to NASA's sensitive information contained in unclassified
systems that directly support the mission of the Agency. This includes
information technology, hardware, software, and the management, operation,
maintenance, programming, and system administration of computer systems,
networks, and telecommunications systems. Examples of tasks that require
security provisions include:
(1) Computer control of spacecraft, satellites,
or aircraft or their payloads;
(2) Acquisition, transmission or analysis of
data owned by NASA with significant replacement costs should the contractor’s
copy be corrupted; and
(3) Access to NASA networks or computers at a
level beyond that granted the general public, e.g. bypassing a firewall.
(b)
The contractor must not use or redistribute any NASA information processed,
stored, or transmitted by the contractor except as specified in the
contract.
1804.470-3 Security plan for unclassified Federal
Information Technology systems.
(a)
The requiring activity with the concurrence of the Center Chief Information
Officer (CIO), and the Center Information Technology (IT) Security Manager,
must determine whether an IT Security Plan for unclassified information is
required.
(b) IT security plans must demonstrate a thorough understanding of NPG 2810.1 and NPD
2810.1 and must include, as a minimum, the security measures and program
safeguards planned to ensure that the information technology resources acquired
and used by contractor and subcontractor personnel --
(1)
Are protected from unauthorized access, alteration, disclosure, or
misuse of information processed, stored, or transmitted;
(2) Can maintain the continuity of automated
information support for NASA missions, programs, and functions;
(3)
Incorporate management, general, and application controls sufficient to
provide cost-effective assurance of the systems' integrity and accuracy;
(4) Have appropriate technical, personnel,
administrative, environmental, and access safeguards;
(5) Document and follow a virus protection
program for all IT resources under its control; and
(6) Document and follow a network intrusion
detection and prevention program for all IT resources under its control.
(c)
The contractor must be required to develop and maintain an IT System Security
Plan, in accordance with NPG 2810.1, for systems for which the contractor has
primary operational responsibility on behalf of NASA.
(d)
The contracting officer must obtain the concurrence of the Center Chief of
Security before granting any contractor requests for waiver of the screening
requirement contained in the clause at 1852.204‑76.
1804.470-4 Contract clauses.
The
contracting officer must insert a clause substantially
the same as the clause at 1852.204‑76,
Security Requirements for Unclassified Information Technology Resources, in
solicitations and contracts which require submission of an IT Security Plan.
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.
1804.601
Record requirements.
The Headquarters Office of Procurement (Code
HC) 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 HC 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. The Headquarters Office of Procurement issues
Procurement Information Circulars (PICs) to --
(a) Identify
the procurement actions subject to reporting; and
(b) Provide
instructions on preparation of the NASA Forms 507.
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).
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 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 NPG
1441.1C, 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 NPG 1441.1C, Records Retention Schedules.
Subpart
1804.9--Taxpayer Identification Number Information