97-77

Procurement Notice

October 1, 2002

APPROVAL AUTHORITY FOR CONTRACT ACTIONS PENDING RESOLUTION OF AN AGENCY PROTEST

AND

BROAD AGENCY ANNOUNCEMENTS

BACKGROUND:

  ITEM I:  This PN revises NASA FAR Supplement (NFS) 1833.103(f) to—

      (1) Indicate that the Assistant Administrator for Procurement (Code H) is the approval authority for authorizing both contract award and contract performance pending resolution of an agency protest; and

      (2) Require centers to notify Code HS when an agency protest is received.  In addition, NFS 1833.103(c) and 1852.52.233-70 are amended to indicate that the Assistant Administrator for Procurement, instead of the currently designated Deputy Assistant Administrator, is the responsible official for the independent review alternative to an agency protest.

  ITEM II:  This PN amends the NASA FAR Supplement (NFS) to require, when relevant, consideration of safety and risk-based acquisition management in NASA's broad agency announcements.  This change will ensure consistency in the way safety and risk based acquisition management are treated in all NASA acquisitions.

 

ACTION REQUIRED BY CONTRACTING OFFICERS:

  ITEM I:  Contracting officers must notify Code HS, as well as Code GK, of all agency protests.  If centers desire to award a contract or continue contract performance while the agency protest is resolved, contracting officers must request, through Code HS, the written approval of Code H.

  ITEM II:  Broad Agency Announcements issued after October 1, 2002, requiring the use of the clause at 1852.235-72, Instructions for Responding to NASA Research Announcements, must include the revised clause dated October 2002.

 

Clause Changes:

  ITEM I: This PN revises 1852.233-70 to delete the two references to “Deputy”.

  ITEM II:  This PN revises the clause at 1852.235-72, Instructions for Responding to NASA Research Announcements, by requiring offerors to identify and discuss risk factors and issues throughout their proposals where they are relevant, and their approach to managing those risks.

 

PARTS AFFECTED:  Changes are made in Parts 1833, 1852, and 1872.

 

REPLACEMENT PAGES:  You may use the enclosed pages to replace Part 1833, 52:10.1,

52:10.2, 52:57, 52:58, 52:61-52:66, 52-95, 52-96, 72:5, 72:6, 72:7, 72:8, 72:23, 72:24, 72:25, and 72:26.

 

TYPE OF RULE AND PUBLICATION DATE:  This PN was published as a final rule in the Federal Register (67 FR 61519 - 61521) on October 1, 2002.

 

HEADQUARTERS CONTACTS:  ITEM I: Tom O’Toole, Code HK, (202) 358-0478, email:  thomas.otoole@hq.nasa.gov; ITEM II: Paul Brundage, Code HC, (202) 358-0481, email: paul.brundage@hq.nasa.gov.

 

 

R. Scott Thompson

Director, Contract Management Division

PART 1833

PROTESTS, DISPUTES, AND APPEALS

      

TABLE OF CONTENTS

 

SUBPART      1833.1             PROTESTS

1833.103                                             Protests to the agency.

1833.104                                             Protests to GAO.

1833.106                                             Solicitation provision and contract clause.

1833.106-70                           Solicitation provision.

 

SUBPART     1833.2              DISPUTES AND APPEALS

1833.209                                 Suspected fraudulent claims.

1833.210                                         Contracting officer’s authority.

1833.211                                 Contracting officer’s decision.

1833.215                                 Contract clause.

 

PART 1833

PROTESTS, DISPUTES, AND APPEALS

 

Subpart 1833.1--Protests

 

1833.103  Protests to the agency. 

   (c) An independent review under the provision at 1852.233-70 is available as an alternative to a protest to the contracting officer, but not as an appeal of a protest decision.  All independent reviews shall be conducted by the Assistant Administrator for Procurement or designee. Such reviews are different from the Ombudsman Program described at 1815.7001.

   (d) NASA shall summarily dismiss and take no further action upon any protest to the Agency if the substance of the protest is pending in judicial proceedings or the protester has filed a protest on the same acquisition with the United States General Accounting Office prior to receipt of an Agency protest decision.     

       (4)  When a potential bidder or offeror submits an Agency protest to NASA to the contracting officer or alternatively requests an independent review, the decision of the contracting officer or the independent review official shall be final and is not subject to any appeal or reconsideration within NASA. 

   (f) Protests received at NASA offices or locations other than that of the cognizant contracting officer shall be immediately referred to the contracting officer for disposition (see 1833.106(a)).  The contracting officer shall advise the Headquarters Offices of Procurement (Code HS) and the General Counsel (Code GK) of the receipt of the protest and the planned and actual disposition.  This paragraph does not apply when the protester has requested an independent review under the provision at 1852.233-70.

       (1) The Assistant Administrator for Procurement (Code HS) is the approval authority for contract award.

      (3) The Assistant Administrator for Procurement (Code HS) is the approval authority for authorizing continued contract performance.

 

1833.104  Protests to GAO.

   The Assistant Administrator for Procurement is the sole authority for deciding whether to defend a protest to GAO or to direct remedial action.  NASA per­son­nel shall take no action to respond to or resolve any protest filed with GAO other than in accordance with this part and other guidance provided by NASA Headquarters.

   (a)(2) The Headquarters Office of Pro­curement (Code HS) shall notify the con­tracting officer of protest receipt, and the contracting officer shall immediately give notice of the protest to all interested parties.  Oral contracting officer notices shall be subsequently confirmed in writing, and the contracting officer shall also send a copy of the written confir­mation to Code HS, the  Head­quar­ters Office of the General Coun­sel (Code GK), and the instal­lation Chief Counsel.

   (3)(i)  The contracting officer shall send four copies of the protest report, consisting of the protest file, the contracting officer’s state­ment of facts, and a draft memoran­dum of law to Code GK within 20 days after GAO notifi­cation of protest receipt.  Also include a copy of the file index in electronic format.  The contracting officer shall retain a minimum of two copies of the protest file.         

       (ii) When an actual or prospective offeror requests access to a protest file, the contracting officer shall take the following actions, except (a) and (b) are not required if already accomplished:

            (a) Send a copy of the protest file index to Code GK within 10 days of receipt of the request.

            (b) Send a copy of the protest file to Code GK within 15 days of receipt of the request.

            (c)  With Code GK concurrence, send the protest file and index to the requesting party to ensure delivery within 20 days after receipt of the request.         

       (iv) Code GK shall submit the protest file to GAO.

   (4)(i)  Code GK shall provide copies of the report to the protestor(s), any intervenors, and the installation Chief Counsel.

   (b)(1) The Assistant Administrator for Procurement (Code HS) is the approval authority for contract award.

   (c)(1) The contracting officer shall consult Code HS before terminating a protested contract.

       (2)  The Assistant Administrator for Procurement (Code HS) is the approval authority for authorizing contract performance. 

   (f) The Agency may request GAO reconsi­deration of its decision within 10 days of issuance. If reconsideration is appropriate, the installation Chief Counsel shall forward a draft request for reconsideration, with any additional supporting documentation, to Code GK within 6 days of issuance of the GAO decision.

 

1833.106  Solicitation provision and contract clause. 

   (a) The contracting officer shall be the designated recipient of Agency protests in paragraph (a) of the provision at FAR 52.233-2.

 

1833.106-70  Solicitation provision.

   Contracting officers shall insert the provision at 1852.233-70 in all solicitations.

 

Subpart 1833.2--Disputes and Appeals

 

1833.209  Suspected fraudulent claims.

   The contracting officer shall report sus­pected fraudulent claims to the Headquar­ters Offices of Inspector General (Code W) and the General Counsel (Code G).

 

1833.210  Contracting officer’s authority.

   See NASA Policy Directive 2010.2 on use of Alternative Dispute Resolution.

 

1833.211  Contracting officer’s decision. 

   (a)(4)(v)  The Armed Services Board of Contract Appeals is the NASA Administrator’s authorized representa­tive for hearing appeals of contracting officer final decisions.  Accordingly, contract­ing officers shall cite that fact in the final decision letter, provide the Board’s mailing address (Armed Servic­es Board of Contract Appeals, Skyline Six, 5109 Leesburg Pike, Falls Church, VA 22041-3208), and in­clude a notification that the Board’s oper­at­ing procedures appear in Part 48, Code of Fed­eral Regulations, Chapter 2, Appendix A.

 

1833.215  Contract clause.

   The contracting officer shall use the clause at FAR 52.233-1, Disputes, with its Alternate I whenever contin­ued perfor­mance is vital to national security, the public health and welfare, important agen­cy pro­grams, or other essential supplies or services whose timely reprocurement from other sources would be impracticable.

      (6) Small Business Size for the Small Business Competitiveness Demonstration Program and for the Targeted Industry Categories under the Small Business Competitiveness Demonstration Program. [Complete only if the offeror has represented itself to be a small business concern under the size standards for this solicitation.]

            (i) [Complete only for solicitations indicated as being set-aside for emerging small

businesses in one of the four designated industry groups (DIGs).] The offeror represents as part of its offer that it [   ] is, [   ] is not an emerging small business.

            (ii) [Complete only for solicitations indicated as being for one of the targeted industry

categories (TICs) or four designated industry groups (DIGs).] Offeror represents as follows:

                   (A) Offeror's number of employees for the past 12 months (check the Employees

column if size standard stated in the solicitation is expressed in terms of number of employees); or

                   (B) Offeror's average annual gross revenue for the last 3 fiscal years (check the Average Annual Gross Number of Revenues column if size standard stated in the solicitation is expressed in terms of annual receipts).

(Check one of the following):

 

NUMBER OF EMPLOYEES

AVERAGE ANNUAL GROSS                 REVENUES

___ 50 or fewer

___ $1 million or less

___ 51-100

___ $1,000,001--$2 million

___ 101-250

___ $2,000,001--$3.5 million

___ 251-500

___ $3,500,001--$5 million

___ 501-750

___ $5,000,001--$10 million

___ 751-1000

___ $10,000,001--$17 million

___ Over 1000

___ Over $17 million

 

       (7)  HUBZone small business concern. [Complete only if the offeror represented itself as a small business concern in paragraph (c)(1) of this provision.] The offeror represents as part of its offer that--

            (i) It [   ] is, [   ] is not a HUBZone small business concern listed, on the date of this

representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material change in ownership and control, principal office, or HUBZone employee percentage has occurred since it was certified by the Small Business Administration in accordance with 13 CFR Part 126; and

            (ii) It [   ] is, [   ] is not a joint venture that complies with the requirements of 13

CFR Part 126, and the representation in paragraph (c)(11)(i) of this provision is accurate for the HUBZone small business concern or concerns that are participating in the joint venture. [The offeror shall enter the name or names of the HUBZone small business concern or concerns that are participating in the joint venture: __________________________.]  Each HUBZone small business concern participating in the joint venture shall submit a separate signed copy of the HUBZone representation.

       (8) (Complete if dollar value of the resultant contract is expected to exceed $25,000 and the offeror has represented itself as disadvantaged in paragraph (c)(4) of this provision.) [The offeror shall check the category in which its ownership falls]:

____  Black American.

____  Hispanic American.

____  Native American (American Indians, Eskimos, Aleuts, or Native Hawaiians).

____ Asian-Pacific American (persons with origins from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust Territory of the Pacific Islands (Republic of Palau), Republic of the Marshall Islands, Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong, Fiji, Tonga, Kiribati, Tuvalu, or Nauru).

____ Subcontinent Asian (Asian-Indian) American (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal).

____ Individual/concern, other than one of the preceding.

 

   (d) Representations required to implement provisions of Executive Order 11246—

       (1) Previous contracts and compliance. The offeror represents that--

            (i) It [   ] has, [   ] has not participated in a previous contract or subcontract subject

to the Equal Opportunity clause of this solicitation; and

            (ii) It [   ] has, [   ] has not filed all required compliance reports.

       (2) Affirmative Action Compliance.  The offeror represents that--

            (i) It [   ] has developed and has on file, [   ] has not developed and does not have on file, at each establishment, affirmative action programs required by rules and regulations of the Secretary of Labor (41 CFR Parts 60-1 and 60-2), or

            (ii) It [   ] has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.

 

   (e) Buy American Act--Certificate. (Applies only if the clause at Federal Acquisition Regulation (FAR) 52.225-1, Buy American Act--Supplies, is included in this solicitation.)

      (1) The offeror certifies that each end product, except those listed in paragraph (e)(2) of this provision, is a domestic end product as defined in the clause of this solicitation entitled "Buy American Act--Supplies" and that the offeror has considered components of unknown origin to have been mined, produced, or manufactured outside the United States. The offeror shall list as foreign end products those end products manufactured in the United States that do not qualify as domestic end products.

 

(2) Foreign End Products:

 

LINE ITEM NO.

COUNTRY OF ORIGIN

___________________

_____________________

___________________

_____________________

___________________

_____________________

                                                [List as necessary]

 

       (3) The Government will evaluate offers in accordance with the policies and procedures of FAR Part 25.

   (f)(1) Buy American Act--North American Free Trade Agreement--Israeli Trade Act--Certificate. (Applies only if the clause at FAR 52.225-3, Buy American Act--North American Free Trade Agreement--Israeli Trade Act, is included in this solicitation.)

            (i)  The offeror certifies that each end product, except those listed in paragraph (f)(1)(ii) or (f)(1)(iii) of this provision, is a domestic end product as defined in the clause of this

1852.232-81  Contract Funding.

  As prescribed in 1832.705-270(b), insert the following clause:

CONTRACT FUNDING

(JUNE 1990)

  (a)  For purposes of payment of cost, exclusive of fee, in accordance with the Limitation of Funds clause, the total amount allotted by the Government to this contract is $         .  This allotment is for [Insert applicable item number(s), task(s), or work description]            and covers the following estimated period of performance:           .

 (b)  An additional amount of $         is obligated under this contract for payment of fee.

(End of clause)

 

1852.232-82 Submission of Requests for Progress Payments.

  As prescribed in 1832.502-470, insert the following clause:

SUBMISSION OF REQUESTS FOR PROGRESS PAYMENTS

(MARCH 1989)

  The Contractor shall request progress payments in accordance with the Progress Payments clause by submitting to the Contracting Officer an original and two copies of Standard Form (SF) 1443, Contractor's Request for Progress Payment, and the contractor's invoice (if applicable).  The Contracting Officer's office is the designated billing office for progress payments for purposes of the Prompt Payment clause.

 (End of clause)

 

1852.233-70  Protests to NASA.

   As prescribed in 1833.106-70, insert the following provision:

PROTESTS TO NASA

(OCTOBER 2002)

  Potential bidders or offerors may submit a protest under 48 CFR Part 33 (FAR Part 33) directly to the Contracting Officer. As an alternative to the Contracting Officer's consideration of a protest, a potential bidder or offeror may submit the protest to the Assistant Administrator for Procurement, who will serve as or designate the official responsible for conducting an independent review.  Protests requesting an independent review shall be addressed to Assistant Administrator for Procurement, NASA Code H, Washington, DC 20546-0001.

(End of provision)

 

1852.235-70 Center for AeroSpace Information - Final Scientific and Technical Reports.

  As prescribed in 1835.070(a), insert the following clause:

CENTER FOR AEROSPACE INFORMATION - FINAL SCIENTIFIC AND TECHNICAL REPORTS

(JULY 2000)

   (a)  The Contractor should register with and avail itself of the services provided by the NASA Center for AeroSpace Information (CASI) (http://www.sti.nasa.gov) for the conduct of research or research and development required under this contract.  CASI provides a variety of services and products as a central NASA repository of research information, which may enhance contract performance.  The address is set out in paragraph (d) of this clause.

  (b)  Should the CASI information or service requested by the Contractor be unavailable or not in the exact form necessary by the Contractor, neither CASI nor NASA is obligated to search for or change the format of the information.  A failure to furnish information shall not entitle the Contractor to an equitable adjustment under the terms and conditions of this contract.

  (c) In addition to the final report, as defined at 1827.406-70(a)(3), submitted to the contracting officer, a reproducible copy and a printed or reproduced copy of the final report or data shall be concurrently submitted to:

Center for AeroSpace Information (CASI)

Attn: Document Processing Section

            7121 Standard Drive

            Hanover, Maryland  21076-1320

            Phone: 301-621-0390

            FAX:  301-621-0134

  (d) The last page of the final report submitted to CASI shall be a completed Standard Form (SF) 298, Report Documentation Page.  In addition to the copy of the final report, the contractor shall provide, to CASI, a copy of the letter transmitting the final report to NASA for its Document Availability Authorization (DAA) review.

  (e) The contractor shall not release the final report, outside of NASA, until the DAA review has been completed by NASA and availability of the report has been determined.

 (End of clause)

1852.235-71  Key Personnel and Facilities.

  As prescribed in 1835.070(b), insert the following clause:

KEY PERSONNEL AND FACILITIES

(MARCH 1989)

  (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

(OCTOBER 2002)

  (a) General.

       (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 award 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.

Notice

Restriction on Use and Disclosure of Proposal Information

      The information (data) contained in [insert page numbers or other identification] of this Proposal constitutes a trade secret and/or information that is commercial or financial and confidential or privileged.  It is furnished to the Government in confi­dence with the understanding that it will not, without permission of the offeror, be used or disclosed other than for evaluation purposes; provided, however, that in the event a contract (or other agreement) is awarded on the basis of this proposal the Government shall have the right to use and disclose this information (data) to the ex­tent provided in the contract (or other agreement).  This restriction does not limit the Government's right to use or disclose this information (data) if obtained from another source without restriction.

       (3) Abstract.  Include a concise (200-300 word if not otherwise specified in the NRA) abstract describing the objective and the method of approach.

       (4) Project Description.

            (i) The main body of the proposal shall be a detailed statement of the work to be undertaken and should include objectives and expected significance; relation to the present state of knowledge; and relation to previous work done on the pro­ject and to related work in progress else­where.  The statement should outline the plan of work, including the broad design of experiments to be undertaken and a description of experimental methods and procedures.  The project de­scription should address the evaluation factors in these instructions and any spe­cific factors in the NRA.  Any substantial collaboration with individuals not referred to in the budget or use of consultants should be described.  Subcontracting significant portions of a research project is discouraged.

            (ii) When it is expected that the effort will require more than one year, ­the proposal should cover the complete project to the extent that it can be reason­ably anticipated.  Principal emphasis should be on the first year of work, and the description should distin­guish clearly between the first year's work and work planned for subsequent years.

       (5) Management Approach.  For large or complex efforts involving interactions among numerous individuals or other organizations, plans for distri­bution of responsibilities and ­ar­rangements for ensuring a coordi­nated effort should be described.

       (6) Personnel.  The principal investigator is responsible for supervision of the work and partici­pates in the conduct of the re­search regard­less of whether or not compensated under the award.  A short bio­graphical sketch of the prin­cipal investiga­tor, a list of principal publications and any exceptional qualifi­cations should be includ­ed.  Omit social security number and other personal items which do not merit consider­ation in evaluation of the proposal.  Give similar biographical information on other senior professional personnel who will be di­rectly associated with the project.  Give the names and titles of any other scien­tists and technical personnel associated substan­tially with the project in an advisory capac­ity.  Universities should list the approxi­mate number of students or other assistants, together with information as to their level of academic attainment.  Any special industry-university cooperative arrange­ments should be described.

       (7) Facilities and Equipment.

            (i) Describe available facilities and major items of equipment especially adapt­ed or suited to the proposed project, and any additional major equipment that will be required.  Identify any Government-owned facilities, industrial plant equip­ment, or special tooling that are proposed for use.  Include evidence of its availability and the cognizant Government points of contact.

            (ii) Before requesting a major item of capital equipment, the proposer should determine if sharing or loan of equipment already within the organization is a feasible alternative.  Where such ar­rangements cannot be made, the proposal should so state.  The need for items that typically can be used for research and non-research purposes should be explained.

       (8) Proposed Costs (U.S. Proposals Only).

            (i) Proposals should contain cost and technical parts in one volume: do not use separate "confidential" salary pages.  As applicable, include separate cost estimates for salaries and wages; fringe benefits; equipment; expendable materials and sup­plies; services; domestic and foreign travel; ADP expenses; publication or page charges; consultants; subcontracts; other miscella­neous identifiable direct costs; and indirect costs.  List salaries and wages in appropri­ate organizational categories (e.g., principal investigator, other scientific and engineer­ing professionals, graduate students, re­search assistants, and technicians and other non-professional personnel).  Estimate all staffing data in terms of staff-months or fractions of full-time.

            (ii) Explanatory notes should accompa­ny the cost proposal to provide identifica­tion and estimated cost of major capital equipment items to be acquired; purpose and estimated number and lengths of trips planned; basis for indirect cost computation (including date of most recent negotiation and cognizant agency); and clarification of other items in the cost proposal that are not self-evident.  List estimated expenses as yearly requirements by major work phases.

            (iii) Allowable costs are governed by FAR Part 31 and the NASA FAR Supplement Part 1831 (and OMB Circulars A-21 for educational institutions and A-122 for nonprofit organizations).

(iv) Use of NASA funds--NASA funding may not be used for foreign research efforts at any level, whether as a collaborator or a subcontract.  The direct purchase of supplies and/or services, which do not constitute research, from non-U.S. sources by U.S. award recipients  is permitted.  Additionally, in accordance with the National Space Transportation Policy, use of a non-U.S. manufactured launch vehicle is permitted only on a no-exchange-of-funds basis.

       (9) Security.  Proposals should not contain security classi­fied material.  If the research requires access to or may generate security classified informa­tion, the submit­ter will be required to comply with ­Government securi­ty regulations.

       (10) Current Support.  For other current projects being con­ducted by the principal investigator, provide title of project, sponsoring agency, and ending date.

       (11) Special Matters.

             (i) Include any required statements of environmental impact of the research, human subject or animal care provisions, conflict of interest, or on such other topics as may be required by the nature of the effort and current statutes, executive or­ders, or other current Government-wide guidelines.

 (ii) Identify and discuss risk factors and issues throughout the proposal where they are relevant, and your approach to managing these risks.

             (iii) Proposers should include a brief description of the organization, its facili­ties, and previous work experience in the field of the proposal.  Identify the cogni­zant Government audit agency, inspection agency, and administrative contracting officer, when applicable.

  (d) Renewal Proposals.

       (1) Renewal proposals for existing awards will be considered in the same manner as proposals for new endeavors.  A renewal proposal should not repeat all of the information that was in the original proposal.  The renewal proposal should refer to its predecessor, update the parts that are no longer current, and indicate what elements of the research are expected to be covered during the period for which support is desired.  A description of any significant findings since the most recent progress report should be included.  The renewal proposal should treat, in rea­sonable detail, the plans for the next period, contain a cost estimate, and otherwise ad­here to these instructions.

       (2) NASA may renew an effort either through amendment of an existing contract or by a new award.

  (e) Length.  Unless otherwise specified in the NRA, effort should be made to keep propos­als as brief as possible, concentrating on substantive material.  F­­ew proposals need exceed 15-20 pages.  Necessary detailed infor­mation, such as reprints, should be included as attachments.  A complete set of attach­ments is necessary for each copy of the proposal.  As proposals are not returned, avoid use of "one-of-a-kind" attachments.

  (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)

   (b) The program office shall:

       (1) Synopsize the AO in the Com­merce Business Daily and on the NAIS prior to release;

       (2) Determine if there is instru­men­ta­tion or support equipment available which may be appropriate to the AO with all necessary background data considered essential for use by a proposer;

       (3) Determine mailing lists, includ­ing the mailing list maintained by the Interna­tional Affairs Division, Office of External Rela­tions, for broad dissemination of the AO; and

       (4) Assure mandatory provi­sions are contained in the AO.

   (c) Other methods of dissemination of the AO may also be used, such as the use of press releases, etc.  When possible, the AO should be widely publicized through publi­cations of appropriate professional societ­ies; however, NASA policy does not allow payment for the placement of advertise­ments.

 

1872.303  Responsibilities.

   (a) The program office originator is responsible for the content of the AO and coordination with concerned Headquarters offices and field installations.  All person­nel involved in the evaluation of proposals are responsible for familiarizing themselves and complying with this part and other applicable regulations.  To this end, they are expected to seek the advice and guidance of appropriate Headquarters program and staff offices, and Project Installation management.

   (b) The Program Office is also re­sponsi­ble for coordinating the AO with the Inter­national Affairs, Educational Affairs, Management Support Divisions, Office of External Relations, Office of General Counsel, Office of Safety and Mission Assurance, and Office of Procurement prior to issuance (see NPD 1360.2, Initiation and Development of International Cooperation in Space and Aeronautics Programs).

   (c) Concurrence of the Office of Procurement is required before issuance of an AO.

 

1872.304  Proposal opportunity period.

   (a) The AO must accom­modate to the maximum extent practicable opportunities af­forded by the Shuttle/Spacelab flights.  The following methods may be used to enable an AO to be open for an extended period of time and/or to cover a series or range of flight possibili­ties or disciplines:

       (1) The AO may be issued establish­ing a number of proposal submis­sion dates.  Normally, no more than three proposal submission dates should be estab­lished.  The submittal dates may be spread over the number of months most compatible with the possible flight opportunities and the avail­ability of resources necessary to evaluate and fund the proposals.

       (2) The AO may be issued establish­ing a single proposal submission date.  However, the AO could provide that NASA amend the AO to provide for subse­quent dates for submission of proposals, if addi­tional inves­tigations are desired within the AO objec­tives. 

       (3) The AO may provide for an initial submission date with the AO to remain open for submission of additional proposals up to a final cutoff date.  This final date should be related to the availabil­ity of resources necessary to evaluate the continu­ous flow of proposals, the time remaining prior to the flight opportunity(s) contem­plated by the AO, and payload fund­ing and availability.

   (b) Generally, a core payload of investi­gations would be selected from the initial submission of proposals under the above methods of open-ended AOs.  These selec­tions could be final or tentative recog­nizing the need for further definition.  Proposals received by subsequent submis­sion dates would be considered in the scope of the original AO but would be subject to the opportunities and resources remaining available or the progress being made by prior selected investigations.

   (c) Any proposal, whether received on the initial submission or subsequent submis­sion, requires notification to the investiga­tor and the investigator's institu­tion of the proposal disposition. Some of the proposals will be rejected completely and the investi­gators immediately notified.  The remaining unselected proposals may, if agreeable with the proposers, be held for later consider­ation and funding and the investigator so notified.  However, if an investigator's proposal is considered at a later date, the investigator must be given an opportunity to validate the proposal with the investigator's institution and for updat­ing the cost and other data contained in the original submission prior to a final selec­tion.  In summary, NASA may retain  pro­posals, receiving Category I, II, or III classi­fications (see 1872.403-1(e)), for possible later sponsorship until no longer feasible to consider the proposal.  When this final stage is reached, the investigator must be prompt­ly notified. Proposing investigators not desiring their proposals be held for later consider­ation should be given the opportu­nity to so indicate in their original submis­sions.

 

1872.305  Guidelines for announcement of opportunity.

   (a) The AO should be tailored to the particular needs of the contemplated inves­tigations and be complete in itself.  Each AO will identify the originating program office and be numbered consecutively by calendar year, e.g., OA‑1-95, OA-2-95; OLMSA-1-95; OSS-1-95; etc.  The required format and detailed instructions regarding the contents of the AO are contained in 1872.705.

   (b) The General Instructions and Provi­sions (1872.705-1) are necessary to accom­modate the unique aspects of the AO pro­cess.  Therefore, they must be appended to each AO.

   (c) At the time of issuance, copies of the AO must be furnished to Headquarters, Office of Procurement (Code HS) and Office of Gener­al Counsel (Code GK).