97-81

Procurement Notice

February 3, 2003                                                                                           

SCIENTIFIC AND TECHNICAL REPORTS

 

BACKGROUND:  This PN revises the NASA FAR Supplement to clarify the review requirements for data produced under research and development (R&D) contracts, including data contained in final reports, and the review requirements for final reports prior to inclusion in NASA’s Center for AeroSpace Information (CASI) scientific and technical information (STI) database.  This PN also revises the address for CASI for receipt of copies of all R&D contracts. 

 

NFS clause 1852.235-70, Center for Aerospace Information – Final Scientific and Technical Reports, required in all R&D contracts, states in paragraph (e) that contractors cannot release the final report required under the contract, outside of NASA, until a document availability authorization (DAA) review has been completed by NASA and availability of the report has been determined. The DAA review completed by NASA is intended to ensure that NASA disseminates NASA scientific and technical information (STI) in a manner consistent with U.S. laws and regulations, Federal information policy, intellectual property rights, technology transfer protection requirements, and budgetary and technological limitations.  The DAA review process applies only to the publication and dissemination of NASA STI by NASA or under the direction of NASA. 

 

This final report review requirement has been incorrectly interpreted by some university contractors as restricting their right to publish any of the data produced under the contract that may be included in the Final Report until NASA has completed its DAA review.  The intent of paragraph (e) is to restrict only the release of the “The Final Report” as delivered under the contract until NASA completes its DAA review and availability of the report has been determined. This clause normally does not restrict the contractor’s ability to publish, or otherwise disseminate, data produced during the performance of the contract, including data contained in the Final Report, as provided under FAR clause 52.227-14, Rights in Data –General.  However, in certain limited situations, contract requirements may include research activity that will result in data subject to export control, national security restrictions, or other restrictions designated by NASA, or may require that the contractor receives or is given access to data that includes restrictive markings, e.g., proprietary information of others.  In these circumstances, NASA requires a review of data produced under the contract, before the contractor may publish, release, or otherwise disseminate the data.

 

This PN clarifies the above by making the clause changes noted below.

 

Additional guidance is provided in Procurement Information Circular (PIC) 03-03.

  

ACQUISITIONS AFFECTED BY CHANGES:  All R&D contracts and interagency agreements and cost-reimbursement supply contracts involving research and development work.

 

ACTION REQUIRED BY CONTRACTING OFFICERS:  All R&D solicitations issued after February 3, 2003, must include the revised clauses and alternates as appropriate noted below.   Solicitations issued before February 3, 2003, may be amended to include the revised clause if including it would not unduly delay the acquisition.  Before using either Alternate I or II to the new clause 1852.235-73, Final Scientific and Technical Reports, contracting officer must coordinate with the requiring organization and the Center Export Control Administrator and/or Chief or Patent Counsel, as appropriate.

 

CLAUSE CHANGES:  This PN makes the following clause changes:

   (a) 1852.235-70 is retitled “Center for Aerospace Information,” and references to the submission of the final report have been removed. The revised clause now only advises contractors of the services provided by CASI;

   (b) A new clause 1852.235-73, Final Scientific and Technical Reports, is added.  This clause requires submission of a final report; states that the contractor may publish, or otherwise disseminate, data produced during the performance of the contract, including data contained in the final report, without prior review by NASA; and retains restriction on release of the final report as delivered under the contract until NASA has completed its DAA review;

   (c) Alternate I to the new 1852.235-73 clause is established for use in contracts for fundamental research in which the contractor may publish, or otherwise disseminate, data produced during performance of the contract, including the final report, without prior review by NASA;

   (d) Alternate II to the new 1852.235-73 clause is established for use in contracts in which data resulting from the research activity may be subject to export control, national security restrictions or other restrictions designated by NASA, or, to the extent the contractor receives or is given access to data that includes restrictive markings, may include proprietary information of others, and thus will require NASA review before the contractor may publish, release, or otherwise disseminate data produced during the performance of the contract; and

   (e) A new clause 1852.235-74, Additional Reports of Work—Research and Development, is added for use in contracts in which monthly, quarterly and other reports in addition to the Final Report may be considered necessary for monitoring contract performance.

 

PARTS AFFECTED:  Changes are made in Parts 1804, 1827, 1835, and 1852.

 

REPLACEMENT PAGES:  You may use the enclosed pages to replace 4:3, 4:4, Part 1827, Part 1835, 52:3, 52:4, 52:4.1, 52:57, 52:58, 52:66.1, 52:66.2, 52:66.3, 52-95, 52-96, 52-97, 52-98, and 52-99 (added).

 

TYPE OF RULE AND PUBLICATION DATE:  The PN was published as a final rule in the Federal Register (68 FR 5230 - 5233) on February 3, 2003.

 

HEADQUARTERS CONTACT:  Celeste Dalton, Code HK, (202) 358-1645, email: cdalton@hq.nasa.gov.

 

R. Scott Thompson

Director, Contract Management Division

 

Enclosures

 

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 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: Acquisitions Collections Development Specialist, 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.

 

Subpart 1804.4--Safeguarding Classified Information Within Industry

 

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

 

PART 1827

PATENTS, DATA, AND COPYRIGHTS

TABLE OF CONTENTS

 

1827.000                                 Scope of part.

 

SUBPART     1827.3           PATENT RIGHTS UNDER GOVERNMENT CONTRACTS

1827.301                               Definitions.

1827.302                   Policy.

1827.303                   Contract clauses.

1827.303-70                            NASA solicitation provisions and contract clauses.

1827.304                   Procedures.

1827.304-1                              General.

1827.304-2                              Contracts placed by or for other Government agencies.

1827.304-3                              Contracts for construction work or architect-engineer services.

1827.304-4                           Subcontracts.

1827.304-5                              Appeals.

1827.305                   Administration of the patent rights clauses.

1827.305-3                              Follow-up by Government.

1827.305-370                          NASA patent rights and new technology follow-up procedures. 

1827.305-371                          New technology reporting plan.

1827.305-4                              Conveyance of invention rights acquired by the Government.

 

SUBPART     1827.4            RIGHTS IN DATA AND COPYRIGHTS

1827.404                  Basic rights in data clause.

1827.405                  Other data rights provisions.

1827.406                  Acquisition of data.

1827.406-70                    Reports of work.

1827.408                  Cosponsored research and development activities.

1827.409                  Solicitation provisions and contract clauses.

1827.409-70                            NASA contract clause.

 

SUBPART     1827.6            FOREIGN LICENSE AND TECHNICAL ASSISTANCE AGREEMENTS

1827.670                   Space Station technical data and goods.

1827.670-1                              Policy.

1827.670-2                              Contract clause.

 

 

PART 1827

PATENTS, DATA, AND COPYRIGHTS

 

1827.000  Scope of part.

   This part prescribes NASA policies, procedures, and contract clauses pertaining to patents, data, and copyrights.  The provisions of FAR Part 27 apply to NASA acquisitions unless specifically excepted in this part.

 

Subpart 1827.3--Patent Rights Under Government Contracts

 

1827.301  Definitions.

   "Administrator," as used in this subpart, means the Administrator of NASA or a duly authorized repre­sentative.

   "Contract," as used in this subpart, means any actual or proposed contract, agreement, understand­ing, or other arrangement, and includes any assign­ment, substitution of parties, or subcontract executed or entered into thereunder.

   "Made," in lieu of the definition in FAR 27.301, as used in this subpart, means conceived or first actually reduced to practice; provided, that in the case of a variety of plant, the date of determina­tion (as defined in Section 41(d) of the Plant Variety Protection Act, 7 U.S.C. 2401(d)) must also occur during the period of con­tract performance.

  "Reportable item," as used in this subpart, means any invention, discovery, improvement, or innovation of the contractor, whether or not patentable or otherwise protectible under Title 35 of the United States Code, made in the performance of any work under any NASA contract or in the performance of any work that is reimbursable under any clause in any NASA contract providing for reimbursement of costs incurred before the effective date of the contract. Reportable items include, but are not limited to, new processes, machines, manufactures, and compositions of matter, and improvements to, or new applications of, existing processes, machines, manufactures, and compositions of matter. Reportable items also include new computer programs, and improvements to, or new applications of, existing computer programs, whether or not copyrightable or otherwise protectible under Title 17 of the United States Code.

   "Subject invention," in lieu of the definition in FAR 27.301, as used in this subp­art, means any reportable item that is or may be patent­able or otherwise protectible under Title 35 of the United States Code, or any novel variety of plant that is or may be protectible under the Plant Variety Protec­tion Act (7 U.S.C. 2321 et seq.).

 

1827.302  Policy.  

   (a)  Introduction.     

      (i)    NASA policy with respect to any invention, discovery, improvement, or innovation made in the performance of work under any NASA contract or subcon­tract with other than a small business firm or a nonprofit organization and the alloca­tion of related property rights is based upon Section 305 of the National Aeronau­tics and Space Act of 1958, as amended (42 U.S.C. 2457) (the Act); and, to the extent consistent with this statute, the Presidential Memorandum on Government Patent Policy to the Heads of Executive Departments and Agencies, dated February 18, 1983, and Section 1(b)(4) of Executive Order 12591.  NASA policy with respect to any invention made in the performance of experimental, developmental, or research work with a small busi­ness firm or a nonprofit organiza­tion is based on 35 U.S.C. Chapter 18, as amended.

      (ii)   NASA contracts subject to Section 305 of the Act shall ensure the prompt reporting of reportable items in order to protect the Government's interest and to provide widest practi­ca­ble and appro­priate dissemination, early utilization, expeditious development, and continued availability for the benefit of the scientific, industrial, and commercial com­munities and the general public. 

   (b)  Contractor right to elect title.     

      (i)    For NASA contracts, the contractor right to elect title only applies to contracts with small businesses and non-profit organizations.  For other business entities, see subdivision (ii) of this paragraph.

      (ii)   Contractor right to request a waiver of title.  For NASA contracts with other than a small business firm or a nonprofit organization (contracts subject to Section 305 of the Act),it is the policy of NASA to waive the rights (to acquire title) of the United States (with the reservation of a Govern­ment license set forth in FAR 27.302(c) and the march-in rights of FAR 27.302(f) and 1827.302(f)) in and to any subject in­vention if the Administra­tor determines that the interests of the United States will be served.  This policy, as well as the proce­dures and instructions for such waiver of rights, is stated in the NASA Patent Waiver Regula­tions, 14 CFR Section 1245, Subpart 1.  Waiver may be requested in advance of contract award for any or all of the subject inven­tions, or for individual­ly identified subject inventions reported under the contract.  When waiver of rights is grant­ed, the contractor's right to title, the rights reserved by the Govern­ment, and other conditions and obliga­tions of the waiver shall be included in an Instru­ment of Waiv­er executed by NASA and the party receiv­ing the waiver.

      (iii)  It is also a policy of NASA to consid­er for a monetary award, when referred to the NASA Inven­tions and Contributions Board, any subject invention reported to NASA in accordance with this subpart, and for which an application for patent has been filed. 

   (c)  Government license.  For each subject invention made in the performance of work under a NASA contract with other than a small business firm or nonprofit organization and for which waiver of rights has been granted in accordance with 14 CFR Section 1245, Subpart 1, the Administrator shall reserve an irrevocable, nonexclusive, nontransferable, royalty-free license for the practice of such invention throughout the world by or on behalf of the United States or any foreign Government in accordance with any treaty or agreement of the United States.

   (d)  Government right to receive title.  Under any NASA contract with other than a small business or nonprofit organization (i.e., those contracts subject to Section 305(a) of the Act), title to subject inventions vests in NASA when the determinations of Section 305(a)(1) or 305(a)(2) have been made.  The Administrator may grant a waiver of title in accordance with 14 CFR Section 1245.

   (e)  Utilization reports.  For any NASA contract with other than a small business firm or a nonprofit organiza­tion, the re­quirements for utilization reports shall be as set forth in the NASA Patent Waiver Regulations, 14 CFR Section 1245, Subpart 1, and any Instrument of Waiver executed under those Regulations.

   (f)   March-in rights.  For any NASA contract with other than a small business firm or a nonprofit organiza­tion, the march-in rights shall be as set forth in the NASA Patent Waiver Regulations, 14 CFR Section 1245, Subpart 1, and any Instrument of Waiver executed under those Regulations.

   (g)  Preference for United States industry.  Waiver of the requirement for the agreement for any NASA contract with other than a small busi­ness firm or a nonprofit organization shall be in accor­dance with the NASA Patent Waiver Regu­la­tions, 14 CFR Section 1245, Subpart 1.

   (i)   Minimum rights to contractor.                                 

      (1)   For NASA contracts with other than a small business firm or a nonprofit organiza­tion (i.e., those contracts subject to Section 305(a) of the Act), where title to any subject inventions vests in NASA, the contractor is normally granted, in accordance with 14 CFR 1245, a revocable, nonexclusive, royalty-free license in each patent application filed in any country and in any resulting patent.  The license extends to any of the contractor’s domestic subsidiaries and affiliates within the corporate structure, and includes the right to grant sublicenses of the same scope to the extent the contractor was legally obligated to do so at the time the contract was awarded.  The license and right are transferable only with the approv­al of the Administrator, except when transferred to the succes­sor of that part of the contractor's business to which the invention pertains.

      (2)   The Administrator is the approval authority for revoking or modifying a license.  The procedures for revocation or modification are described in 37 CFR 404.10 and 14 CFR 1245.108.

 

1827.303  Contract clauses. 

   (a)(1)(A) See 1827.303-70(a).          

             (B) To qualify for the clause at FAR 52.227-11, a prospective contractor may be required to represent itself as either a small business firm or a nonprofit organization.  If there is reason to question the status of the prospective contractor, the contracting officer may file a protest in accordance with FAR 19.302 if small business firm status is questioned, or require the prospec­tive contractor to furnish evidence of its status as a nonprofit organization.      

      (5)   Alternate IV to 52.227-11 is not used in NASA contracts.  See instead 1827.303-70(a). 

   (b)(1)(ii)  FAR 52.227-12 is not used in NASA contracts.  See instead 1827.303-70(b).

   (c)(1)(ii)  When work is to be performed outside the Untied States, its possessions, and Puerto Rico by contractors that are not domestic firms, see 1827.303-70(f).    

      (2)   See 1827.303-70(b) and (f).

   (d)(1) When one of the conditions in FAR 27.303(d)(1)(i) through (iv) is met, the contracting officer shall consult with the installation intellectual property counsel to determine the appropriate clause.

 

1827.303-70  NASA solicitation provisions and contract clauses. 

   (a)  When the clause at FAR 52.227-11 is includ­ed in a solicitation or contract, it shall be modified as set forth at 1852.227-11.

   (b)  The contracting officer shall insert the clause at 1852.227-70, New Technology, in all NASA solicitations and contracts with other than a small business firm or a nonprofit organization (i.e., those subject to section 305(a) of the Act), if the contract is to be performed in the United States, its possessions, or Puerto Rico and has as a purpose the performance of experi­mental, developmental, re­search, design, or engineering work.  Contracts for any of the fol­lowing purposes may be considered to in­volve the performance of work of the type described above (these examples are illus­trative and not limiting):     

      (1)   Conduct of basic or applied research.

      (2)   Development, design, or manufacture for the first time of any machine, article of manufacture, or composition of matter to satisfy NASA's specifica­tions or special requirements.

      (3)   Development of any process or tech­nique for attaining a NASA objective not readily attainable through the practice of a previously developed process or technique.

      (4)   Testing of, evaluation of, or experi­mentation with a machine, process, concept, or technique to determine whether it is suitable or could be made suitable for a NASA objective.

      (5)   Construction work or architect-engineer services having as a purpose the performance of experimental, developmental, or research work or test and evalua­tion studies involving such work.

      (6)   The operation of facilities or the coordination and direction of the work of others, if these activities involve perform­ing work of any of the types de­scribed in paragraphs (1) through (5) of this section. 

   (c)  The contracting officer shall insert the provision at 1852.227-71, Requests for Waiver of Rights to Inventions, in all solici­tations that include the clause at 1852.227-70, New Technology (see paragraph (b) of this section).

   (d)  The contracting officer shall insert the clause at 1852.227-72, Desig­nation of New Technology Representative and Patent Represen­tative, in all solicitations and contracts containing either of the clauses at FAR 52.227-11, Patent Rights--Retention by the Contractor (Short Form) or 1852.227-70, New Technology (see paragraph (c) of this section).  It may also be inserted, upon consultation with the installation intellectual property counsel, in solicitations and contracts using another patent rights clause.  The New Technology Representa­tive shall be the Technology Utilization Officer or the staff member (by titled position) having cognizance of tech­nology utilization matters for the installa­tion concerned. The Patent Repre­sentative shall be the intellectual property counsel (by titled posi­tion) having cogni­zance of patent matters for the installa­tion concerned.

   (e)  The contract­ing officer shall insert the provision at 1852.227-84, Patent Rights Clauses, in solici­tations for experimental, developmental, or research work to be performed in the Unit­ed States, its possessions, or Puerto Rico when the eventual awardee may be a small business or a nonprofit organization.

   (f)   As authorized in FAR 27.303(c)(2), when work is to be performed out­side the United States, its possessions, and Puerto Rico by contractors that are not domestic firms, the clause at 1852.227-85, Invention Reporting and Rights--For­eign, shall be used unless the contracting officer determines, with concurrence of the install­ation intellectual property counsel, that the objectives of the contract would be better served by use of the clause at FAR 52.227-13, Patent Rights---Acquisition by the Gov­ernment.  For this purpose, the contracting officer may presume that a contractor is not a domestic firm unless it is known that the firm is not foreign owned, controlled, or influenced. (See FAR 27.304-4(a) regarding subcontracts with U.S. firms.)

 

1827.304  Procedures.

 

1827.304-1  General.   

   (a)  Contractor appeals of exceptions.  In any contract with other than a small busi­ness firm or nonprofit organization, the NASA Patent Waiver Regulations, 14 CFR Section 1245, Subpart 1, shall apply.

   (b)  Greater rights determinations.  In any con­tract with other than a small business firm or a nonprofit organization and with respect to which advance waiver of rights has not been granted (see 1827.302(b)), the contractor (or an employee-inventor of the contractor after consultation with the con­trac­tor) may request waiver of title to an individ­ual identified subject invention pursuant to the NASA Patent Waiver Regu­lations, 14 CFR Section 1245, Subpart 1.

   (c)  Retention of rights by inventor.  The NASA Patent Waiver Regulations, 14 CFR Section 1245, Subpart 1, apply for any invention made in the performance of work under any contract with other than a small business firm or a nonprofit organiza­tion.

   (f)   Revocation or modification of contract­or's minimum rights.  Revocation or modifi­ca­tion of the contractor's license rights (see 1827.302(i)(2)) shall be in accordance with 37 CFR 404.10, for subject inventions made and reported under any contract with other than a small business firm or a nonprofit organization.

   (g)  Exercise of march-in rights.  For con­tracts with other than a small business firm or a nonprofit organiza­tion, the procedures for the exercise of march-in rights shall be as set forth in the NASA Patent Waiver Regulations, 14 CFR Section 1245, Subpart 1.

   (h)  Licenses and assignments under con­tracts with nonprofit organizations. The Headquarters Associate General Counsel (Intellectual Property) (Code GP) is the approval authority for assignments.  Contracto­r requests should be made to the Patent Representative designated in the clause at 1852.227-72 and forwarded, with rec­ommendation, to Code GP for approval.

 

1827.304-2  Contracts placed by or for other Government agencies.   

   (a)(3) When a contract is placed for another agency and the agency does not request the use of a specific patent rights clause, the contracting officer, upon consultation with the installation intellectual property counsel, may use the clause at FAR 52.227-11, Patent Rights--Retention by the Contractor (Short Form) as modified by 1852.227-11 (see 1827.303-70(a)) or 1852.227-70, New Technology (see 1827.303-70(b)).

 

1827.304-3  Contracts for construction work or architect-engineer services. 

   (a)  For construction or architect-engineer services contracts with other than a small business or nonprofit organization, see 1827.303-70(b).

 

1827.304-4  Subcontracts. 

   (a)(i)   Unless the con­tracting officer other­wise authorizes or directs, contractors awar­ding subcontracts and subcontractors awar­ding lower-tier subcontracts shall select and include one of the following clauses, suit­ably modi­fied to identify the parties, in the indicated subcon­tracts:         

         (A) The clause at 1852.227-70, New Technolo­gy, in any subcontract with other than a small busi­ness firm or a nonprofit organization if a purpose of the subcontract is the performance of experimental, devel­opmental, research, design, or engineering work of any of the types described in 1827.303-70(b)(1)-(6).

         (B) The clause at FAR 52.227-11, Patent Rights--Retention by the Contractor (Short Form), modified by 1852.227-11 (see 1827.303-70(a)), in any subcontract with a small busi­ness firm or a nonprofit organization if a purpose of the subcontract is the perfor­mance of experimental, developmental, or research work.    

      (ii)   Whenever a prime contractor or a subcon­tractor considers it inappropriate to include one of the clauses discussed in paragraph (a) of this section in a particular subcontract, or a subcontractor refuses to accept the clause, the matter shall be re­solved by the contracting officer in consul­tation with the intellectual property coun­sel.

 

1827.304-5  Appeals.

   FAR 27.304-5 shall apply unless other­wise provided in the NASA Patent Waiver Regulations, 14 CFR Section 1245, Subpart 1.

 

1827.305  Administration of the patent rights clauses.

 

1827.305-3  Follow-up by Government.

 

1827.305-370  NASA patent rights and new technology follow-up procedures. 

   (a)  For each contract containing a patent rights clause or the clause at 1852.227-70, New Technology, the contracting officer shall take the following actions:     

      (1)   Furnish, or require the contractor to furnish directly, the New Technology Repre­sentative and the Patent Representative a copy of each contract (and modifications thereto), and copies of the final technical report, interim technical progress reports, and other pertinent material provided under the contract, unless the representatives indicate other­wise; and

      (2)   Notify the New Technology Repre­sentative as to which installation organiza­tional element has technical cognizance of the contract. 

   (b)  The New Technology Representative shall take the following actions:

      (1)   Review the technical progress of work performed under the contract to ascertain whether the contractor and its subcontrac­tors are complying with the clause's report­ing and recordkeeping requirements;

      (2)   Forward to the Patent Representative copies of all contractor and subcontracto­r written reports of reportable items and disclosures of subject inventions, and a copy of the written statement, if any, sub­mitted with the reports.

      (3)   Consult with the Patent Representative whenever a question arises as to whether a given reportable item is to be considered a subject invention and whether it was made in the performance of work under the contract.

      (4)   Forward to the Patent Representative all corre­spondence relating to inventions and waivers under the New Technology clause or election of title under the Patent Rights---Retention by the Contractor (Short Form) clause.

      (5)   Upon receipt of any final report required by the clause, and upon determina­tion that the contract work is complete, deter­mine whether the contractor has complied with the clause's reporting requirements. If so, the New Technology Representative shall certify compliance, obtain the Patent Representative's concurrence, and forward the certification to the contracting officer. 

   (c)  The Patent Representative shall review each reportable item to ascertain whether it is to be consid­ered a subject invention, obtain any determinations re­quired by paragraph (b) of the clause at 1852.227-70, New Tech­nology, and notify the contractor.  As to any subject invention, the Patent Repre­sentative shall:       

      (1)   Ensure that the contractor has provided sufficient information to protect the Government's rights and inter­ests in it and to permit the preparation, filing, and prosecution of patent applica­tions;

      (2)   Determine inventors­hip;

      (3)   Ensure the preparation of in­struments establishing the Government's rights; and

      (4)   Con­duct selected reviews to ensure that subject inven­tions are identified, adequately document­ed, and timely reported or disclosed. 

   (d)  Either the New Technology Repre­sentative or the Patent Representative, in consultation with the other, may prepare opinions, make determinations, and other­wise advise the contracting officer with respect to any withholding of payment under para­graph (g) of the clause at 1852.227-70, New Technology.  Either the New Technol­ogy Repre­sentative or the Patent Repre­sentative may represent the contracting officer for the purpose of examining the contractor's books, records, and other documents in accordance with paragraph (f) of the clause and take corrective action as appropriate.  However, no action may be taken by either the New Technology Representative or the Patent Representative that would consti­tute a final decision under the Disputes clause, involve any change or increase in the work required to be performed under the contract that is inconsistent with any right of appeal pro­vided in FAR 27.304-5 or 14 CFR 1245, Subpart 1, or otherwise be outside the scope of the contract.

   (e)  The contracting officer shall not approve release of final payment under the contract and, if applicable, any reserve set aside under the withhold­ing provi­sions of the clause for deficiencies and delinquent reporting not corrected as of the time of the submis­sion of the final report by the con­tractor until receipt of the New Technology Representative's certification of compli­ance, and the Patent Representative's con­currence.

 

1827.305-371  New technology reporting plan.

   In contracts with an estimated cost in excess of $2,500,000 (or less when appropriate) that contain the clause at 1852.227-70, New Technology, the contracting officer may require the contractor to submit for post-award Government approval a detailed plan for new technology reporting that demonstrates an adequate understanding of and commitment to the reporting requirements of the clause.  

 

1827.305-4  Conveyance of invention rights acquired by the Government.

   (a)  When the Government acquires the entire right to, title to, and interest in an invention under the clause at 1852.227-70, New Technology, a determi­nation of title is to be made in accordance with Section 305(a) of the National Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2457(a)), and reflected in appropriate in­struments executed by NASA and forward­ed to the contractor.

 

Subpart 1827.4--Rights in Data and Copyrights

 

1827.404  Basic rights in data clause.   

   (d)  Protection of limited rights data speci­fied for delivery.  The contracting officer shall consult with the installation patent or intellectual property counsel regarding any questions concerning the delivery of limited rights data and/or the use of Alter­nate II that may arise from an offeror's response to the provision at FAR 52.227-15, Repre­sentation of Limited Rights Data and Restricted Computer Software, or during negotiations.

   (e)  Protection of restricted computer soft­ware specified for delivery.  The contracting officer shall consult with the installation patent or intellectual property counsel regarding any questions concerning the delivery of restricted computer software and/or the use of Alternate III that may arise from an offeror's response to the provision at FAR 52.227-15, Representation of Limited Rights Data and Restricted Computer Software, or during negotia­tions.

   (f)   Copyrighted data.

      (1)(ii)    The contracting officer shall consult with the installation patent or intellectual property counsel before granting permission for a contractor to claim copy­right subsisting in data, other than comput­er software, first produced under the con­tract.

         (iv)    The contracting officer, with the concurrence of the installation intellectual property counsel, is the approval authority for obtaining a copyright license of a different scope than set forth in subpara­graph (c)(1) of the clause at FAR 52.227-14, Rights in Data--General, for any con­tract or class of contracts.

      (2) (i)   The procurement officer is the approval authority for obtaining a copyright license of a different scope than that set forth in subparagraph (c)(2) of the clause at FAR 52.227-14 for any contract or class of contracts.

   (g)  Release, publication, and use of data.

      (3)(A)  NASA’s intent is to ensure the most expeditious dissemination of computer software developed by it or its contractor.  Accordingly, when the clause at FAR 52.227-14, Rights in Data-General, is modified by 1852.227-14 (see 1827.409(a)), the contractor may not assert claim to copy­right, publish, or release to others computer software first produced in the performance of a contract without the contracting offic­er's prior written permission.

         (B) The contracting officer may, in consultation with the installation patent or intellectual property counsel, grant the contractor permission to copy­right, publish, or release to others computer software first produced in the performance of a contract if:         

             (a) The contractor has identified an existing commercial computer software product line or proposes a new one and states a positive intention of incorporating any computer software first produced under the contract into that line, either directly itself or through a licensee;

             (b) The contractor has made, or will be re­quired to make, significant contributions to the development of the computer soft­ware by co-funding or by cost-sharing, or by contributing resources (including but not limited to agreement to provide continuing maintenance and update of the software at no cost for Governmental use); or

             (c) The concurrence of the Headquarters Office of Aeronautics Commercial Technology Division (Code RW) is obtained.

         (C)(a) The contractor's request for permis­sion in accordance with 1827.404(g)(3)(A) may be made either before contract award or during contract perfor­mance.

             (b) Any permission granted in accor­dance with 1827.404(g)(3)(B)(a) or (b) shall be by express contract provision (or amendment) overriding sub­paragraph (d)(3) of FAR 52.227-14, Rights in Data--General, (as modified by 1852.227-14), rather than by deleting it.  The contract provision may contain appropriate assurances that the computer software will be incorporated into an existing or proposed new commercial computer software product line within a reasonable time and/or that the agreed contributions to the Government are ful­filled, with contingencies enabling the Government to obtain the right to distribute the software for commercial use, including the right to obtain assignment of copyright where applicable, in order to prevent the computer software from being suppressed or abandoned by the contrac­tor.

             (c) Any permission granted in accordance with 1827.404(g)(3)(B)(c) may be either by deleting subparagraph (d)(3) or by special contract provision, as appropriate.

             (d) When any permission to copyright is granted, any copyright license retained by the Gov­ern­ment shall be of the same scope as set forth in subparagraph (c)(1) of the clause at FAR 52.227-14 and without any obligation of confidentiality on the part of the Government, unless in accordance with 1827.404(g)(3)(B)(b) the contri­butions of the Contractor may be consid­ered "substantial" for the purposes of FAR 27.408 (i.e., approximately 50 percent), in which case rights consistent with FAR 27.408 may be negotiated for the computer software in question.      

         (D)   If the contractor has not been grant­ed permission to copyright, paragraph (d)(3)(ii) of the clause at FAR 52.227-14, Rights in Data--General (as modified by 1852.227-14) enables NASA to direct the contractor to assert claim to copyright in computer software first pro­duced under the contract and to assign, or obtain the assignment of, such copyright to the Government or its designee.  The con­tracting officer may, in consultation with the installation intellectual property counsel, so direct the contractor in situations where copyright protection is considered necessary in furtherance of Agency mission objectives, needed to sup­port specific Agency programs, or necessary to meet statutory requirements. 

   (h)  Unauthorized marking of data.  The contract­ing officer shall consult with the installation patent or intellectual property counsel before taking any action regarding unauthorized markings of data under para­graph (e) of the clause at FAR 52.227-14, Rights in Data--General.

   (i)   Omitted or incorrect notices.  The contracting officer shall consult with the installation patent or intellectual property counsel before agreeing to add or correct any markings on data under paragraph (f) of the clause at FAR 52.227-14, Rights in Data--General.

 

1827.405  Other data rights provisions. 

   (b)(2) Acquisition of existing computer soft­ware.  See 1827.409(k)(i)-(ii) and 1827.409-70 for modifications and alternatives to the clause at FAR 52.227-19.

   (c)  Contracts awarded under the Small Busi­ness Innovative Research (SBIR) Pro­gram.   If, during the performance of an SBIR contract (Phase I or Phase II), the need arises for NASA to obtain delivery of restricted computer software as defined in the clause at FAR 52.227-20, Rights in Data--SBIR Program, and the contractor agrees to such delivery, the restricted com­puter software may be acquired with re­stricted rights by modification of the con­tract or under an agreement incorporated in and made part of the contract, using the restricted rights set forth in FAR 27.404(e) and the related restrictions as a guide.

 

1827.406  Acquisition of data. 

   (a)  General.  Requirements for delivering tech­nical data relating to standard commer­cial items, components, or processes should be kept to the absolute minimum consistent with the purpose for which they are being procured.  Normally, a vendor's manuals for installation, operation, or maintenance and repair and/or form, fit, and function data are adequate.

 

1827.406-70  Reports of work. 

   (a)   When considered necessary for monitoring contract performance, contracting officers must require contractors to furnish reports of work performed under research and development contracts (fixed-price and cost reimbursement), interagency agreements, or in cost-reimburse­ment supply contracts.  This purpose may be achieved by including the following general requirements, modi­fied as needed to meet the particular requirements of the contract, in the section of the contract specifying data delivery requirements:

      (1)   Monthly progress reports.  Re­ports should be in narrative form, brief, and informal.  They should include a quantitative descrip­tion of progress, an indication of any current prob­lems that may impede performance, proposed correc­tive action, and a discussion of the work to be performed during the next monthly reporting period.  (Normally, this requirement should not be used in contracts with nonprofit organizations.)

     (2)  Quarterly progress reports.  In addition to factual data, these reports should include a separate analysis section interpreting the results obtained, recommend­ing further action, and relating occurrences to the ulti­mate objectives of the contract.  Sufficient dia­grams, sketches, curves, photographs, and drawings should be included to convey the intended meaning.

     (3)  Final report.  This report should summarize the results of the entire con­tract, including recom­menda­tions and conclusions based on the experience and results obtained.  The final report should include tables, graphs, diagrams, curves, sketches, photo­graphs, and drawings in sufficient detail to explain comprehensively the results achieved under the contract.  The final report must comply with NPG 2200.2A, Guidelines for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information.

     (4)  Report Documentation Page.  The contrac­tor must include a completed Report Documentation Page (SF 298) as the final page of each report submitted. 

  (b)  The contracting officer must consid­er the desirability of providing reports on the completion of significant units or phas­es of work, in addition to periodic reports and reports on the completion of the con­tract.

  (c)  Submission of Final Report.  In addition to the original of the final report submitted to the contracting officer, contracts containing the clause at 1852.235-70, Center for AeroSpace Information - Final Scientific and Technical Reports (see 1835.070(a)), must require the concurrent submission of a reproducible copy and a printed or reproduced copy of the final report to the NASA Center for AeroSpace Information (CASI).

  (d)  NASA Review of Final Report.  When required by the contract, final reports submitted to NASA for review, shall be reviewed for technical accuracy, conformance with applicable law, policy and publication standards, and to determine the availability and distribution of NASA-funded documents containing scientific and technical information (STI) (NASA Form 1676, NASA Scientific and Technical Document Availability Authorization (DAA)).  The final report must not be released outside of NASA until NASA's DAA review has been completed and the availability of the document has been determined. The document is considered available when it is accessible through CASI.

 

1827.408  Cosponsored research and development activities.

   The contracting officer shall consult with the installation patent or intellectual property counsel before limiting the acqui­sition of or acquiring less than unlimited rights to any data developed under con­tracts involving cosponsored research and devel­opment activities.

 

1827.409  Solicitation provisions and contract clauses. 

   (a)  The contract­ing officer shall add subpara­graph (3) set forth in 1852.227-14 to para­graph (d) of the clause at FAR 52.227-14, Rights in Data-- General, except in solicita­tions and contracts for basic or applied re­search with universities or colleges.

   (b)  The contracting officer, with the concur­rence of the instal­lation intellectual property counsel, is the approval authority for use of Alternate I.  An example of its use is where the princi­pal purpose of the contract (such as a contract for basic or applied research) does not involve the development, use, or deliv­ery of items, components, or processes that are intended to be acquired for use by or for the Government (either under the con­tract in question or under any anticipat­ed follow-on con­tracts relating to the same subject matter). 

   (c)  The contracting officer shall normally add the disclosure purposes listed in FAR 27.404(d)(1)(i)-(v) to subparagraph (g)(2).  Howev­er, the contracting officer may, upon con­sultation with the installation patent or intellectual property counsel, make dele­tions from the specific purposes listed.  If all are deleted, the word "None" must be inserted.  Additions to those specific pur­poses listed may be made only with the approval of the procure­ment officer and concurrence of the installation patent or intellectual property counsel.

   (d)  The contracting officer shall consult with the installation patent or intellectual property counsel regarding the acquisition of restricted computer software with great­er or lesser rights than those set forth in Alternate III.  Where it is imprac­tical to actually modify the notice of Alter­nate III, this may be done by express refer­ence in a separate clause in the con­tract or by a collateral agreement that addresses the change in the restricted rights.

   (e)  The contracting officer, with the concurrence of the installation intellectual property counsel, is the approval authority for the use of Alternate IV in any contract other than a contract for basic or applied research to be performed solely by a college or university on campus (but not for the management or operation of Government facilities).

   (i)   The contract officer shall modify the clause at FAR 52.227-17, Rights in Data--Special Works by adding para­graph (f) as set forth in 1852.227-17.

   (k)(i)  The contract­ing officer shall add paragraph (e) as set forth in 1852.227-19(a) to the clause at FAR 52.227-19, Commercial Computer Software--Restricted Rights, when it is contemplated that updates, correction notic­es, consultation information, and other similar items of information relating to commercial computer software delivered under a purchase order or contract are available and their receipt can be facilitat­ed by signing a vendor supplied agreement, registration forms, or cards and returning them directly to the vendor.

      (ii)   The contract­ing officer shall add paragraph (f) as set forth at 1852.227-19(b) to the clause at FAR 52.227-19, Commercial Computer Software--Restricted Rights, when portions of a contractor's standard commercial li­cense or lease agreement consistent with the clause, Federal laws, standard industry practices, and the FAR are to be incorporat­ed into the purchase order or contract.

      (iii)  See 1827.409-70.

 

1827.409-70  NASA contract clause.

   The contract­ing officer shall use the clause at 1852.227-86, Commercial Computer Soft­ware--Licensing, in lieu of FAR 52.227-19, Commercial Computer Software---Restrict­ed Rights, when it is considered appropriate for the acquisition of existing computer software in accordance with FAR 27.405(b)(2).

 

Subpart 1827.6--Foreign License and Technical Assistance Agreements

 

1827.670  Space Station technical data and goods.

 

1827.670-1  Policy.

   NASA and its contractors shall comply with all applicable export control laws, including the International Traffic in Arms Regulations (ITAR), 22 CFR Parts 120-130, and the Export Administration Regulations (EAR), 15 CFR Parts 730-799, with respect to the transfer of technical data and goods to any International Space Station program multilateral partner or contractor.  When authorized, certain technical data in support of the Inter­national Space Station program may be exported to a foreign recipient specified in writing by the contracting officer.  Contracting officers, or designees, will assure that any transfer of data to a foreign recipient will be in compliance with all applicable directives, including the NASA Export Control Program.

 

1827.670-2  Contract clause.

   The contracting officer shall insert the clause at 1852.227-87, Transfer of Technical Data Under Space Station Inter­national Agreements, in all solicitations, contracts, and purchase orders in support of Space Station program activities that may involve transfer of technical data subject to the International Traffic in Arms Regulations, 22 CFR Parts 120-130, or the Export Administration Regulations (EAR), 15 CFR Parts 730-799 in accordance with the NASA Export Control Program.

PART 1835

RESEARCH AND DEVELOPMENT CONTRACTING

 

TABLE OF CONTENTS

 

1835.003                   Policy.

1835.010                   Scientific and technical reports. 

1835.011                  Data.

1835.015                   Contracts for research with educational institutions and nonprofit

                                    organizations.

1835.016                   Broad agency announcements.

1835.016-70             Foreign participation under broad agency announcements  (BAAs).

1835.016-71             NASA Research Announcements.

1835.016-72             Foreign participation in NRA proposals.

1835.070                   NASA contract clauses and solicitation provision.

 

 

PART 1835

RESEARCH AND DEVELOPMENT CONTRACTING

 

1835.003  Policy.

   See NPG 5800.1, Grant and Cooperative Agreement Handbook, for policy regarding the use of grants and cooperative agreements.

 

1835.010  Scientific and technical reports. 

  (a)(i) Final Reports.  Final reports must be furnished by contractors for all R&D contracts.  The final report should summarize the results of the entire con­tract, including recom­menda­tions and conclusions based on the experience and results obtained.  The final report should include tables, graphs, diagrams, curves, sketches, photo­graphs, and drawings in sufficient detail to explain comprehensively the results achieved under the contract. The final report should comply with formatting and stylistic guidelines contained in NPG 2200.2A, Guidelines for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information.  Electronic formats for submission of reports should be used to the maximum extent practical.  When reports are submitted electronically, the contracting officer should also request the submission of a paper copy of the report that could be used to validate items such as math and symbols that can be transposed due to font substitution or other electronic transmission problems.  Information regarding appropriate electronic formats for final reports is available from center STI/Publications Managers or the NASA Center for AeroSpace Information (CASI) at http://www.sti.nasa.gov under “Publish STI – Electronic File Formats.”

  (ii) In addition to the final report submitted to the contracting officer, the contractor shall concurrently provide CASI and the center STI/Publications Manager with a copy of the letter transmitting the final report to the contracting officer.

  (iii) It is NASA policy to provide the widest practicable and appropriate dissemination of scientific and technical information (STI) derived from NASA activities, including that generated under NASA research and development contracts.  One mechanism for disseminating NASA STI is through CASI.  Before approving a final report delivered under a contract for inclusion in the CASI repository, NASA must complete a document availability authorization (DAA) review.  The DAA review is intended to ensure that NASA disseminates NASA STI in a manner consistent with U.S. laws and regulations, federal information policy and publication standards, intellectual property rights, technology transfer protection requirements, and budgetary and technological limitations. NASA Form 1676, NASA Scientific and Technical Document Availability Authorization (DAA), or a center-specific version of this form, is used to complete this review.  The DAA review process applies to the publication and dissemination of NASA STI by NASA or under the direction of NASA.  The final report, as delivered under the contract, must not be released outside of NASA until NASA’s DAA review has been completed and the availability of the document has been determined by NASA.

  (iv) Additional reports of work.  In addition to the final report required by paragraph (a)(i) of this section, the contracting officer, in consultation with the program or project manager, should consider the desirability of requiring periodic reports and reports on the completion of significant units or phases of work for monitoring contract performance.  Any additional reports must be included in the clause at 1852.235-74 as a contract deliverable. (See FAR 27.403.)

  (v) Upon receipt of the final report, or any additional reports required by 1852.235-74 if included in the contract, the contracting officer shall forward the reports to the contracting officer’s technical representative (COTR) for review and acceptance.  The COTR shall ensure that the DAA review is initiated upon acceptance of the final report or any additional reports that NASA elects to publish or release outside of NASA or present at internal meetings at which foreign nationals may be present.  Upon completion of the DAA review, the COTR shall ensure that the DAA-approved STI and the original approved DAA form are sent to the center STI/Publication Manager.  The contractor should be advised of the final availability determination.  These responsibilities should be included in the COTR Delegation, NASA Form 1634.

  (b) The final report shall include a completed Report Documentation Page, Standard Form (SF) 298, as the final page of the report.

 

1835.011  Data.

  (a) In addition to any reports required by 1835.010, the contracting officer shall specify what additional data, (type, quantity, and quality) is required under the contract, for example, presentations, journal articles, and seminar notes.  (See FAR 27.403.)

 

1835.010  Scientific and technical reports. 

      (a)(i) Final Reports.  Final reports must be furnished by contractors for all R&D contracts.  The final report should summarize the results of the entire con­tract, including recom­menda­tions and conclusions based on the experience and results obtained.  The final report should include tables, graphs, diagrams, curves, sketches, photo­graphs, and drawings in sufficient detail to explain comprehensively the results achieved under the contract. The final report should comply with formatting and stylistic guidelines contained in NPG 2200.2A, Guidelines for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information.  Electronic formats for submission of reports should be used to the maximum extent practical.  When reports are submitted electronically, the contracting officer should also request the submission of a paper copy of the report that could be used to validate items such as math and symbols that can be transposed due to font substitution or other electronic transmission problems.  Information regarding appropriate electronic formats for final reports is available from center STI/Publications Managers or the NASA Center for AeroSpace Information (CASI) at http://www.sti.nasa.gov under “Publish STI – Electronic File Formats.”

     (ii) In addition to the final report submitted to the contracting officer, the contractor shall concurrently provide CASI and the center STI/Publications Manager with a copy of the letter transmitting the final report to the contracting officer.

     (iii) It is NASA policy to provide the widest practicable and appropriate dissemination of scientific and technical information (STI) derived from NASA activities, including that generated under NASA research and development contracts.  One mechanism for disseminating NASA STI is through CASI.  Before approving a final report delivered under a contract for inclusion in the CASI repository, NASA must complete a document availability authorization (DAA) review.  The DAA review is intended to ensure that NASA disseminates NASA STI in a manner consistent with U.S. laws and regulations, federal information policy and publication standards, intellectual property rights, technology transfer protection requirements, and budgetary and technological limitations. NASA Form 1676, NASA Scientific and Technical Document Availability Authorization (DAA), or a center-specific version of this form, is used to complete this review.  The DAA review process applies to the publication and dissemination of NASA STI by NASA or under the direction of NASA.  The final report, as delivered under the contract, must not be released outside of NASA until NASA’s DAA review has been completed and the availability of the document has been determined by NASA.

     (iv) Additional reports of work.  In addition to the final report required by paragraph (a)(i) of this section, the contracting officer, in consultation with the program or project manager, should consider the desirability of requiring periodic reports and reports on the completion of significant units or phases of work for monitoring contract performance.  Any additional reports must be included in the clause at 1852.235-74 as a contract deliverable. (See FAR 27.403.)

     (v) Upon receipt of the final report, or any additional reports required by 1852.235-74 if included in the contract, the contracting officer shall forward the reports to the contracting officer’s technical representative (COTR) for review and acceptance.  The COTR shall ensure that the DAA review is initiated upon acceptance of the final report or any additional reports that NASA elects to publish or release outside of NASA or present at internal meetings at which foreign nationals may be present.  Upon completion of the DAA review, the COTR shall ensure that the DAA-approved STI and the original approved DAA form are sent to the center STI/Publication Manager.  The contractor should be advised of the final availability determination.  These responsibilities should be included in the COTR Delegation, NASA Form 1634.

   (b) The final report shall include a completed Report Documentation Page, Standard Form (SF) 298, as the final page of the report.

 

1835.011  Data.

   (a) In addition to any reports required by 1835.010, the contracting officer shall specify what additional data, (type, quantity, and quality) is required under the contract, for example, presentations, journal articles, and seminar notes.  (See FAR 27.403.)

 

1835.015  Contracts for research with educational institutions and nonprofit organizations.       

   (a)(1)(iv) The research contract shall include a requirement that the contractor obtain the contracting officer's approval when it plans to continue the research work during a continuous period in excess of 3 months without the participation of an approved principal investigator or project leader.

 

1835.016  Broad agency announcements.   

   (a)(i) The following forms of broad agen­cy announcements (BAAs) are authorized for use:

            (A) Announcements of Opportunity (see 1872).

            (B) NASA Research Announcements (see 1835.016-71).

            (C) Other forms of announcements ap­proved by the Assistant Administrator for Procurement (Code HS).      

       (ii) Other program announcements, notic­es, and letters not authorized by para­graph (a)(i) of this section shall not be used to solicit propos­als that may result in contracts.

       (iii) Draft or final versions of any form of BAA that directly or substantially supports a program subject to NASA Procedures and Guidelines (NPG) 7120.5 shall not be released    unless --           

            (A) All applicable NPG 7120.5 required documentation (see 1804.7301(b)(2)(i)) is current and has been approved (e.g., Formulation Authorization Document, Program Commitment Agreement, Program Plan, or Project Plan); or

            (B) Authority to proceed without the required documentation has been granted by the Chair of the Governing Program Management Council or designee. 

   (c)  BAAs may not preclude the participation of any offer­or capable of satisfying the Government's needs unless a justification for other than full and open competition is approved under FAR 6.304.

 

1835.016-70  Foreign participation under broad agency announcements (BAAs).

   (a)  Policy.     

      (1)  NASA seeks the broadest participation in response to broad agency announcements, including foreign proposals or proposals including foreign participation.  NASA’s policy is to conduct research with foreign entities on a cooperative, no-exchange-of-funds basis (see NPD 1360.2, Initiation and Development of International Cooperation in Space and Aeronautics Programs).  NASA does not normally fund foreign research proposals or foreign research efforts that are part of U.S. research proposals.  Rather, cooperative research efforts are implemented via international agreements between NASA and the spon­soring foreign agency or funding/sponsoring institution under which the parties agree to each bear the cost of discharging their respective responsibilities.

       (2)  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.

       (3) NASA funding may not be used for subcontracted foreign research efforts.  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.

   (b)  Procedure.  When a foreign proposal or a U.S. proposal with foreign participation is received in response to a BAA, the NASA sponsoring office shall determine whether the proposal conforms to the no-exchange-of-funds policy in 1835.016-70(a).

       (1) If the proposal conforms to the policy in 1835.016-70(a), the NASA sponsoring office shall evaluate the proposal and make selection in accordance with 1835.016-71(d).  In conjunction with the notification of successful foreign proposers, the NASA sponsoring office shall notify the Headquarters Office of External Relations, Code I.  Code I will negotiate the agreement with the sponsoring foreign agency or funding institution for the proposed participation.

       (2) If the proposal does not conform to the policy in 1835.016-70(a), the NASA sponsoring office shall:

            (i)   Determine whether the proposal merits further consideration;

(ii)  If further consideration is warranted, refer the proposal to Code I; and

            (iii) Complete the evaluation of the proposal.  However no notification of selection, whether tentative or final, shall be made without Code I approval.     

       (3) Notification to Code I required by paragraphs (b)(1) and (b)(2)(ii) of this section, shall address the items contained in 1872.504(c), and shall be coordinated through the Office of Procurement, Code HS.

 

1835.016-71  NASA Research Announcements.     

   (a)  Scope.  An NRA is used to announce research interests in support of NASA’s programs, and, after peer or scientific review using factors in the NRA, select proposals for funding.  Unlike an RFP containing a statement of work or specification to which offerors are to respond, an NRA provides for the sub­mission of competitive project ideas, con­ceived by the offerors, in one or more program areas of interest.  An NRA shall not be used when the requirement is sufficiently defined to specify an end product or service.

   (b)  Issuance.      

       (1) Before issuance, each field-generat­ed NRA shall be approved by the installa­tion director or designee, with the concurrence of the procure­­ment officer, and each Headquarters-generated NRA shall be approved by the cognizant Program Associate Administrator or designee, with the concurrence of the Headquarters Offices of General Counsel (Code GK) and Procurement (Code HS).  In addition, the issuing office shall obtain input from the cognizant offices responsible for matters of safety and mission assurance, occupational health, environmental protection, information technology, export control, and security.  Input shall also be obtained from the appropriate systems safety organization for NRA's that may involve potentially hazardous operations such as those related to flight and/or mission critical ground systems. The NRA approval authority shall designate the selection official.

       (2) The selection official shall assure that the NRA is synopsized prior to issuance in accordance with FAR 5.201.  The synopsis shall be brief, and the technical section describing the area of interest should not exceed 50 words.

       (3)  If a Headquarters-generated NRA may result in awards by a NASA field installation, the issuing office shall notify the installation procurement officer and provide a copy of the NRA.

       (4) The selecting official is responsible for the preparation and distribution of the NRA.

       (5)  NRAs normally shall remain open for at least 90 days. 

   (c)  Content.  The NRA shall consist of the following sections and items.  The entire package shall be provided in response to requests.     

       (1)  Cover.  The cover shall display:         

            (i)   "OMB Approval Number 2700-0087" in the upper right corner.

            (ii)  Title.

            (iii) "NASA Research Announcement Soliciting Research Proposals for the Peri­od Ending   ____".

            (iv) NRA number.

            (v)  Official address for the office issuing the NRA.     

       (2) Summary and Supplemental Infor­mation.          

            (i)   The Summary and Supplemental Information should not exceed two pages and shall include:             

                  (A) Title and NRA number.

                  (B) The following statement concerning safety:

                  " Safety is the freedom from those conditions that can cause death, injury, occupational illness, damage to or loss of equipment or property, or damage to the environment.  NASA's safety priority is to protect:  (1) the public, (2) astronauts and pilots, (3) the NASA workforce (including employees working under NASA award instruments), and (4) high-value equipment and property. 

                  (C) Introductory paragraphs describ­ing the purpose of the NRA and the period for receipt of proposals.

                  (D) Address for submitting proposals.

                  (E) Number of copies required.

                  (F) Selecting official's title.

                  (G) Names, addresses, and tele­phone num­bers for the technical and contracting points of contact.

                  (H) The following statement when the NRA is to be issued before funds are available:

                  "Funds are not currently available for awards under this NRA.  The Government's obligation to make award(s) is contingent upon the avail­ability of appropriated funds from which payment can be made and the receipt of pro­posals that NASA de­ter­mines are accept­able for award un­der this NRA."

                 (ii) The Summary and Supplemental Information may include estimates of the amount of funds that will be avail­able and the number of anticipated awards.  A breakdown of the estimates by research area may also be shown.     

       (3) Technical Description.  The first page shall contain the NRA number and title at the top.  A brief description not exceeding two pages is preferable, but it should be detailed enough to enable ready comprehen­sion of the research areas of interest.  Speci­fications containing detailed state­ments of work should be avoid­ed.  Any program manage­ment information included must be limited to matters that are essential for proposal preparation.

       (4) Instructions for Responding to NASA Research Announcements. The NRA shall contain instructions as stated in 1852.235-72 (see 1835.070(c)). 

   (d)  Receipt of proposals, evaluation, and selection.     

       (1) Proposals shall be protected as pro­vided in FAR 15.608, FAR 15.609, and 1815.609-70.

(2) Late propos­als and modifications shall be treated in accordance with 1815.208.

       (3) The selection decision shall be made following peer or scientific review of a proposal.  Peer or scientific review shall involve evaluation by an in-house special­ist, a specialist outside NASA, or both.  Evaluation by specialists outside NASA shall be conducted subject to the conditions in 1815.207.  After receipt of a proposal and before selection, scientific or engineering personnel shall communicate with an offeror only for the purpose of clarifica­tion (as defined in FAR 15.306), or to understand the meaning of some aspect of the proposal that is not clear, or to obtain confirmation or substantiation of a proposed approach, solution, or cost esti­mate.

       (4) Competitive range determinations shall not be made, and final proposal revisions shall not be requested.

       (5) Part of a proposal may be selected unless the offeror requests other­wise.  In addition, changes to a selected proposal may be sought if  (i) the ideas or other aspects of the proposal on which selection is based are contained in the proposal as originally submitted, and are not intro­duced by the changes; and  (ii) the changes sought would not involve a material alter­ation to the requirements stated in the NRA.  Changes that would affect a proposal's selection shall not be sought.  When changes are desired, the selecting official may request revi­sions from the offeror or request the contracting officer to implement them during negotiations with the successful offeror(s). The changes shall not transfer information from one offeror's proposal to another offeror (see FAR 15.306(e).  When collaboration between offerors would improve proposed research programs, collaboration may be suggested to the offerors.

       (6) The basis for selection of a proposal shall be documented in a selection state­ment applying the evaluation factors in the NRA.  The selection statement represents the conclusions of the selecting official and must be self-contained.  It shall not incorpo­rate by reference the evaluations of the reviewers.

       (7) The selecting official shall notify each offeror whose proposal was not select­ed for award and explain generally why the proposal was not selected.  If requested, the selecting official shall arrange a debriefing under FAR 15.5, with the participation of a contracting officer.

(8)  The selecting official shall for­ward to the contracting officer the following information:

            (i)   A copy of the NRA (This requirement may be waived in the case of a grant award at the discretion of the grant officer);

            (ii)  The results of the technical evalua­tion, including the total number of propos­als received, the selection statement, and the listing of proposal(s) selected for funding (These requirements may be waived in the case of a grant award at the discretion of the grant officer if the purchase request specifically references the NRA number and states that the proposal forwarded for funding was selected under the NRA.);

            (iii) A description of any chang­es de­sired in any offeror's statement of work, includ­ing the reasons for the changes and any effect on level of funding;

            (iv) If a contract will be used to fund the proposal, a description of deliver­ables, including technical reports, and delivery dates, consistent with the require­ments of the NRA;

            (v)  A procurement request;

            (vi) Comments on the offeror's cost pro­posal (either the selecting official's com­ments, which may be based on the reviewers' comments, or copies of the reviewers' comments with any different conclusions of the selecting official); these comments shall address the need for and reasonableness of travel, computer time, materials, equipment, subcontracted items, publication costs, labor hours, labor mix, and other costs; and

            (vii) A copy of the selected propos­al as originally submitted, any revi­sions, and any correspondence from the successful offeror.     

       (9) The selecting official may pro­vide to the contracting officer copies of the reviewers' evaluations.  Reviewers' names and institutions may be omitted.

       (10) The selecting official may provide each offeror whose proposal was selected for negotiation a notification stating:            

            (i)   The proposal has been selected for negotiation;

            (ii)  The offeror's business office will be contacted by a contract­ing officer, who is the only official autho­rized to obligate the Government; and

            (iii) Any costs incurred by the offer­or in anticipation of an award are at the offer­or's risk.           

   (e) Award. The contracting officer shall choose the appropriate award instrument.  If a contract is selected, the contracting officer shall --     

       (1) Advise the offeror that the Govern­ment contemplates entering into negotia­tions; the type of contract contemplated; and the estimated award date, anticipated effort, and delivery schedule;

       (2) Send the offeror a model contract, if necessary, including modifications con­templated in the offeror's statement of work, and request agreement or identifica­tion of any exceptions (the contract state­ment of work may summarize the proposed research, state that the research shall be conducted in accordance with certain tech­nical sections of the proposal (which shall be identified by incorporating them into the contract by reference), and identify any changes to the proposed research);

       (3) Request the offeror to complete and return certifications and representations and Standard Form 33, Solicitation, Offer, and Award, or other appropriate forms.  If FAR 52.219-9, Small Business Subcontracting Plan, is required for the resultant contract, request the offeror to provide a subcontracting plan;

       (4) Conduct negotiations in accordance with FAR Subparts 15.3 and 15.4, as appli­cable;

       (5) Award a contract; and

       (6) Comply with FAR Subparts 4.6 and 5.3 on contract reporting and synopses of contract awards.          

   (f) Cancellation of an NRA.  When pro­gram changes, program funding, or any other reasons require can­cellation of an NRA, the offi­ce issuing the NRA shall notify potential offerors by using the mail­ing list for the NRA.

 

1835.016-72  Foreign participation in NRA proposals.

   Foreign proposals or U.S. proposals with foreign participation shall be treated in accordance with 1835.016-70.  Additional guidelines applicable to foreign proposers are contained in the provision at 1852.235-72, Instructions for Responding to NASA Research Announcements.

 

1835.070 NASA contract clauses and solic­itation provision.

  (a) The contracting officer shall insert the clause at 1852.235-70, Center for AeroSpace Information, in all research and development contracts, and interagency agreements and cost-reim­bursement supply contracts involving re­search and development work.

  (b) The contracting officer shall insert the clause at 1852.235-71, Key Personnel and Facilities, in contracts when source selec­tion has been substantially predicated upon the possession by a given offeror of special capabilities, as represented by key personnel or facilities.

  (c) The contracting officer shall ensure that the provision at 1852.235-72, Instructions for Responding to NASA Research Announcements, is inserted in all NRAs.  The instructions may be supplemented, but only to the minimum extent necessary.

  (d) The contracting officer shall insert the clause at 1852.235-73, Final Scientific and Technical Reports, in all research and development contracts, and in interagency agreements and cost-reimbursement supply contracts involving research and development work.

    (1) The contracting officer, after consultation with and concurrence of the program or project

manager and the center Export Control Administrator,  shall insert the clause with its Alternate I when the contract includes “fundamental research” as defined at 22 CFR 120.11(8) and no prior review of data, including the final report, produced during the performance of the contract is required for export control or national security purposes before the contractor may publish, release, or otherwise disseminate the data.

    (2) The contracting officer, after consultation with and concurrence by the program or project manager and where necessary the center Export Control Administrator, shall insert the clause with its Alternate II, when prior review of all data produced during the performance of the contract is required before the contractor may publish, release, or otherwise disseminate the data.  For example, when data produced during performance of the contract may be subject to export control, national security restrictions, or other restrictions designated by NASA; or, to the extent the contractor receives or is given access to data that includes restrictive markings, may include proprietary information of others.

  (e) The contracting officer shall insert a clause substantially the same as the clause at 1852.235-74, Additional Reports of Work -- Research and Development, in all research and development contracts, and in interagency agreements and cost-reim­bursement supply contracts involving research and development work, when periodic reports, such as monthly or quarterly reports, or reports on the completion of significant units or phases of work are required for monitoring contract performance.  The clause should be modified to reflect the reporting requirements of the contract and to indicate the timeframe for submission of the final report.

 

 

1835.070 NASA contract clauses and solic­itation provision.

   (a) The contracting officer shall insert the clause at 1852.235-70, Center for AeroSpace Information, in all research and development contracts, and interagency agreements and cost-reim­bursement supply contracts involving re­search and development work.

   (b) The contracting officer shall insert the clause at 1852.235-71, Key Personnel and Facilities, in contracts when source selec­tion has been substantially predicated upon the possession by a given offeror of special capabilities, as represented by key personnel or facilities.

   (c) The contracting officer shall ensure that the provision at 1852.235-72, Instructions for Responding to NASA Research Announcements, is inserted in all NRAs.  The instructions may be supplemented, but only to the minimum extent necessary.

   (d) The contracting officer shall insert the clause at 1852.235-73, Final Scientific and Technical Reports, in all research and development contracts, and in interagency agreements and cost-reimbursement supply contracts involving research and development work.

       (1) The contracting officer, after consultation with and concurrence of the program or project

manager and the center Export Control Administrator,  shall insert the clause with its Alternate I when the contract includes “fundamental research” as defined at 22 CFR 120.11(8) and no prior review of data, including the final report, produced during the performance of the contract is required for export control or national security purposes before the contractor may publish, release, or otherwise disseminate the data.

       (2) The contracting officer, after consultation with and concurrence by the program or project manager and where necessary the center Export Control Administrator, shall insert the clause with its Alternate II, when prior review of all data produced during the performance of the contract is required before the contractor may publish, release, or otherwise disseminate the data.  For example, when data produced during performance of the contract may be subject to export control, national security restrictions, or other restrictions designated by NASA; or, to the extent the contractor receives or is given access to data that includes restrictive markings, may include proprietary information of others.

   (e) The contracting officer shall insert a clause substantially the same as the clause at 1852.235-74, Additional Reports of Work -- Research and Development, in all research and development contracts, and in interagency agreements and cost-reim­bursement supply contracts involving research and development work, when periodic reports, such as monthly or quarterly reports, or reports on the completion of significant units or phases of work are required for monitoring contract performance.  The clause should be modified to reflect the reporting requirements of the contract and to indicate the timeframe for submission of the final report.

1852.231-70                                     Precontract Costs.

1852.231-71                                     Determination of Compensation Reasonableness.

1852.232-70                                     NASA Modification of FAR 52.232-12.

1852.232-77                                     Limitation of Funds (Fixed-Price Contract).

1852.232-79                                     Payment for On-Site Preparatory Costs.

1852.232-81                                     Contract Funding.

1852.232-82                                     Submission of Requests for Progress Payments.

1852.233-70                                     Protests to NASA.

1852.235-70                                     Center for AeroSpace Informational Reports.

1852.235-71                                     Key Personnel and Facilities.

1852.235-72                                     Instructions for Responding to NASA Research Announcements.

1852.235-73                                 Final Scientific and Technical Reports.

1852.235-74                                 Additional Reports of Work -- Research and Development.

1852.236-71                                     Additive or Deductive Items.

1852.236-72                                     Bids with Unit Prices.

1852.236-73                                     Hurricane Plan.

1852.236-74                                     Magnitude of Requirement.

1852.236-75                                     Partnering for Construction Contracts.

1852.237-70                                     Emergency Evacuation Procedures.

1852.237-71                                     Pension Portability.

1852.239-70                                     Alternate Delivery Points.

1852.241-70                                     Renewal of Contract.

1852.242-70                                     Technical Direction.

1852.242-71                                     Travel Outside of the United States.

1852.242-72                                     Observance of Legal Holidays.

1852.242-73                                     NASA Contractor Financial Management Reporting.

1852.242-74                                     Notice of Earned Value Management System.

1852.242-75                                     Earned Value Management System.

1852.242-76                                     Modified Cost Performance Report.

1852.242-77                                     Modified Cost Performance Report Plans.

1852.242-78                                     Emergency Medical Services and Evacuation.

1852.243-70                                     Engineering Change Proposals.

1852.243-71                                     Shared Savings.

1852.243-72                                     Equitable Adjustments.

1852.244-70                                     Geographic Participation in the Aerospace Program.

1852.245-70                                     Contractor Requests for Government-Owned Equipment.

1852.245-71                                     Installation-Accountable Government Property.

1852.245-72                                     Liability for Government Property Furnished for Repair or

  Other Services.

1852.245-73                                     Financial Reporting of NASA Property in the Custody of Contractors.

1852.245-74                                     Contractor Accountable On-Site Government Property.

1852.245-75                                     Title to Equipment.

1852.245-76                                     List of Government-Furnished Property.

1852.245-77                                     List of Installation-Accountable Property and Services.

1852.245-79                                     Use of Government-Owned Property.

1852.245-80                                     Use of Government Production and Research Property on a No-Charge Basis.

1852.246-70                                     Mission Critical Space System Personnel Reliability  

                                                             Program.

1852.246-71                                     Government Contract Quality Assurance.

1852.246-72                                     Material Inspection and Receiving Report.

1852.246-73                                     Human Space Flight Item.

1852.247-71                                     Protection of the Florida Manatee.

1852.247-72                                     Advance Notice of Shipment.

1852.247-73                                     Bills of Lading.

1852.249-72                                     Termination (Utilities).

 

SUBPART               1852.3             PROVISION AND CLAUSE MATRIX

1852.300                                           Scope of Subpart.

1852.301                                           Solicitation Provisions and Contract Clauses (Matrix).

 

 

PART 1852

SOLICITATION PROVISIONS AND CONTRACT CLAUSES

 

1852.000 Scope of part.

  This part, in conjunction with FAR Part 52, (a) sets forth the provisions and clauses prescribed in the NFS, (b) gives instructions for their use, and (c) presents a matrix listing the provisions and clauses applicable to each principal contract type and/or purpose (e.g., fixed-price supply, cost-reimbursement research and development).

 

                           Subpart 1852.1--Instructions for Using Provisions and Clauses

 

1852.101 Using Part 52.

  (b)(2)(i)(B) NASA contracting offices prescribing or developing clauses shall ensure that the requirements of Subpart 1801.3 are met.

  (e)(1) The NFS matrix in Subpart 1852.3 is formatted similarly to that in the FAR.  The first page of the NFS matrix contains a key to column headings, a dollar threshold chart, and requirement symbols.  To fully determine the applicability of a provision or clause in the "required-when-applicable" and "optional" categories, Contracting Officers shall refer to the NFS text (cited in the matrix) that prescribes its use.

       (4) The NFS matrix may be reproduced by field installations for the purpose of supplementing it with installation-developed provisions and clauses.

 

1852.103 Identification of provisions and clauses.

  (b) Provisions and clauses prescribed by a field installation to satisfy its needs shall be identified as stated in paragraphs (b)(i) and (ii) of this section.  Articles, formats, and similar language shall be treated as provisions and clauses for purposes of this section 1852.103.

      (i) A provision or clause shall be numbered using a prefix, a base, and a suffix.  The prefix shall be an alphabetical abbreviation of the installation name (e.g., ARC, DFRC, GRC, GSFC,


JSC, KSC, LARC, MSFC, SSC, or SSPO).  The base shall be a numeric value beginning with "52.2," with the next two digits corresponding to the number of the FAR or NFS subject part to which the provision or clause relates.  The suffix shall be a hyphen and sequential number assigned within each part.  NASA installations shall use suffix numbers from -90 to -199.  For example, the first Johnson Space Center (JSC) provision or clause relating to Part 36 of the FAR or NFS shall be JSC 52.236-90, the second JSC 52.236-91, and so forth.  Provisions and clauses shall be dated in accordance with FAR 52.101(f).

      (ii) Contracting officers shall identify provisions and clauses as in the following examples:

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.

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

CENTER FOR AEROSPACE INFORMATION

(FEBRUARY 2003)

        (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 NASA repository and database of research information, which may enhance contract performance.

   (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) Information regarding CASI and the services available can be obtained at the Internet address contained in paragraph (a) of this clause or at the following address.

Center for AeroSpace Information (CASI)

            7121 Standard Drive

            Hanover, Maryland  21076-1320

            Email:  help@sti.nasa.gov

            Phone: 301-621-0390

            FAX:  301-621-0134

(End of clause)

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)

 

 

1852.235-73 Final Scientific and Technical Reports.

As prescribed in 1835.070(d) insert the following clause:

Final Scientific and Technical Reports

(FEBRUARY 2003)

   (a) The Contractor shall submit to the Contracting Officer a final report that summarizes the

results of the entire con­tract, including recom­menda­tions and conclusions based on the experience and results obtained.  The final report should include tables, graphs, diagrams, curves, sketches, photo­graphs, and drawings in sufficient detail to explain comprehensively the results achieved under the contract.

   (b) The final report shall be of a quality suitable for publication and shall follow the formatting and stylistic guidelines contained in NPG 2200.2A, Guidelines for Documentation, Approval, and Dissemination of NASA Scientific and Technical Information.  Electronic formats for submission of reports should be used to the maximum extent practical.  Before electronically submitting reports containing scientific and technical information (STI) that is export-controlled or limited or restricted, contact the Contracting Officer to determine the requirements to electronically transmit these forms of STI.  If appropriate electronic safeguards are not available at the time of submission, a paper copy or a CD-ROM of the report shall be required.  Information regarding appropriate electronic formats for final reports is available at http://www.sti.nasa.gov under “Publish STI – Electronic File Formats.”

   (c) The last page of the final report shall be a completed Standard Form (SF) 298, Report Documentation Page.

   (d) In addition to the final report submitted to the Contracting Officer, the Contractor shall concurrently provide to the Center STI/Publication Manager and the NASA Center for AeroSpace Information (CASI) a copy of the letter transmitting the final report to the Contracting Officer.  The copy of the letter shall be submitted to CASI at the following address:

Center for AeroSpace Information (CASI)

Attn: Acquisitions Collections Development Specialist

            7121 Standard Drive

            Hanover, Maryland  21076-1320

   (e) In accordance with paragraph (d) of the Rights in Data --General clause (52.227-14) of this contract, the Contractor may publish, or otherwise disseminate, data produced during the performance of this contract, including data contained in the final report, and any additional reports required by 1852.235-74 when included in the contract, without prior review by NASA.  The Contractor is responsible for reviewing publication or dissemination of the data for conformance with laws and regulations governing its distribution, including intellectual property rights, export control, national security and other requirements, and to the extent the contractor receives or is given access to data necessary for the performance of the contract which contain restrictive markings, for complying with such restrictive markings.  Should the Contractor seek to publish or otherwise disseminate the final report, or any additional reports required by 1852.235-74 if applicable, as delivered to NASA under this contract, the Contractor may do so once NASA has completed its document availability authorization review, and availability of the report has been determined.

 

Alternate I 

(FEBRUARY 2003)

   As prescribed by 1835.070(d)(1), insert the following as paragraph (e) of the basic clause:

   (e) The data resulting from this research activity is “fundamental research” which will be broadly shared within the scientific community.  No foreign national access or dissemination restrictions apply to this research activity.   The Contractor may publish, release, or otherwise disseminate data produced during the performance of this contract, including the final report, without prior review by NASA for export control or national security purposes.  However, NASA retains the right to review the final report to ensure that proprietary information, which may have been provided to the Contractor, is not released without authorization and for consistency with NASA publication standards.  Additionally, the Contractor is responsible for reviewing any publication, release, or dissemination of the data for conformance with other restrictions expressly set forth in this contract, and to the extent it receives or is given access to data necessary for the performance of the contract which contain restrictive markings, for compliance with such restrictive markings.

 

Alternate II

(FEBRUARY 2003)

   As prescribed by 1835.070(d)(2), insert the following as paragraph (e) of the basic clause:

   (e) Data resulting from this research activity may be subject to export control, national security restrictions or other restrictions designated by NASA; or, to the extent the Contractor receives or is given access to data necessary for the performance of the contract which contain restrictive markings, may include proprietary information of others.  Therefore, the Contractor shall not publish, release, or otherwise disseminate, except to NASA, data produced during the performance of this contract, including data contained in the final report and any additional reports required by 1852.235-74 when included in the contract, without prior review by NASA.  Should the Contractor seek to publish, release, or otherwise disseminate data produced during the performance of this contract, the Contractor may do so once NASA has completed its document availability authorization review and the availability of the data has been determined.

 (End of clause)

 

1852.235-74  Additional Reports of  Work -- Research and Development.

   As prescribed in 1835.070(e), insert a clause substantially the same as the following:

ADDITIONAL REPORTS OF WORK -- RESEARCH AND DEVELOPMENT

(FEBRUARY 2003)

   In addition to the final report required under this contract, the Contractor shall submit the following report(s) to the Contracting Officer:

   (a) Monthly progress reports.  The Contractor shall submit separate monthly reports of all work accomplished during each month of contract performance.  Re­ports shall be in narrative form, brief, and informal.  They shall include a quantitative descrip­tion of progress, an indication of any current prob­lems that may impede performance, proposed correc­tive action, and a discussion of the work to be performed during the next monthly reporting period

   (b) Quarterly progress reports.  The Contractor shall submit separate quarterly reports of all work accomplished during each three-month period of contract performance.  In addition to factual data, these reports should include a separate analysis section interpreting the results obtained, recommend­ing further action, and relating occurrences to the ulti­mate objectives of the contract.


Sufficient dia­grams, sketches, curves, photographs, and drawings should be included to convey the intended meaning.

   (c) Submission dates.  Monthly and quarterly reports shall be submitted by the 15th day of the month following the month or quarter being reported.  If the contract is awarded beyond the middle of a month, the first monthly report shall cover the period from award until the end of the following month.  No monthly report need be submitted for the third month of contract effort for which a quarterly report is required.  No quarterly report need be submitted for the final three months of contract effort since that period will be covered in the final report.  The final report shall be submitted within ____days after the completion of the effort under the contract.

(End of clause)

 

1852.236-71 Additive or Deductive Items.

  As prescribed in 1836.570(a), insert the following provision:

ADDITIVE OR DEDUCTIVE ITEMS

(MARCH 1989)

  (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

(MARCH 1989)

   (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