[Federal Register Volume 60, Number 153 (Wednesday, August 9, 1995)]
[Rules and Regulations]
[Pages 40508-40538]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-19144]



=======================================================================
-----------------------------------------------------------------------

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

48 CFR Parts 1801, 1803, 1804, 1805, 1808, 1809, 1810, 1812, 1814, 
1815, 1819, 1822, 1825, 1827, 1829, 1831, 1833, 1835, 1837, 1839, 
1846, 1849, 1850, 1852, 1853 and 1870

[NASA FAR Supplement Directive 89-19]
RIN 2700-AB84


Acquisition Regulation; Miscellaneous Amendments to NASA FAR 
Supplement

AGENCY: Office of Procurement, Acquisition Liaison Division, National 
Aeronautics and Space Administration (NASA).

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: This document amends the NASA Federal Acquisition Regulation 
Supplement (NFS) to reflect a number of miscellaneous changes dealing 
with NASA internal and administrative matters, such as the NASA FAR 
Supplement rewrite and reassignment of duties in the Office of 
Procurement.

EFFECTIVE DATE: July 31, 1995.

FOR FURTHER INFORMATION CONTACT: Mr. David K. Beck, (202) 358-0482.

SUPPLEMENTARY INFORMATION:

Availability of NASA FAR Supplement

    The NASA FAR Supplement, of which this rule is a part, is available 
in its entirety on a subscription basis from the Superintendent of 
Documents, Government Printing Office, Washington, DC 20402, telephone 
number (202) 512-1800. Cite GPO Subscription Stock Number 933-003-
00000-1. It is not distributed to the public, either in whole or in 
part, directly by NASA.

Rewrite of NASA FAR Supplement

    NASA is reviewing and rewriting 48 CFR chapter 18, the NASA FAR 
Supplement, in its entirety in order to implement recommendations of 
the National Performance Review. During this review, NASA is 
eliminating reporting requirements and making other changes in order to 
reduce and simplify the regulation. This rule is part of the effort to 
simplify NASA's regulations.

Summary of Changes

    Part 1801--Federal Acquisition Regulations System--Unnecessary 
words and sections in subparts 1801.1 to 1801.4 are eliminated. Section 
1831.101 on deviations from cost principles is moved to 1804.471(c)
    Part 1810--Specifications, Standards, and Other Purchase 
Descriptions--Unnecessary words and duplicative policy are removed.
    Part 1814--Sealed Bidding--Unnecessary words, sentences and section 
are eliminated.
    Subpart 1815.1--General Requirements for Negotiation--Subpart is 
eliminated because it is unnecessary guidance.
    Subpart 1815.4--Solicitation and Receipt of Proposals and 
Quotations--Unnecessary paragraphs, sentence and words are eliminated.
    Subpart 1815.5--Unsolicited Proposals--Section 1815.502 is revised 
to emphasize that NASA encourages unsolicited proposals that are unique 
and innovative. Sections 1815.503, 1815.504-70, and 1815.506 are 
revised to remove unnecessary words.
    Subpart 1815.6--Source Selection--Unnecessary paragraphs, sentence 
and words are eliminated.
    Subpart 1815.10--Preaward, Award, and Postaward Notifications, 
Protests, and Mistakes--Unnecessary words are eliminated.
    Part 1827--Patents, Data, and Copyrights--Unnecessary words are 
removed.
    Part 1833--Protests, Disputes, and Appeals--Paragraphs 1833.104(a) 
and (d) are revised in order to correct references to FAR sections.
    Part 1835--Research and Development Contracting--Unnecessary words 
are removed. The following paragraphs and sections are removed because 
they are covered elsewhere: 1835.003(b) (covered by FAR 35.003(b)), 
1835.003-70 (covered by 1835.070(a) and 1852.235-70), 1835.003-71(a) 
(covered by 1827.373(b)), 1835.003-71(b) (covered by 1835.070(c)), and 
1835.071 (covered by 1846.270(a)).
    Part 1837--Service Contracting--Section 1837.000 is eliminated 
because it is unnecessary.
    Part 1839--Acquisition of Information Resources--Unnecessary words 
are removed. Revises thresholds based on current delegations from GSA.
    Part 1846--Quality Assurance--Unnecessary words are removed. 
Section 1846.670-2(a) and paragraph (a) of the clause at 1852.246-72 
are revised to clarify that the clause applies only to deliveries to 
the Government.
    Part 1849--Termination--Dollar thresholds in 1849.111-71 are 
revised in order to eliminate the requirement for a Board to review and 
approve a Termination Contracting Officer's actions involving amounts 
up to $1 million and, under complete terminations, fee up to $100,000. 
1849.102-70, 1849.111-72, and 1849.111-74 are clarified. In order to 
conform to FAR 49.110(a), detailed instructions in 1849.603-70(d)(1) 
and (2) are replaced with references to FAR 15.808(a).
    Part 1852--Solicitation Provisions and Contract Clauses--A clause 
is revised as discussed under part 1846.
    Part 1853--Forms--Unnecessary words in 1853.101, 1853.103, 
1853.104, and 1853.105 are eliminated. The requirement in 1853.105 to 
obtain approval from NASA Headquarters prior to using computer 
generated forms is eliminated. Sections 1853.204, 1853.216-70 and 
1853.242-70 through 1853.242-72 are revised to eliminate redundant 
words. A reference in 1853.249(b) is corrected.
    Subpart 1870.1--NASA Acquisition of Investigations System--
Unnecessary words are removed.
    Subpart 1870.2--NASA Research Announcement System--Unnecessary 
words are removed. In paragraph 16 about canceling NRA's, the reference 
to the Commerce Business Daily (CBD) is removed because the CBD does 
not publish cancellation notices.

Impact

    NASA certifies that this regulation will not have a significant 
economic effect on a substantial number of small entities under the 
Regulatory Flexibility Act (5 U.S.C. 601 et seq.). 

[[Page 40509]]


List of Subjects in 48 CFR Parts 1801, 1803, 1804, 1805, 1808, 1809, 
1810, 1812, 1814, 1815, 1819, 1822, 1825, 1827, 1829, 1831, 1833, 1835, 
1837, 1839, 1846, 1849, 1850, 1852, 1853 and 1870

    Government procurement.
Thomas S. Luedtke,
Deputy Associate Administrator for Procurement.

    Accordingly, 48 CFR parts 1801, 1803, 1804, 1805, 1808, 1809, 1810, 
1812, 1814, 1815, 1819, 1822, 1825, 1827, 1829, 1831, 1833, 1835, 1837, 
1839, 1846, 1849, 1850, 1852, 1853 and 1870 are amended as follows.
    1. The authority citation for 48 CFR parts 1801, 1803, 1804, 1805, 
1808, 1809, 1810, 1812, 1814, 1815, 1819, 1822, 1825, 1827, 1829, 1831, 
1833, 1835, 1837, 1839, 1846, 1849, 1850, 1852, 1853, and 1870 
continues to read as follows:

    Authority: 42 U.S.C. 2473(c)(1).

PART 1801--FEDERAL ACQUISITION REGULATIONS SYSTEM

    2. Section 1801.000 is revised to read as follows:


1801.000  Scope of part.

    This part sets forth general information about the National 
Aeronautics and Space Administration (NASA) Federal Acquisition 
Regulation (FAR) Supplement.

Subpart 1801.1--Purpose, Authority, Issuance


1801.101  [Removed]

    3. Section 1801.101 is removed.
    4. Paragraphs (a) and (b) of section 1801.102 are revised to read 
as follows:


1801.102  Authority.

* * * * *
    (a) The National Aeronautics and Space Act of 1958 (Pub. L. 85-568; 
42 U.S.C. 2451 et seq.).
    (b) 10 U.S.C. chapter 137.
* * * * *
    5. Paragraph (a)(3) of section 1801.104-1 is revised to read as 
follows:


1801.104-1  Publication and code arrangement.

    (a) * * *
    (3) A separate loose-leaf edition.
* * * * *
    6. Section 1801.104-2 is revised to read as follows:


1801.104-2  Arrangement of regulations.

    (a) Unless otherwise stated, cross references are to parts or 
subdivisions of the regulations in this chapter.
    (b) The regulations in this chapter may be referred to as the NASA 
FAR Supplement or the NFS.
    (c) A NFS ``version'' is the basic loose-leaf edition NFS with all 
NFS Directive (NFSD) change pages filed up to and including the NFSD 
number that corresponds to the ``version'' number. For example, for the 
1989 edition of the NFS, Version 89.3 consists of pages from NFSD 89-0 
(basic NFS), with change pages filed from NFSD's 89-1, 89-2, and 89-3.

    7. Section 1801.104-3 is revised to read as follows:


1801.104-3  Copies.

    Subscriptions to the following publications may be obtained by 
writing to Superintendent of Documents, U.S. Government Printing Office 
(GPO), Washington, DC 20402, or by calling (202) 512-1800. Telephone 
orders may be charged to Visa, Mastercard, or a GPO Deposit Account. A 
subscription consists of the basic edition, plus all changes issued for 
an indefinite period. The prices and periods of subscriptions are set 
by GPO.

NASA FAR SUPPLEMENT (NFS)
    GPO Subscription (Subscript.) Stock No. 933-003-00000-1
FEDERAL ACQUISITION REGULATION (FAR)
    GPO Subscript. Stock No. 922-006-00000-8 (Note: The FAR is not a 
NASA publication.)

    Public libraries that possess title 48, Code of Federal Regulations 
(CFR) are also a source of information, but this source is updated only 
once each year.
    8. Section 1801.104-370 is revised to read as follows:


1801.104-370  Internal dissemination.

    The Office of Procurement, NASA Headquarters (Code HK), distributes 
the Federal Acquisition Regulation (FAR), Federal Acquisition 
Regulation Circulars (FAC), NASA FAR Supplement (NFS), NFS Directives 
(NFSD), Procurement Notices (PN), and Procurement Information Circulars 
(PIC) directly to NASA Headquarters offices and to installation 
distribution points. Mrs. Cynthia O'Bryant (202-358-1248) is the 
contact point for Headquarters personnel and the installation 
distribution points. NASA center personnel may be placed on the 
distribution list or may obtain extra copies by contacting the 
designated distribution point for their installation. (Do not order 
these documents on a NASA Form 2 from the Goddard Space Flight Center.)
    9. Section 1801.105 is revised to read as follows:


1801.105  OMB approval under the Paperwork Reduction Act.

    (a) NASA FAR Supplement requirements. The following OMB control 
numbers apply:

------------------------------------------------------------------------
                                                            OMB control 
               NASA FAR Supplement segment                      No.     
------------------------------------------------------------------------
1815.406-70(b)(5)(iii)..................................       2700-0082
1815.608-72.............................................       2700-0080
1819....................................................       2700-0073
1819.72.................................................       2700-0078
1827....................................................       2700-0052
1843....................................................       2700-0054
NF 533..................................................       2700-0003
NF 667..................................................       2700-0004
NF 1018.................................................       2700-0017
------------------------------------------------------------------------

    (b) Solicitations and contracts. Various requirements in a 
solicitation or contract, generally in the statement of work, are not 
tied to specific paragraphs cleared in paragraph (a) of this section, 
yet require information collection or recordkeeping. The following OMB 
control numbers apply to these requirements: 2700-0086 (small 
purchases), 2700-0087 (solicitations that may result in bids or 
proposals not exceeding $500,000), 2700-0085 (solicitations that may 
result in bids or proposals exceeding $500,000), 2700-0088 (contracts 
not exceeding $500,000), and 2700-0089 (contracts not exceeding 
$500,000). These OMB control numbers, as applicable, shall be displayed 
in the upper right hand corner of the cover page of each solicitation/
contract. Overprinting is authorized by 1853.104.
    10. Subpart 1801.2 is revised to read as follows:

------------------------------------------------------------------------
       Subpart                      1801.2  Administration              
------------------------------------------------------------------------
1801.270............  Amendment of regulation.                          
1801.270-1..........  Revisions.                                        
1801.270-2..........  Procurement notices.                              
1801.270-3..........  Effective date.                                   
1801.270-4..........  Numbering.                                        
1801.271............  NASA procedures for FAR and NFS changes.          
1801.272............  Procurement information circulars.                
------------------------------------------------------------------------

Subpart 1801.2--Administration


1801.270  Amendment of regulation.


1801.270-1  Revisions.

    The regulations in this chapter are amended by publishing 
amendments in the Federal Register and by issuing NFSD's containing 
loose-leaf replacement pages revising various segments of it (also see 
1801.270-2). Each replacement page bears the NFSD number and page 
number at the top. A vertical bar at the side of a line indicates that 
a change has been made within that line. 

[[Page 40510]]



1801.270-2  Procurement notices.

    (a) The regulations in this chapter are amended by publishing 
amendments in the Federal Register and by issuing Procurement Notices 
(PN's) when it is necessary or advisable to promulgate as rapidly as 
possible selected material revising this regulation in advance of an 
NFSD.
    (b) Unless otherwise indicated, each PN remains in effect until the 
effective date of the subsequent NFSD incorporating the PN or until 
specifically canceled.


1801.270-3  Effective date.

    (a) Compliance with a revision to the regulations in this chapter 
shall be in accordance with the NFSD or PN containing the revision. 
Procurements initiated after receipt of new or revised clauses should, 
to the maximum practicable extent, include such clauses.
    (b) Unless otherwise stated, solicitations that have been issued, 
and bilateral agreements for which negotiations have been completed, 
before the receipt of new or revised contract clauses need not be 
amended to include the new or revised clauses if including them would 
unduly delay the procurement.


1801.270-4  Numbering.

    NFSD's and PN's are numbered consecutively, prefixed by the last 
two digits of the calendar year of issuance of the current edition of 
the NASA FAR Supplement.


1801.271  NASA procedures for FAR and NFS changes.

    (a) Informal suggestions for improving the regulations in this 
chapter, including correction of errors, should be directed to the 
Contract Management Division (Code HK).
    (b)(1) Formal requests for changes to the FAR or the NFS should be 
written and contain,
    (i) A description of the problem the suggested revision is designed 
to cure,
    (ii) The revision in the form of a marked-up copy of the current 
FAR or NFS language or the text of any additional language,
    (iii) The consequences of making no change and the benefits to be 
expected from a change, and
    (iv) Any other information necessary for understanding the 
situation, such as relationship between FAR and NFS coverage, legal 
opinions, coordination with other offices, and existing agreements.
    (2) Formal requests for FAR and NFS changes should be sent to the 
Associate Administrator for Procurement (Code HK). Requests from 
Headquarters offices should originate at the division level or higher, 
while installation requests should be signed at the procurement officer 
or higher level.


1801.272  Procurement Information Circulars.

    (a) The Procurement Information Circular (PIC) is used for internal 
dissemination of procurement-related information and directives not 
suitable for inclusion in the NFS. The Contract Management Division 
(Code HK) is responsible for issuing PIC's.
    (b) PIC's are numbered on a calendar year basis, beginning with 
number 1, prefixed by the last two digits of the year. To ensure 
periodic review, PIC's normally will automatically expire on December 
31 of the year of issuance.

Subpart 1801.3--Agency Acquisition Regulations

    11. Paragraphs (b) introductory text, (b)(1) introductory text, and 
(b)(2)(i) of section 1801.301 are revised to read as follows:


1801.301  Policy.

* * * * *
    (b) All procurement policies, regulations, procedures, and forms 
requiring publication for public comment in accordance with 41 U.S.C. 
418b. This statute requires publication where there will be a 
significant effect beyond the internal operating procedures of the 
agency or a significant cost or administrative impact on contractors or 
offerors.
    (1) The statute does not define ``significant effect beyond the 
internal operating procedures'' or ``significant cost or administrative 
impact.'' Examples of policies or procedures that fall in either of 
these categories are given in paragraphs (b)(1) (i) through (iv) of 
this section.
* * * * *
    (2) * * *
    (i) Security procedures for identifying and badging contractor 
personnel to obtain access at a NASA installation.
* * * * *
    12. Section 1801.303 is revised to read as follows:


1801.303  Publication and codification.

    Part, subpart, and section numbers 70 through 89 are reserved for 
NASA FAR Supplement use.

Subpart 1801.4--Deviation from the FAR

    13. Section 1801.400 is revised to read as follows:


1801.400  Scope of subpart.

    This subpart prescribes the policies and procedures for authorizing 
deviations from the NASA FAR Supplement and the FAR.


1801.401, 1801.402, 1801.403, 1801.404, 1801.405, 1801.470  [Removed]

    14. Sections 1801.401, 1801.402, 1801.403, 1801.404, 1801.405, and 
1801.470 are removed.


1801.471  [Amended]

    15. and 16. In section 1801.471, paragraphs (a) and (b)(2) are 
revised and paragraph (c) is added to read as follows:


1801.471  Procedure for requesting deviations.

    (a) Requests for authority to deviate from the FAR or the 
regulations in this chapter shall be:
    (1) Submitted to the Director, Program Operations Division, Office 
of Procurement, NASA Headquarters (Code HS); and
    (2) Signed by the procurement officer.
    (b) * * *
    (2) A full description of the deviation, the circumstances in which 
it will be used, and the specific contract action(s) to which it 
applies;
* * * * *
    (c) Requests for individual deviations from FAR cost principles 
under FAR 31.101 should provide the following information:
    (1) The name and phone number of the contracting officer;
    (2) A copy of the contractor's request for cost allowance;
    (3) The rationale for granting the deviation and supporting 
information, including the benefit to the Government;
    (4) The dollar amount involved; and
    (5) Any other information considered relevant to the request.

PART 1803--IMPROPER BUSINESS PRACTICES AND PERSONAL CONFLICTS OF 
INTEREST


1803.104-11  [Amended]

    17. In paragraphs (b) and (c) of section 1803.104-11, ``(Attn: Code 
HP)'' is revised to read ``(Attn: Code HS)''.


1803.303  [Amended]

    18. In paragraph (a) introductory text of section 1803.303, ``(Code 
HP)'' is revised to read ``(Code HS)''.
    19. In paragraph (c) of section 1803.303, ``(Code HP)'' is revised 
to read ``(Code HS)'', and ``Code HP'' is revised to read ``Code HS''.


1803.806  [Amended]

    20. In section 1803.806, ``(Code HP)'' is revised to read ``(Code 
HK)''. 

[[Page 40511]]


PART 1808--REQUIRED SOURCES OF SUPPLIES AND SERVICES

Subpart 1808.6--Acquisition from Federal Prison Industries, Inc.


1808.605  [Amended]

    21. In paragraph (c) of section 1808.605, ``(Code HP)'' is revised 
to read ``(Code HS)''.

PART 1809--CONTRACTOR QUALIFICATIONS

Subpart 1809.1--Responsible Prospective Contractors


1809.104-70  [Removed]

    22. Section 1809.104-70 is removed.

Subpart 1809.4--Debarment, Suspension, and Ineligibility


1809.404  [Amended]

    23. In paragraphs (a) and (c) of section 1809.404, ``Code HP'' is 
revised to read ``Code HS'' in each occurrence.


1809.405  [Amended]

    24. In section 1809.405, ``(Code HP)'' is revised to read ``(Code 
HS)''.


1809.405-1  [Amended]

    25. In paragraph (b) of section 1809.405-1, ``(Code HP)'' is 
revised to read ``(Code HS)''.


1809.405-2  [Amended]

    26. In section 1809.405-2, ``(Code HP)'' is revised to read ``(Code 
HS)''.


1809.406-3  [Amended]

    27. In section 1809.406-3, ``(Code HP)'' is revised to read ``(Code 
HS)''.


1809.407-3  [Amended]

    28. In section 1809.407-3, ``(Code HP)'' is revised to read ``(Code 
HS)''.


1809.408  [Amended]

    29. In paragraph (d) of section 1809.408, ``(Attn: Code HP)'' is 
revised to read ``(Attn: Code HS)''.
    30. In paragraph (e) of section 1809.408, ``(Code HP)'' is revised 
to read ``(Code HS)''.


1809.470-1  [Amended]

    31. In the introductory text of section 1809.470-1, ``(Code HP)'' 
is revised to read ``(Code HS)''.


1809.470-3  [Amended]

    32. In section 1809.470-3, ``(Code HP)'' is revised to read ``(Code 
HS)''.
    33. Part 1810 is revised to read as follows:

PART 1810--SPECIFICATIONS, STANDARDS, AND OTHER PURCHASE 
DESCRIPTIONS

Sec.
1810.001  Definitions.
1810.002  Policy.
1810.002-70  NASA policy.
1810.002-71  Performance-based contracting.
1810.004  Selecting specifications or descriptions for use.
1810.004-70  Additional requirements.
1810.004-71  Brand-name-or-equal purchase description.
1810.007  Deviations.
1810.008  Identification and availability of specifications.
1810.008-70  Brand-name-or-equal awards.
1810.011  Solicitation provisions and contract clauses.

1810.011-70  NASA solicitation provisions and contract clauses.

    Authority: 42 U.S.C. 2473(c)(1).


1810.001  Definitions.

    Brand-name product means a commercial product described by brand 
name and make or model number or other nomenclature by which it is 
offered for sale to the public by the manufacturer, producer, or 
distributor.


1810.002  Policy.

    Implementation of the Metric Conversion Act of 1975, as amended, 
and FAR 10.002(c), shall be in accordance with the policy section of 
NMI 8010.2, Use of the Metric System of Measurements in NASA Programs.


1810.002-70  NASA policy.

    Whenever a specification is deemed inadequate, the contracting 
officer shall initiate action to recommend that the activity 
responsible for the specification amend or revise it to obviate the 
necessity for repeated departures from the specification.


1810.002-71  Performance-based contracting.

    Use of performance-based specifications, where feasible, is the 
preferred method for establishing contract requirements. Requiring 
activities shall, to the maximum extent practicable, use performance-
based specifications, purchase descriptions and statements of work to 
give contractors freedom to innovate and economize, and to hold 
contractors accountable for the end results.


1810.004  Selecting specifications or descriptions for use.

    (a) As required by FAR 10.004(e), contracts will include 
appropriate preservation, packaging, packing, and marking requirements. 
The services of packaging technicians shall be used to--
    (1) Develop preservation, packaging, packing, and marking 
requirements; and
    (2) Assist in evaluating contractors' packaging, packing, and 
marking cost estimates or charges.
    (b) Unrealistic preservation, packaging, packing, and marking 
requirements should be reported and changes recommended to the activity 
originating the requirement and to the contracting officer.


1810.004-70  Additional requirements.

    Many specifications cover several grades or types and provide for 
options in methods of inspection. When such specifications are used, 
the solicitation shall state specifically the grade, type, or method of 
inspection on which offers are to be based.


1810.004-71  Brand-name-or-equal purchase description.

    (a) Purchase descriptions containing references to one or more 
brand-name products followed by ``or equal'' may be used only when 
authorized by FAR 10.004(b)(3) and in accordance with this part 1810 
(see 1810.008-70, 1810.011, and 1852.210-70).
    (b) ``Or equal'' should not be added if it is determined under 
paragraph (a) of this section that only a particular product meets the 
essential requirements of the Government (e.g., when the required 
supplies can be obtained only from one source (see FAR 6.302-1)).
    (c) To the extent feasible, all acceptable brand-name products 
should be referenced. If ``brand-name-or-equal'' is used, offerors must 
be given the opportunity to offer products other than those referenced 
by brand name if those products will meet the needs of the Government 
in essentially the same manner.
    (d) ``Brand-name-or-equal'' purchase descriptions should set forth 
the salient physical, functional, or other characteristics essential to 
the needs of the Government. Purchase descriptions should contain the 
following characteristics, in addition to those at FAR 10.004(b)(1), to 
the extent available, and include other information necessary to 
describe the item:
    (1) Complete common generic identification of the item.
    (2) Model, make, or catalog number for each brand-name product, and 
identity of the commercial catalog in which it appears.
    (3) Name of manufacturer, producer, or distributor of each brand-
name product referenced (and address if company is not well known).
    (e) When it is needed to describe the item required, a commercial 
catalog 

[[Page 40512]]
description, or pertinent extracts, may be used if the description is 
identified in the solicitation as being that of the manufacturer, 
producer, or distributor. The contracting officer shall ensure that a 
copy of any catalog referenced (except parts catalogs) is available on 
request for review by offerors at the contracting office.
    (f) Offerors offering brand-name products shall not be required to 
furnish samples; however, solicitations may require the submission of 
samples from offerors proposing ``or equal'' products.
    (g) Proposals offering products differing from brand-name products 
referenced in a ``brand-name-or-equal'' purchase description shall be 
considered for award if the contracting officer determines under the 
provision at 1852.210-70 that the offered products meet the salient 
characteristics required by the solicitation. Offers shall not be 
rejected because of minor differences in design, construction, or 
features that do not affect the suitability of the products for their 
intended use.
    (h) Except as provided in paragraph (i)(1) of this section, when a 
``brand-name-or-equal'' purchase description is included in a 
solicitation, the following shall be inserted after each item so 
described in the solicitation for completion by the offeror:

Offering:
----------------------------------------------------------------------
Manufacturer's Name
----------------------------------------------------------------------
Brand          No.

    (i)(1) Where components of an end item are described in the 
solicitation by a ``brand-name-or-equal'' purchase description and the 
contracting officer determines that applying the provision at 1852.210-
70 to them would be impracticable, the requirements of paragraph (h) of 
this section shall not apply. In such cases, if the provision is 
included in the solicitation for other reasons, a statement 
substantially as follows shall be included:

    The provision entitled Brand Name or Equal does not apply to the 
following components:
    (List the components to which the provision does not apply.)

    (2) If the contracting officer determines that the provision at 
1852.210-70 should apply only to certain components, the requirements 
of paragraph (h) of this section shall apply to them, and a statement 
substantially as follows shall be included:

    The provision entitled Brand Name or Equal applies to the 
following components:
    (List the components to which the provision applies.)

    (j) The policies and procedures prescribed in paragraphs (a) 
through (i) of this section apply to sealed-bid and negotiated 
procurements. If use of the provision is not practicable (as may be the 
case, for example, in exigency purchases), suppliers shall be informed 
that proposals offering products different from the products referenced 
by brand name will be considered if the contracting officer determines 
that they are equal in all significant and material respects to the 
products referenced.


1810.007  Deviations.

    If an exception or deviation from a Federal or military 
specification is required--
    (a) The contracting officer shall, before issuing the solicitation, 
submit a fully documented and justified request for the deviation to 
the procurement officer; and
    (b) The procurement officer shall comply with FAR 10.007(a).


1810.008  Identification and availability of specifications.

    Each solicitation shall include the applicable specifications, 
standards, plans, drawings, and other pertinent documents, or shall 
state where they can be obtained or examined.


1810.008-70  Brand-name-or-equal awards.

    Award documents shall identify or incorporate by reference an 
identification of the specific products the contractor is to furnish. 
This identification shall include any brand name and make or model 
number, descriptive material, and any modifications of brand-name 
products specified in the solicitation. Included in this requirement 
are those instances in which (a) the description of the end item 
contains ``brand-name-or-equal'' purchase descriptions of components or 
of accessories related to the end item and (b) the solicitation 
includes the provision at 1852.210-70 as applicable to such components 
or accessories (see 1810.004-70(i)).


1810.011  Solicitation provisions and contract clauses.


1810.011-70  NASA solicitation provisions and contract clauses.

    (a) When a ``brand-name-or-equal'' purchase description is used, 
the contracting officer shall insert in the solicitation the provision 
at 1852.210-70, Brand Name or Equal.
    (b) The contracting officer shall insert the provision at 1852.210-
71, Descriptive Literature for Used Material, in solicitations 
containing FAR provision 52.210-6, Listing of Used or Reconditioned 
Material, Residual Inventory, and Former Government Surplus Property. 
Insert the information needed to make a determination that the items to 
be furnished can reasonably be expected to conform to the requirements 
of the solicitation.
    (c) The contracting officer may insert a clause substantially as 
stated in 1852.210-72, Supplies and/or Services to be Furnished, in all 
solicitations and contracts to indicate the items to be delivered. 
Insert the item number, description of the supplies (see FAR 2.101 for 
definition) and/or services to be furnished, quantities to be 
furnished, unit and unit price (if applicable), and total dollar 
amount. The column headings may be modified for what is being acquired 
and the type of contract.
    (d) The contracting officer shall insert a clause substantially as 
stated at 1852.210-75, Packaging and Marking, in solicitations and 
contracts where the packaging and marking requirements of NASA Handbook 
(NHB) 6000.1 and/or MIL-STD-2073-1 and MIL-STD-2073-2 are appropriate. 
Insert the applicable information for the particular procurement. 
Substitute Alternate I for paragraphs (a), (b), (c), and (d) of the 
basic clause if commercial packing and marking practices are to be 
used. Add Alternate II if space flight item(s) are to be delivered.

PART 1812--CONTRACT DELIVERY OR PERFORMANCE

Subpart 1812.3--Priorities and Allocations


1812.302  [Amended]
    34. In section 1812.302(a), the phrase ``Headquarters Acquisition 
Liaison Division, Code HP'' is revised to read ``Headquarters Program 
Operations Division, Code HS''.


1812.303-70  [Amended]

    35. In paragraph (e) of section 1812.303-70, the phrase ``The 
Headquarters Acquisition Liaison Division (Code HP)'' is revised to 
read ``The Headquarters Program Operations Division (Code HS)'', and at 
the end of the paragraph, ``Code HP'' is revised to read ``Code HS''.

PART 1814--SEALED BIDDING

Subpart 1814.2--Solicitation of Bids


1814.201-2  [Removed]

    36. Section 1814.201-2 is removed.
    37. and 38. In section 1814.201-5, paragraph (a) is revised, 
paragraph (b) is removed, and paragraph (c) is redesignated as 
paragraph (b) to read as follows: 

[[Page 40513]]



1814.201-5  Part IV--Representations and instructions.

Section M--Evaluation factors for award.
    (a) The contracting officer shall state if award is to be made in 
the aggregate (all-or-none basis) or by specified groups of items.
    (b) * * *


1814.201-670  [Amended]

    39. In section 1814.201-670, paragraph (b), a period is added after 
``1814.201-5(a)'', and the phrase ``and (b) and FAR 52.214-10 and 
52.215-16.'' is removed.
    40. In section 1814.201-670, paragraph (c), the last sentence is 
removed.
    41. Paragraph (d) of section 1814.201-670 is revised to read as 
follows:


1814.201-670  NASA solicitation provisions.

* * * * *
    (d) If a pre-bid conference is planned, the contracting officer 
shall insert the provision at 1852.215-77, Preproposal/Prebid 
Conference. See 1815.407-70(f).

Subpart 1814.4--Opening of Bids and Award of Contract

    42. Section 1814.404-1 is revised to read as follows:


1814.404-1  Cancellation of invitations after opening.

    (a) The authority to make the determination at FAR 14.404-1(c) is 
delegated to the contracting officer, except as provided in paragraph 
(b)(2) of this section.
    (b) A determination under FAR 14.404-1(c)(6) or (7) that includes 
an authorization to complete the acquisition through negotiation (see 
FAR 14.404-1(e)(1)) shall be approved by the procurement officer, who 
shall obtain the advice of the Chief Counsel before making this 
determination.


1814.404-170  [Removed]

    43. Section 1814.404-170 is removed.
    44. Paragraph (a) of section 1814.406-3 is revised to read as 
follows:


1814.406-3  Other mistakes disclosed before award.

    (a) The Associate Administrator for Procurement is authorized to 
permit the correction of bids under FAR 14.406-3(a) and (b) and the 
award of a contract under FAR 14.406-3(d). Procurement officers are 
authorized to permit withdrawal of bids when the conditions in FAR 
14.406-3(c) are met.
* * * * *
    45. In paragraph (b) of section 1814.406-3 the comma after the word 
``and'' is removed and the phrase ``as an alternative,'' is removed.


1814.406-4  [Amended]

    46. In the introductory text of section 1814.406-4, the phrase 
``installation's Office of'' is removed and paragraph (c) of section 
1814.406-4 is removed.
    47. Paragraph (a) of section 1814.407-1 is revised to read as 
follows:


1814.407-1  General.

    (a) A notice of award as a specific document is used when the 
contracting officer needs to inform a responsible bidder that its offer 
was determined to be the most advantageous to the Government 
(considering only price and price-related factors) and that the formal 
award will be made upon satisfaction of specified pre-performance 
conditions.
* * * * *


1814.407-1  [Amended]

    48. In paragraph (b) of section 1814.407-1, in the first sentence, 
the phrase ``in sealed bidding'' is removed.
    49. In paragraph (c) of section 1814.407-1, in the first sentence, 
the phrase ``in sealed bidding'' is removed, and in the third sentence, 
the phrase `` for use in sealed bidding'' is removed.
    50. In paragraph (d) of section 1814.407-1, in the first sentence, 
the phrase ``in sealed bidding'' is removed.
    51. In paragraph (e) of section 1814.407-1, in the second sentence, 
the phrase ``a reasonable date certain,'' is removed.
    52. In section 1814.407-1, paragraph (f) is revised to read as 
follows:


1814.407-1  General.

* * * * *
    (f) The notice of award can be issued by any formal written means 
such as a letter, telegram or electronic means. The notice should be 
substantially the same as the following format.
    FORMAT * * *
* * * * *
    53. In section 1814.407-1, under NOTES at the end of FORMAT, in 
paragraph (g), the phrase ``a reasonable date certain,'' is removed.

PART 1815--CONTRACTING BY NEGOTIATION

Subpart 1815.1  [Removed]

    54. Subpart 1815.1 is removed.

Subpart 1815.4--Solicitation and Receipt of Proposals and 
Quotations

    55. Section 1815.405-1 is revised to read as follows:


1815.405-1  General.

    (a) Solicitations for information or planning purposes are 
particularly useful when a procurement can be properly negotiated only 
after potential offerors have had an opportunity to become familiar 
with a large quantity of data, or when it would be desirable to have 
industry participation in formulating and reviewing complex 
specifications or requirements.
    (b) Solicitations for information or planning purposes may not be 
used as a means for prequalifying offerors.
    (c) Requirements for automatic data processing equipment or support 
services to perform specified operations or achieve certain results may 
be suitable for advance review and comment by the private sector when 
diverse approaches to accomplishing mission objectives may be feasible. 
The material made available in advance may vary from a comprehensive 
draft of a proposed requirement to a partial draft; e.g., statement of 
work and/or specifications or reports.


1815.405-70  [Removed]

    56. Section 1815.405-70 is removed.


1815.405-71  [Amended]

    57. In section 1815.405-71, paragraph (b) introductory text, the 
first sentence is removed.
    58. In section 1815.406, paragraph (b) is revised to read as 
follows:
1815.406  Preparing requests for proposals (RFP's) and requests for 
quotations (RFQ's).

    (a) * * *
    (b) When advisable, particularly in the case of research and 
development, proposals shall be requested in two parts:
    (1) An unpriced technical proposal, and
    (2) A cost proposal cross-referenced to the technical proposal (see 
1815.406-70).
* * * * *
    59. In section 1815.406-5, paragraph (b)(1) is removed, the 
existing paragraphs (b)(2) through (b)(8) are redesignated as 
paragraphs (b)(1) through (b)(7), and paragraph (b)(8) is added to read 
as follows:


1815.406-5  Part IV--Representations and instructions.

* * * * *
    (b) * * *
    (8) See 1846.470.
    60. The introductory text of section 1815.412 is revised to read as 
follows:

[[Page 40514]]



1815.412  Late proposals and modifications.

    For broad agency announcements listed in 1835.016 and SBIR Phase I 
and Phase II solicitations--
* * * * *

Subpart 1815.5--Unsolicited Proposals


1815.502  [Amended]

    61. In section 1815.502, the phrase ``of unsolicited proposals'' is 
revised to read ``of unique and innovative unsolicited proposals''.


1815.503  [Amended]

    62. In section 1815.503, paragraph (a), the last sentence is 
removed.
    63. In section 1815.503, paragraph (b), in the first sentence the 
phrase ``to agencies in addition to NASA,'' is revised to read ``to 
other agencies or to JPL in addition to NASA,'' and in the last 
sentence, the phrase ``to another agency for action'' is revised to 
read ``to another agency or JPL for action''.
    64. In paragraph (c) of section 1815.503, the first sentence is 
removed.


1815.504-70  [Amended]

    65. In section 1815.504-70, ``(Code HP)'' is revised to read 
``(Code HK)'', the phrase ``The Headquarters Office of Small and 
Disadvantaged Business Utilization (Code K)'' is revised to read ``The 
Headquarters Office of Procurement (Code HK)'', and the last sentence 
is removed.


1815.506  [Amended]

    66. In section 1815.506, paragraph (a)(3) is removed.

Subpart 1815.6--Source selection

    67. Section 1815.611 is revised to read as follows:


1815.611  Best and final offers.

    For competitive procurements of $25 million or more, approval of 
the Associate Administrator for Procurement (Code HS) is required 
before reopening discussions and requesting additional best and final 
offers. For competitive procurements with values less than $25 million, 
approval of the Procurement Officer is required.


1815.613-71  [Amended]

    68. In section 1815.613-71, paragraph (a) designation and heading 
is removed and paragraph (b) is removed.

Subpart 1815.10--Preaward, Award, and Postaward Notifications, 
Protests, and Matters

    69. In section 1815.1003-2, paragraph (a) introductory text is 
revised to read as follows:


1815.1003-2  Policy.

    (a) NASA shall debrief an unsuccessful competitor in accordance 
with FAR 15.1003. Debriefings shall be consistent with--
* * * * *

PART 1822--APPLICATION OF LABOR LAWS TO GOVERNMENT ACQUISITIONS

Subpart 1822.4--Labor Standards for Contracts Involving 
Construction


1822.406-13  [Amended]

    70. In section 1822.406-13, ``(Attn: Code HP)'' is revised to read 
``(Attn: Code HK)'', and the phrase ``The Acquisition Liaison Division 
(Code HP)'' is revised to read ``The Contract Management Division (Code 
HK)''.

Subpart 1822.8--Equal Employment Opportunity


1822.804-2  [Amended]

    71. In section 1822.804-2, ``(Code HP)'' is revised to read ``(Code 
HK)''.


1822.807  [Amended]

    72. In section 1822.807, the phrase ``the Headquarters Acquisition 
Liaison Division (Code HP)'' is revised to read ``the Headquarters 
Contract Management Division (Code HK)''.

PART 1825--FOREIGN ACQUISITION

Subpart 1825.72--Limitation on Strategic Defense Initiative (SDI) 
Contracting


1825.7200  [Amended]

    73. In section 1825.7200, the phrase ``the Acquisition Liaison 
Division (HP)'' is revised to read ``the Program Operations Division 
(HS)''.

PART 1827--PATENTS, DATA, AND COPYRIGHTS

Subpart 1827.3--Patent Rights Under Government Contracts


1827.372  [Amended]

    74. In paragraph (a)(2) of section 1827.372, the phrase ``The 
objectives of NASA policy with'' is revised to read ``The objectives 
with'' and the phrase ``to provide their widest'' is revised to read 
``to provide widest''.
    75. In paragraph (a)(3) of section 1827.372, the phrase ``the 
objectives of NASA policy with'' is revised to read ``the objectives 
with'', and the phrase ``used in a manner to promote'' is revised to 
read ``used to promote''.
    76. In paragraph (b)(1) of section 1827.372, the phrase ``will be 
served by this action.'' is revised to read ``will be served.'' and the 
phrase ``request for such waiver'' is revised to read ``request for 
waiver''.
    77. In paragraph (i)(1) of section 1827.372, the phrase ``structure 
of which the contractor is a part, and includes'' is revised to read 
``structure, and includes''.
    78. In paragraph (i)(2) of section 1827.372, the citation ``14 CFR 
part 1245, subpart 2, Licensing of NASA Inventions'' is revised to read 
``37 CFR part 404, Licensing Government Owned Inventions'', and the 
citation ``14 CFR 1245.211'' is revised to read ``37 CFR 404.10''.


1827.373  [Amended]

    79. In paragraph (a)(1) to section 1827.373, the phrase 
``exceptions set forth in paragraph'' is revised to read ``exceptions 
in paragraph''
    80. In paragraph (b) introductory text of section 1827.373, the 
phrase ``in any NASA contract (and solicitation therefor) with'' is 
revised to read ``in all NASA solicitations and contracts with''.
    81. In paragraph (c) introductory text of section 1827.373, the 
phrase ``under the circumstances set forth in paragraphs (c)(1) through 
(3) of this section'' is revised to read ``under the following 
circumstances:''.
    82. In paragraph (c)(1) of section 1827.373, the phrase ``For the 
purpose of this paragraph (c)(1)'' is revised to read ``For this 
purpose''.
    83. In paragraph (c)(2) of section 1827.373, the phrase ``agency 
for which the contract is to be placed does'' is revised to read 
``agency does''.
    84. In paragraph (d) of section 1827.373, the phrase ``to advise 
prospective contractors'' is revised to read ``to advise offerors''.
    85. Paragraph (f) of section 1827.373 is removed and paragraph (g) 
is redesignated as paragraph (f) and amended by adding a period after 
the word ``organization'' and removing the phrase ``but the matter is 
uncertain at the time of solicitation (e.g, the procurement is not a 
set-aside and is not sole source to a large business).''


1827.374-1  [Amended]

    86. In paragraphs (a) and (b) of section 1827.374-1, the phrase 
``In any NASA contract'' is revised to read ``In any contract''.
    87. In paragraph (c) of section 1827.374-1, the phrase ``subpart 1, 
shall apply'' is revised to read ``subpart 1, apply'' and the phrase 
``under any NASA contract'' is revised to read ``under any contract''.
    88. In section 1827.374-1, paragraph (f) is revised to read as 
follows:

[[Page 40515]]



1827.374-1  General.

* * * * *
    (f) Revocation or modification of contractor's minimum rights. 
Revocation or modification of the contractor's license rights (see 
1827.372(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, and in accordance with FAR 
27.304-1(f) for subject inventions made and reported under any contract 
with a small business firm or a nonprofit organization. The 
contractor's right to appeal a determination to revoke or modify any 
such license shall be in accordance with 37 CFR part 404, Licensing of 
Government Owned Inventions.
* * * * *
    89. In paragraph (g) to section 1827.374-1, the phrase ``under any 
NASA contract'' is revised to read ``under any contract''.


1827.374-3  [Amended]

    90. In paragraph (a) of section 1827.374-3, the phrase ``If a NASA 
contract'' is revised to read ``If a contract''.


1827.375-1  [Amended]

    91. In paragraph (b)(1) of section 1827.375-1, the phrase ``for the 
NASA installation'' is revised to read ``for the installation'' and the 
phrase ``made by use of the clause'' is revised to read ``made in the 
clause''.
    92. In paragraph (b)(2)(ii) of section 1827.375-1, the word 
``NASA'' is removed.
    93. In paragraph (b)(4) of section 1827.375-1, the phrase ``at the 
request of the contractor or on their own initiative,'' is removed.


1827.375-2  [Amended]

    94. In paragraphs (a)(1) introductory text and (a)(2) of section 
1827.375-2, the word ``NASA'' is removed.


1827.375-3  [Amended]

    95. In paragraph (a) introductory text of section 1827.375-3, the 
phrase ``review, as necessary, the'' is revised to read ``review the'' 
and the word ``their'' is removed.
    96. In paragraph (e)(3) of section 1827.375-3, the phrase 
``obligations imposed upon the contractor by'' is removed.
    97. In paragraph (f) of section 1827.375-3, the word ``ordinarily'' 
is removed.

Subpart 1827.4--Rights in Data and Copyrights


1827.404  [Amended]

    98. In paragraph (e)(1) of section 1827.404, the phrase 
``accordance with NASA policy'' is revised to read ``accordance with 
policy''.
    99. In paragraph (e)(3) of section 1827.404, the word ``itself'' is 
removed.
    100. In paragraph (g) of section 1827.404, the phrase ``correct, or 
adding or correcting, any'' is revised to read ``correct any''.


1827.405  [Amended]

    101. In paragraph (a)(1) of section 1827.405, the phrase ``the NASA 
contracting officer or the NASA contract'' is revised to read ``the 
contracting officer or the contract''.
    102. In paragraph (a)(3) of section 1827.405, the word ``NASA'' is 
removed.


1827.406  [Amended]

    103. In paragraph (a) of section 1827.406, the phrase ``for most 
needs'' is removed.
    104. In paragraph (b)(1) introductory text of section 1827.406, the 
phrase ``that may be'' is removed, and the word ``NASA'' is removed.
    105. In paragraph (b)(1)(i) of section 1827.406, the word 
``overall'' is removed.
    106. In paragraph (b)(1)(ii) of section 1827.406, the phrase ``of 
the contract work'' is revised to read ``of the contract''.
    107. In paragraph (b)(1)(iii) of section 1827.406, the word 
``work'' is removed.
    108. In paragraph (b)(1)(v) of section 1827.406, the phrase ``of 
the contract'' is removed.
    109. In paragraph (b)(2) of section 1827.406, the word ``entire'' 
is removed, the phrase ``under the contract'' is removed, and the 
phrase ``ensure appropriate distribution of the required reports'' is 
revised to read ``ensure distribution of the reports''.


1827.409  [Amended]

    110. In paragraph (a) of section 1827.409, the last sentence is 
removed.
    111. In paragraph (b) of section 1827.409, the phrase ``in the 
notice'' is removed, and the word ``installation'' is removed.
    112. In paragraphs (e), (f), and (g) of section 1827.409, the word 
``as'' is removed.
    113. In paragraph (h) of section 1827.409, the phrase ``the clause 
at'' is removed.
    114. In paragraph (i) of section 1827.409, the word ``at'' is 
removed.

Subpart 1827.6--Foreign License and Technical Assistance Agreements


1827.670-1  [Amended]

    115. In section 1827.670-1, the phrase ``by the NASA contracting 
officer'' is revised to read ``by the contracting officer''.

PART 1829--TAXES

Subpart 1829.2--Federal Excise Taxes


1829.203  [Amended]

    116. In paragraph (a) of section 1829.203, the phrase ``the 
Acquisition Liaison Division (Code HP)'' is revised to read ``the 
Contract Management Division (Code HK)''.

PART 1831--CONTRACT COST PRINCIPLES AND PROCEDURES

Subpart 1831.1--[Removed]

    117. Subpart 1831.1 is removed.

PART 1833--PROTESTS, DISPUTES, AND APPEALS


1833.103  [Amended]

    118. In paragraph (c) of section 1833.103, the phrase ``the 
Acquisition Liaison Division (Code HP)'' is revised to read ``the 
Program Operations Division (Code HS)''.
    119. In section 1833.104 paragraph (a) is revised to read as 
follows:


1833.104  Protests to GAO.

    (a) General procedures. (1) NASA personnel shall take no action to 
respond to or resolve any protest filed with GAO other than in 
accordance with this part.
    (2) The notices required by FAR 33.104(a)(2) shall be made by the 
contracting officer.
    (3) Upon receiving any communication from a protester or the GAO 
regarding a protest, the cognizant procurement officer shall 
immediately contact Code HS for guidance. Conversely, upon Headquarters 
receipt of notice from GAO of the filing of a protest, Code HS shall 
immediately notify the cognizant procurement officer. This is usually 
done via telephone and constitutes the official notice to the 
installation that a protest has been filed.
    (4) Within 3 work days of being notified, the contracting officer 
shall forward to Headquarters (Code HS) a copy of the procurement file 
including all documents referred to in FAR 33.104(a)(3)(ii) (A) through 
(G) and any others requested by Code HS. The contracting officer's 
statement (FAR 33.104(a)(3)(ii)(H)) shall be forwarded 

[[Page 40516]]
no later than ten work days after the contracting officer has been 
notified. The contracting officer's statement shall receive the 
concurrence of the installation Chief Counsel. If more time is needed, 
requests for extension may be made by telephone to Headquarters, Code 
HS.
    (5) When the GAO elects to use its express option procedure, the 
contracting officer's statement shall be forwarded to Code HS within 
six work days after the contracting officer has been notified. If that 
is not possible, a report to Code HS shall be made by telephone.
    (6) In consultation with the Office of General Counsel, 
Headquarters (Code HS) shall provide the information required by FAR 
33.104(a) to the GAO.
* * * * *
    120. In paragraph (b)(1) of section 1833.104, ``(Code HP)'' is 
revised to read ``(Code HS)'' and ``Code HP'' is revised to read ``Code 
HS''.
    121. In paragraphs (c) (1) and (2) of section 1833.104, ``(Code 
HP)'' is revised to read ``(Code HS)'' and ``Code HP'' is revised to 
read ``Code HS''.
    122. In section 1833.104, the first sentence of paragraph (d) is 
revised to read as follows, and in the last sentence, ``(Code HP)'' is 
revised to read ``(Code HS)'':
    ``If the protester in its protest statement or later in the process 
requests documents, the contracting officer shall forward them to Code 
HS with the documents required by FAR 33.104(a)(3), within three work 
days of receipt of the request.''
    123. In paragraph (e) of section 1833.104, ``Code HP'' is revised 
to read ``Code HS''.

PART 1835--RESEARCH AND DEVELOPMENT CONTRACTING


1835.003  [Amended]

    124. In section 1835.003, paragraph (b) is removed and the existing 
paragraph (c) is redesignated as paragraph (b), and in the newly 
designated paragraph (b), the phrase ``for NASA policy'' is revised to 
read ``for policy''.


1835.003-70, 1835.003-71  [Removed]

    125. Sections 1835.003-70 and 1835.003-71 are removed.


1835.015  [Amended]

    126. In section 1835.015, paragraph (b), the phrase ``For NASA 
policy'' is revised to read ``For policy''.
    127. Section 1835.016-70 is revised to read as follows:


1835.016-70  NASA Research Announcements.

    (a) Scope. This subsection 1835.016-70 prescribes regulations and 
procedures for the use of a NASA Research Announcement (NRA), a form of 
broad agency announcement (see FAR 6.102(d)(2)). An NRA is used to 
announce research interests 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 to NASA. The NRA is intended to be used for those research 
procurements for which it would be impossible to draft an adequate RFP 
in sufficient detail without restraining the technical response and 
thus hindering the competition of ideas. An NRA shall not be used in 
place of an RFP when the procurement requirement is narrowly defined 
and it is necessary to use a detailed description or specification.
    (b) Issuance. (1) Each NRA shall be assigned a unique number in 
accordance with 1804.7102-1.
    (2) NRAs may remain open for proposal submission for a maximum of 
one year. They may not be amended or modified once issued, but may be 
reissued by assigning a new number and resynopsizing. (See also 
paragraph (g) of this section.) NRAs should remain open for at least 90 
days.
    (3) Before issuance, each field-generated NRA shall be concurred in 
by the procurement officer and approved by the installation's director 
or a designee, who shall serve as or designate a selecting official. 
Before issuance, each Headquarters-generated NRA shall be concurred in 
by General Counsel (Code GK) and the Director, Headquarters Acquisition 
Division (Code HW) and approved by the cognizant Program Associate 
Administrator or a designee, who shall serve as or designate a 
selecting official. If a Headquarters-generated NRA may result in 
awards by a NASA field installation, the concurrence of that 
installation's procurement officer may be sought in place of or in 
addition to Code HW's concurrence.
    (4) The contracting officer shall assure that the NRA is synopsized 
in the Commerce Business Daily (CBD). The synopsis required by FAR 
35.016(c) satisfies the synopsis requirement at FAR 5.201; the synopsis 
contemplated by FAR 5.205 is not required. The synopsis shall be brief 
and provide the address for obtaining a copy of the NRA. The technical 
part of the synopsis is to describe an area of interest and should not 
exceed 50 words.
    (5) The NRA shall be prepared, printed, and distributed by or under 
the direction of the selecting official. Distribution shall not begin 
until the concurrence of the procurement officer has been obtained and 
the contracting officer has confirmed that the synopsis requirements 
have been met. The NRA shall be distributed to each office responsible 
for receipt of unsolicited proposals and to the Office of Procurement 
(Code HS).
    (c) Content. The NRA shall consist of the following items in the 
order shown. This 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 (centered, in uppercase).
    (iii) ``NASA Research Announcement Soliciting Research Proposals 
for the Period Ending ________ '' (centered, on three lines, two inches 
below the title; insert closing date).
    (iv) NRA number (centered, two inches below closing date).
    (v) Official address for office issuing NRA (centered, at bottom of 
cover).
    (2) Summary and Supplemental Information.
    (i) The Summary and Supplemental Information shall not exceed two 
pages and shall include:
    (A) Title (centered, in uppercase).
    (B) Introductory paragraphs describing the purpose of the NRA and 
the period for receipt of proposals. When proposals received during 
this period may be grouped for evaluation at separate times, the 
introductory paragraphs shall indicate when evaluations are planned and 
shall include the following remark:

    A proposal that is scientifically and programmatically 
meritorious, but that cannot be accepted during its initial review 
under an NRA because of funding uncertainties, may be included in 
subsequent reviews unless the offeror requests otherwise.

    (C) NRA number.
    (D) Address for submitting proposals, including ``ATTN: NRA 
______.'' (Insert NRA number.)
    (E) Copies required.
    (F) Selecting official's title.
    (G) Name, address, and telephone number for additional technical 
information.
    (H) Name and telephone number of contracting office point of 
contact for administrative and contractual information.
    (I) Additional instructions supplementing the Instructions for 
Responding to NASA Research 

[[Page 40517]]
Announcements for Solicited Research Proposals (see subpart 1870.2). 
Such information shall be kept to the minimum necessary and shall cite 
specific ``Instructions'' paragraphs supplemented.
    (J) When awards will be chargeable to funds of the new fiscal year 
and the NRA is to be issued before funds are available, the NRA shall 
contain a statement as follows:

    Funds are not presently available for awards under this NRA. The 
Government's obligation to make awards 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.
    (iii) The Summary and Supplemental Information may indicate that 
proposals submitted under an earlier NRA and held for subsequent 
reviews will be considered and need not be resubmitted. The earlier NRA 
shall be identified by number in the following statement:

    Proposals for which no selection decision was made under NRA 
______ and held for subsequent reviews will be considered under this 
NRA and need not be resubmitted. (Insert NRA number).

    (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 in accordance with 1870.203.
    (d) Unsolicited proposals. (1) Unsolicited proposals for new 
efforts that are within the scope of an open NRA shall be evaluated in 
accordance with 1815.506(b).
    (2) Unsolicited proposals for renewal of ongoing efforts that are 
within the scope of an open NRA shall be evaluated in accordance with 
1815.505-70.
    (3) A broad agency announcement is not an ``acquisition 
requirement'' as the term is used in FAR 15.507(a)(2).
    (e) Receipt of proposals, evaluation, and selection. (1) Proposals 
shall be protected as provided in 1815.508-70 and 1815.509-70.
    (2) Evaluation, selection, and award may occur during or after the 
period established for receipt of proposals. Late proposals and 
modifications shall be treated in accordance with 1815.412 (a) and (b).
    (3) When more than one time is established in the NRA for 
evaluating proposals, proposals received prior to the time established 
will be considered as part of the initial group to be evaluated. 
Subsequent groups of proposals to be evaluated shall be formed from 
those proposals received after the time established for the earlier 
evaluation groups and prior to the time established for a subsequent 
group, along with those proposals, if any, held over under paragraph 
(e)(8) of this section.
    (4) The selection decision shall be made following peer or 
scientific review of a proposal. Peer or scientific review shall 
involve (i) evaluation, outside NASA, by a discipline specialist in the 
area of the proposal, (ii) evaluation by an in-house specialist, or 
(iii) both. Evaluation by specialists outside NASA shall be conducted 
subject to the conditions in FAR 15.413-2(f) and NFS 1815.413 and 
1815.413-2. In particular, the selecting official shall ensure 
compliance with FAR 15.413-2(f)(5) regarding the designation of outside 
evaluators and avoidance of conflicts of interest. After receipt of a 
proposal and before selection, scientific or engineering personnel 
shall communicate with an offeror, regarding the proposal, only for the 
purpose of clarification, as defined in FAR 15.601, or in order to 
understand the meaning of some aspect of the proposal that is not 
clear, or in order to obtain confirmation or substantiation of a 
proposed approach, solution, or cost estimate.
    (5) Competitive range determinations shall not be made, and best 
and final offers shall not be requested.
    (6) 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, they may be described to the contracting 
officer under paragraph (e)(10)(ii) of this section, or the selecting 
official may request revisions from the offeror. The changes shall not 
transfer information from one offeror's proposal to another offeror 
(see FAR 15.610(d)(2)). When collaboration between offerors would 
improve proposed research programs, collaboration may be suggested to 
the offerors.
    (7) 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.
    (8) A proposal that is scientifically and programmatically 
meritorious, but that is not selected during its initial review under 
an NRA, may be included in subsequent reviews unless the offeror 
requests otherwise. If the proposal is not to be held over for 
subsequent reviews, the offeror shall be notified that the proposal was 
not selected for award.
    (9) 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 1815.1003, with the participation of a contracting 
officer.
    (10) The selecting official shall forward to the contracting 
officer--
    (i) The results of the technical evaluation, including the total 
number of proposals received under the NRA by the time of selection, 
the selection statement, and the proposal(s) selected for funding;
    (ii) 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;
    (iii) 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;
    (iv) A procurement request;
    (v) 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
    (vi) A copy of the selected proposal as originally submitted, any 
revisions, and any correspondence from the successful offeror. 

[[Page 40518]]

    (11) The selecting official may provide to the contracting officer 
copies of the reviewers' evaluations. Reviewers' names and institutions 
may be omitted.
    (12) The selecting official may notify each offeror whose proposal 
was selected for negotiation.
    (i) The notification shall state that--
    (A) The proposal has been selected for negotiation;
    (B) The offeror's business office will be contacted by a 
contracting officer, who is the only official authorized to obligate 
the Government; and
    (C) Any costs incurred by the offeror in anticipation of an award 
are at the offeror's risk.
    (ii) The notification may identify which award instrument has been 
recommended.
    (f) Award. If a contract is selected as the award instrument (see 
FAR 35.003(a) and 1835.003(a)), 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, level of 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;
    (4) Conduct negotiations in accordance with FAR subparts 15.8 and 
15.9, as applicable;
    (5) Award a contract by transmitting written notice of the award; 
and
    (6) Comply with FAR subparts 4.6 and 5.3 on contract reporting and 
synopses of contract awards.
    (g) 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.


1835.070  [Amended]

    128. In paragraph (b) to section 1835.070, the word ``either'' is 
removed.


1835.071  [Removed]

    129. Section 1835.071 is removed.

PART 1837--SERVICE CONTRACTING


1837.000  [Removed]

    130. Section 1837.000 is removed.

PART 1839--ACQUISITION OF FEDERAL INFORMATION PROCESSING RESOURCES

    131. In section 1839.7001, in paragraph (a), ``2410.1E'' is revised 
to read ``2410.1'', and paragraph (b) is revised to read as follows:


1839.7001  Policy.

    (a) * * *
    (b) The Designated Senior Official (DSO), the Chief Information 
Officer (Code A), has responsibility and accountability for 
interpreting, applying, and overseeing the implementation of the 
Federal Information Resources Management Regulations (FIRMR) (41 CFR 
chapter 201) within NASA.
    132. In section 1839.7003-1, paragraphs (a)(2) and (c) are revised 
to read as follows:


1839.7003-1  Responsibility.

* * * * *
    (a) * * *
    (2) Timely submission of APRs to Headquarters Code JTD in 
accordance with 1839.7003-5.
* * * * *
    (c) The Senior Installation IRM Official (SIIO) is responsible for 
formally concurring on all APRs.
    133. In section 1839.7003-2, paragraph (b) introductory text is 
revised to read as follows:


1839.7003-2  FIRMR applicability and procurement authority 
certification.

* * * * *
    (a) * * *
    (b) Determine if the agency has authority to acquire the FIP 
resources by virtue of a specific agency or regulatory delegation, or 
if a specific acquisition delegation must be obtained. This requires 
comparing the total estimated dollar value of all the FIP resources to 
be acquired to the criteria and thresholds specified in FIRMR 41 CFR 
201-20.305. NASA may contract for FIP resources without obtaining a 
specific acquisition delegation when the total dollar value of FIP 
resources, including all optional quantities and periods over the life 
of the contract, does not exceed the authority delegated from GSA; 
except that the dollar value for a specific make and model 
specification or for requirements available from only one responsible 
source may not exceed the authority delegated from GSA.
* * * * *
    134. In section 1839.7003-2, paragraphs (b)(1) through (b)(4) are 
removed and paragraphs (b)(5) through (b)(7) are redesignated as 
paragraphs (b)(1) through (b)(3).
    135. In the certification format of the newly designated paragraph 
(b)(1) to section 1839.7003-2, ``NHB 2410.1E'' is revised to read ``NHB 
2410.1''. 136. In section 1839.7003-3, paragraph (e) is revised to read 
as follows:


1839.7003-3  GSA nonmandatory MAS contracts.

* * * * *
    (e) Use the competitive threshold authority delegated from GSA for 
obtaining a DPA when use of a GSA nonmandatory MAS contract is a 
competitive procedure relative to FAR part 6. Use the noncompetitive 
threshold authority delegated from GSA when use of a GSA nonmandatory 
MAS contract is a noncompetitive procedure relative to FAR part 6.
* * * * *
    137. In section 1839.7003-4, paragraph (a) introductory text is 
revised to read as follows:


1839.7003-4  APR format.

    (a) (FIRMR) 41 CFR 201-20.305-3 requires NASA to prepare APRs as 
indicated by instructions in the FIRMR Bulletin series. APRs under the 
Trail Boss Program will be submitted in the format provided in FIRMR 
Bulletin C-7, entitled ``Trail Boss Program,'' as modified by Enclosure 
C-5B of NHB 2410.1. APRs for all other FIP resources, will be submitted 
in the format provided in FIRMR Bulletin C-5, entitled ``Instructions 
for Preparing an Agency Procurement Request (APR),'' as modified by 
Enclosure C-4B of NHB 2410.1.
* * * * *
    138. In section 1839.7003-4, paragraphs (a)(1) through (a)(5) are 
removed, paragraph (b) is redesignated as paragraph (c), and paragraph 
(a)(6) is redesignated as paragraph (b).
    139. Section 1839.7003-5 is revised to read as follows:


1839.7003-5  APR submission.

    (a) The contracting officer shall forward the original of the APR 
submittal (the APR and all required documentation) to Headquarters Code 
JTD, with a transmittal letter (see NHB 2410.1, Enclosures C-4A and C-
5A) signed by the procurement officer. Include a 5\1/4\ '' or 3\1/2\ '' 
diskette, formatted for use on a DOS 3.3, or higher compatible, 
personal computer, that contains a WordPerfect 5.0 or 5.1 or ASCII 
format of the APR. 

[[Page 40519]]

    (b) APR's should be submitted as soon as, but not before, the FRDD 
and other documentation (waivers, JOFOCs, procurement plans, or ASM 
minutes, as appropriate) have been completed and approved in final form 
within the Agency.
    140. In section 1839.7003-6, paragraphs (b) and (c) are revised to 
read as follows:


1839.7003-6  DPA amendments.

    (a) * * *
    (b) Amendments to a previously submitted or approved specific 
acquisition DPA should follow the same procedures and employ the same 
format as that required by the current FIRMR and (NFS) 48 CFR part 
1839. For such an APR, see NHB 2410.1, Enclosure C-3, paragraph 2. The 
existing documentation supporting the acquisition should be reviewed 
and certified by the procurement officer as to its timeliness. If this 
documentation is either not current or affected by the amendment, the 
documentation shall be revised. If an original document was submitted 
or requested by Headquarters or GSA, its revision shall be resubmitted 
with the APR.
    (c) The following are reasons for submitting an APR to seek an 
amended DPA:
    (1) A substantive revision in the technical requirements.
    (2) A change in acquisition strategy.
    (3) Slippages in the planned contract award date that exceed 12 
months. (Slippages less than 12 months should be identified to GSA 
during routine status reporting.)
    (4) A change in contract life.
    (5) A change in the position title or organizational identity of 
the official authorized to conduct the acquisition.
    (6) An increase in anticipated contract costs.
* * * * *


1839.7004  [Amended]

    141. In section 1839.7004, ``NHB 2410.1E'' is revised to read ``NHB 
2410.1''.
    142. In section 1839.7006, the last sentence in paragraph (a) is 
revised to read as follows:


1839.7006  DPA transmittal.

    (a) * * * Delegation of regulatory and specific agency procurement 
authority will be handled as directed by the Chief Information Officer.
    143. In paragraph (b) to section 1839.7006, ``Code J'' is revised 
to read ``Code A''.
    144. In section 1839.7006, paragraph (d) is removed, paragraphs (e) 
through (g) are redesignated as paragraph (d) through (f), and the 
newly designated paragraphs (d) and (e) are revised to read as follows:


1839.7006  DPA transmittal.

* * * * *
    (d) Pre-award and post-award reports include 6-Month Status Reports 
and Contract Award Reports.
    (1) GSA requires a 6-Month Status Report on all specific 
acquisition DPA's for which a contract or modification has not been 
awarded. The contracting officer shall submit status reports to Code JT 
not later than May 15 and November 15 of each year. The contents of 
these reports are specified in the DPA.
    (2) GSA requires a Contract Award Report within 30 days after award 
of a contract or modification issued pursuant to a specific acquisition 
DPA. The contracting officer shall submit Contract Award Reports to 
Code JT not later than 25 days after the award of a contract or 
modification.
    (e) Code JTD requires an Annual Status Report on all extant 
contracts with specific acquisition DPA's. The contracting officer 
shall submit an Annual Status Report to Code JT not later than November 
15 of each year. The reports are in lieu of (and not in addition to) 
GSA's annual reporting requirement.
* * * * *

PART 1842--CONTRACT ADMINISTRATION


1842.101  [Amended]

    145. In section 1842.101, ``Acquisition Liaison Division (Code 
HP)'' is revised to read ``Analysis Division (Code HC)''.

PART 1846--QUALITY ASSURANCE

    146. In section 1846.470-1, the last sentence is revised to read as 
follows:


1846.470-1  Solicitation provision.

    * * * Fee associated with a Q/PI plan shall not be considered an 
amount over the total fee negotiated for the contract and shall not, 
when combined with fee considerations, exceed the limitations 
prescribed in FAR 15.903(d)(1).


1846.470-2  [Amended]
    147. In paragraph (b) to section 1846.470-2, the phrase ``and in 
contracts resulting therefrom.'' is revised to read ``and in resulting 
contracts.''
    148. In section 1846.670-1, paragraphs (a), (b)(1), and (c) are 
revised to read as follows:


1846.670-1  General.

    (a) This subpart contains procedures and instructions for use of 
the Material Inspection and Receiving Report (MIRR) (DD Form 250 
series) and suppliers' commercial shipping/packing lists used to 
evidence Government procurement quality assurance (PQA).
    (b) * * *
    (1) Shipments by subcontractors not made to the Government;
* * * * *
    (c) To preclude delays in shipments or payments and avoid multiple 
corrections, contractors are encouraged to consult the Government 
representative regarding implementation of this subpart.
    149. In section 1846.670-2, paragraph (a)(4) is removed, and 
paragraph (a)(3) is revised to read as follows:


1846.670-2  Applicability.

    (a) * * *
    (1) * * *
    (2) * * *
    (3) Contracts for which the end item is a technical or scientific 
report.
* * * * *
    150. In section 1846.670-4, paragraph (c) is revised to read as 
follows:


1846.670-4  Application.

    (a) ***
    (b) ***
    (c) The DD Form 250 may be used for imprest fund purchases, 
purchase orders, delivery orders placed against Federal Supply Schedule 
contracts, delivery orders placed against indefinite-delivery 
contracts, or delivery orders placed against blanket purchase 
agreements, or when the purchasing, requisitioning, or ordering 
document provides for inspection and/or acceptance.
    151. Section 1846.670-5 is revised to read as follows:


1846.670-5  Forms.

    (a) Contractors may obtain from the contracting office at no cost 
MIRR forms required on Government contracts.
    (b) Contractors may print forms, provided
    (1) Their format and dimensions are identical to the MIRR forms 
printed by the Government and
    (2) The forms provide for 78 characters per printed image 
horizontally and 62 lines vertically border-to-border for the DD Form 
250 and 61 lines vertically border-to-border for the DD Form 250c.
    152. In section 1846.671, paragraph (a) is revised to read as 
follows: 

[[Page 40520]]



1846.671  Procurement quality assurance on shipments between 
contractors.

    (a) The supplier's commercial shipping document/packing list shall 
indicate performance of required PQA actions at subcontract level. The 
following entries shall be made on the document/packing list:

    Required PQA of items has been performed.
    Date: (Signature of Authorized Government Representative) (Typed 
Name and Office)

* * * * *
    153. In paragraph (a)(1) to section 1846.672-1, the date 
``67AUG07'' is removed, and paragraph (a)(4) is revised to read as 
follows:


1846.672-1  Preparation instructions.

* * * * *
    (a) * * *
    (4) Overflow data of the DD Form 250 shall be entered in Block 16 
or in the body of the DD Form 250c with block cross reference. 
Additional DD Form 250c sheets solely for continuation of Block 23 data 
shall not be numbered or distributed as part of the MIRR.
* * * * *
    154. In section 1846.672-1, paragraphs (b), (c), (d)(1) and 
(d)(1)(ii) are revised to read as follows:
    (b) Classified information. Classified information shall not appear 
on the MIRR, nor shall the MIRR be classified.
    (c) Block 1--PROC. INSTRUMENT IDEN. (CONTRACT).
    (1) Enter the contract number as contained in the contractual 
document, including any call/order number.
    (2) Enter the name of the contracting office immediately below the 
contract number. This requirement may be satisfied by including the 
prefix in the contract number to identify the contracting office.
    (d) Block 2--SHIPMENT NO.
    (1) The shipment number is a three-alpha-character prefix and a 
four-character numeric or alpha-numeric serial number.
    (i) * * *
    (ii) The first shipment under a prime contract from each ``shipped 
from'' address shall be numbered 0001; subsequent shipments under that 
prime contract shall be consecutively numbered.
* * * * *


1846.672-1  [Amended]

    155. In section 1846.672-1, paragraphs (g)(1) and (h)(1) are 
revised to read as follows:
    (g) Block 5--DISCOUNT TERMS.       * * *
    (1) The contractor may enter the discount terms on all copies of 
the MIRR.
    (2) * * *
    (h) Block 6--INVOICE. * * *
    (1) The contractor may enter the invoice number and date on all 
copies of the MIRR.
* * * * *
    156. In paragraph (r)(1)(i) to section 1846.672-1, the phrase ``or 
`Vacuum Tube' '' is removed.
    157. In paragraph (r)(2) introductory text to section 1846.672-1, 
the phrase ``enter such data only once,'' is revised to read ``enter 
data only once,''.
    158. In paragraph (r)(2)(ii) to section 1846.672-1, the phrase 
``shipment may be made without it at the direction of the contracting 
officer.'' is revised to read ``shipment may be made at the direction 
of the contracting officer.''
    159. In paragraph (w) introductory text to section 1846.672-1, the 
last sentence is revised to read as follows:
    (w) Block 21--PROCUREMENT QUALITY ASSURANCE. * * * Notes taking 
exception shall be entered in Block 16 or on attached supporting 
documents with block cross reference.
* * * * *
    160. The introductory text to section 1846.672-3 is revised to read 
as follows:


1846.672-3  Correction instructions.

    When, because of errors or omissions, it is necessary to correct 
the MIRR after distribution, it shall be revised by correcting the 
original master and distributing the corrected form. The corrections 
shall be made as follows:
* * * * *
    161. Section 1846.672-5 is revised to read as follows:


1846.672-5  Packing-list instructions.

    Copies of the MIRR may be used as a packing list. The packing list 
copies shall be in addition to the copies of the MIRR required for 
distribution (see 1846.673) and shall be marked ``PACKING LIST''.
    162. Paragraphs (b) and (c) to section 1846.703-70 are revised to 
read as follows:


1846.703-70  Additional criteria.

* * * * *
    (a) * * *
    (b) The warranty as a deterrent against the furnishing of defective 
or nonconforming supplies.
    (c) Whether the contractor's quality program is reliable enough to 
provide adequate protection without a warranty, or, if not, whether a 
warranty would cause the contractor to institute an effective quality 
program.
* * * * *

PART 1849--TERMINATION OF CONTRACTS

    163. In section 1849.102-70, paragraph (a) is revised to read as 
follows:


1849.102-70  Prior clearance of significant contract terminations.

    (a) Any information on contract termination involving a reduction 
in employment of 100 or more contractor employees must have prior NASA 
Headquarters clearance before it is released. Release of information to 
Congress or the public is the responsibility of the NASA Headquarters 
Office of Legislative Affairs (Code LB). A reduction of fewer than 100 
may be significant and, if so, should be similarly cleared.
    164. In paragraph (b) introductory text to section 1849.102-70, the 
phrase ``the Office of Legislative Affairs, NASA Headquarters (Code 
LB)'' is revised to read ``Code LB''.
    165. In paragraph (c) to section 1849.102-70, the phrase ``the 
Office of Legislative Affairs, NASA Headquarters, (Code LB)'' is 
revised to read ``Code LB''.
    166. In paragraph (d) to section 1849.102-70, the phrase ``The 
Office of Legislative Affairs, NASA Headquarters, (Code LB)'' is 
revised to read ``Code LB''.


1849.111-71  [Amended]

    167. In section 1849.111-71, paragraph (a)(1), the dollar amount 
``$100,000'' is revised to read ``$1,000,000'' and in paragraph 
(a)(2)(i), the dollar amount ``$50,000'' is revised to read 
``$100,000''.


1849.111-72  [Amended]

    168. In section 1849.111-72, the word ``judge'' is revised to read 
``review''.


1849.111-74  [Amended]

    169. In section 1849.111-74, the phrase ``of an upper-tier'' is 
revised to read ``of a lower tier'', and in the last sentence, the 
phrase ``may be used only for specified contracts and'' is removed and 
the word ``immediate'' is revised to read ``first tier''.
    170. In section 1849.603-70, paragraph (d) introductory text and 
paragraphs (d)(1) and (d)(2) are revised to read as follows:


1849.603-70  Termination contracting officer's settlement memorandum.

* * * * *
    (d) Settlement summary. The TCO shall address the settlements 
reached on the following items:
    (1) Contractor's cost. See FAR 15.808(a) for format. 

[[Page 40521]]

    (2) Profit/Fee. See FAR 15.808(a)(10).
* * * * *

PART 1852--SOLICITATION PROVISIONS AND CONTRACT CLAUSES


1852.227-70  [Amended]

    171. In section 1852.227-70, the date of the clause ``APR 1988'' is 
revised to read ``(JULY 1995)''.
    172. In paragraph (d)(2) of the clause at section 1852.227-70, the 
citation ``14 CFR part 1245, subpart 2, Licensing of NASA Inventions'' 
is revised to read ``37 CFR part 404, Licensing of Government Owned 
Inventions.''
    173. In paragraph (d)(3) of the clause at section 1852.227-70, 
remove the comma after the word ``appeal'' and the phrase ``in 
accordance with 14 CFR 1245.211,'' is revised to read ``to the 
Administrator''.
    174. In the clause heading to section 1852.246-72, the date ``(OCT 
1988)'' is revised to read ``(JUNE 1995)'' and paragraph (a) to the 
clause is revised to read as follows:


1852.246-72  Material inspection and receiving report.

* * * * *
    (a) At the time of each delivery to the Government under this 
contract, the Contractor shall furnish a Material Inspection and 
Receiving Report (DD Form 250 series) prepared in ____ [Insert number 
of copies, including original] copies, an original and ____ copies 
[Insert number of copies].
* * * * *

PART 1853--FORMS

    175. In section 1853.101 the first sentence is revised to read as 
follows:


1853.101  Requirements for use of forms.

    The requirements for use of the forms in this part are contained in 
parts 1801 through 1851 of this chapter, where the subject matter 
applicable to each form is addressed. * * *
    176. In section 1853.103 the first sentence is revised to read as 
follows and ``Acquisition Liaison Division, Code HP'' is revised to 
read ``Contract Management Division, Code HK''.


1853.103  Exceptions.

    Alteration of any form prescribed by the regulations in this 
chapter is prohibited unless prior approval has been obtained from the 
NASA Forms Officer (Code JTD) (through the Installation Forms Manager), 
who will coordinate the request with the Office of Procurement, Code H. 
* * *
    177. In section 1853.104, the first sentence is revised to read as 
follows:


1853.104  Overprinting.

    Forms may be overprinted with names, addresses, and other uniform 
entries that are consistent with the purpose of the form and that do 
not alter the form in any other way. * * *
    178. Section 1853.105 is revised to read as follows:


1853.105  Computer generation.

    Forms prescribed by the regulations in this chapter may be adapted 
for computer preparation providing there is no change to the name, 
content, or sequence of the data elements, and the form carries the 
form number and edition date.


1853.108  [Amended]

    179. In section 1853.108, ``the Acquisition Liaison Division, Code 
HP'' is revised to read ``the Contract Management Division, Code HK''.
    180. Section 1853.204-70 is revised to read as follows:


1853.204-70  General (NASA Forms 507, 507A, 507B, 507G, 507M, 531, 
533M, 533P, 533Q, 667, 1098, 1356, 1611, 1612; DD Form 1593; FBI Form 
FD-258; and SF 85P).
    (a) The following forms shall be used as prescribed at 1804.671-4:
    (1) NASA Form 507, Individual Procurement Action Report (New 
Awards).
    (2) NASA Form 507A, Individual Procurement Action Report (New 
Awards) Supplement A.
    (3) NASA Form 507B, Individual Procurement Action Report Supplement 
B.
    (4) NASA Form 507G, Individual Procurement Action Report (Grants/
Orders).
    (5) NASA Form 507M, Individual Procurement Action Report 
(Modifications).
    (b) NASA Form 531, Name Check Request. NASA Form 531, prescribed in 
1804.470 and 1852.204-76, shall be used for National Agency Check (NAC) 
investigations.
    (c) The following forms shall be used as prescribed at 1804.675:
    (1) NASA Form 533M, Monthly Contractor Financial Management Report.
    (2) NASA Form 533P, Monthly Contractor Financial Management 
Performance Analysis Report.
    (3) NASA Form 533Q, Quarterly Contractor Financial Management 
Report.
    (d) NASA Form 667, Report on NASA Subcontracts. NASA Form 667, 
prescribed at 1804.672, shall be used by contractors to submit 
information to NASA on each subcontract or subcontract modification 
over $25,000.
    (e) NASA Form 1098, Checklist for Contract Award File Content. NASA 
Form 1098, prescribed at 1804.803-71, shall be used as a guide in 
compiling contract files and shall accompany contracts and supplemental 
agreements submitted to Headquarters for approval. In Item 19 (Jul 90 
edition), line out the entry ``D&F: Other Than Full and Open 
Competition in the Public Interest (FAR/NFS 6.302-7),'' and write in 
``JOFOC (FAR/NFS 6.3).''
    (f) NASA Form 1356, C.A.S.E. Report on College and University 
Projects. NASA Form 1356, prescribed at 1804.7202, shall be used to 
report information applicable to colleges and universities.
    (g) NASA Form 1611, Contract Completion Statement. As prescribed at 
1804.804-2 and 1804.804-5, NASA Form 1611 shall be used for closeout of 
all contracts above the small purchase threshold.
    (h) The following forms shall be used as prescribed at 1804.804-5:
    (1) NASA Form 1612, Contract Closeout Checklist.
    (2) DOD Form 1593, Contract Administration Completion Record.
    181. Section 1853.216-70 is revised to read as follows:


1853.216-70  Assignees under cost-reimbursement contracts (NASA Forms 
778, 779, 780, 781).

    The following forms shall be used as prescribed at 1816.370:
    (a) NASA Form 778, Contractor's Release.
    (b) NASA Form 779, Assignee's Release.
    (c) NASA Form 780, Contractor's Assignment of Refunds, Rebates, 
Credits, and Other Amounts.
    (d) NASA Form 781, Assignee's Assignment of Refunds, Rebates, 
Credits, and Other Amounts.
    182. In section 1853.242-70, the section heading is revised and 
paragraph (g) is added to read as follows:


1853.242-70  Delegation (NASA Forms 1430, 1430A, 1431, 1432, 1433) and 
service request (NASA Form 1434).

* * * * *
    (g) NASA Form 1434, Letter of Request for Pricing-Audit-Technical 
Evaluation Services. NASA Form 1434, prescribed at 1842.202-70(e)(1), 
shall be used to request contract administration and audit services 
incident to preaward of a contract but exclusive of preaward surveys.


1853.242-71  [Removed]

    183. Section 1853.242-71 is removed. 

[[Page 40522]]



1853.242-72  [Redesignated as Section 1853.242-71]

    184. Section 1853.242-72 is redesignated as section 1853.242-71.
    185. In section 1853.249, paragraph (b) is revised to read as 
follows:


1853.249  Termination of contracts (NASA Forms 1412, 1413).

* * * * *
    (b) NASA Form 1413, Termination Docket Checklist. NASA Form 1413, 
prescribed at 1849.105-70, shall be used to ensure adequacy of 
termination records.

PART 1870--NASA SUPPLEMENTARY REGULATIONS

Subpart 1870.1--[Amended]

    186. Section 1870.000 and subpart 1870.1 are revised to read as 
follows:


1870.000  Scope of part.

    This part contains NASA-unique regulations which--
    (a) Constitute a system of regulations such that presentation in a 
unified format is essential;
    (b) Relate to numerous FAR subparts;
    (c) Have, as a whole, no clearly identifiable FAR counterpart; and
    (d) May include non-regulatory material necessary to complete 
coverage of the instant subject.

Subpart 1870.1--NASA Acquisition of Investigations System


1870.101  System content.

    (a) The regulations governing the NASA Acquisition of 
Investigations set forth the system in a single document, covering the 
roles of individuals with procurement and programmatic responsibilities 
both within NASA and the private sector. Therefore, the regulation 
provides guidance to all NASA personnel engaged in the solicitation, 
evaluation and selection of investigations. It emphasizes the 
responsibilities of line management and, as appropriate, the selected 
investigators in the acquisition of equipment necessary for the 
investigation. It provides for uniform procedures and equitable 
treatment in the evaluation and selection of investigators and 
acquisition of investigative equipment consistent with the FAR and NFS.
    (b) The system regulation contains policy and procedures applicable 
to the solicitation of investigations with ``Announcements of 
Opportunity,'' a form of broad agency announcement authorized at FAR 
6.102(d)(2)(i).


1870.102  NASA acquisition of investigations.

    (a) The NASA Acquisition of Investigations System is prescribed by 
Appendix I to this section 1870.102.
    (b) NASA may reprint this Appendix I as a separate Handbook for 
sale and/or distribution provided the following two conditions are met:
    (1) With the exception of availability and distribution 
information, any subsequent modification in the text shall be preceded 
by a change to the NASA FAR Supplement 1870.102.
    (2) The following information shall be included as a part of the 
prefatory material in the NASA Handbook:

Important Notice
    This Handbook is a separately bound, verbatim version of NASA 
FAR Supplement (NFS) (48 CFR 1870.102) Section 1870.102, Appendix I. 
Reference to other parts of the Federal Acquisition Regulation (FAR) 
and the NFS will be required for complete coverage of all 
procurement aspects. NASA reserves the right to make changes to NFS 
1870.102, Appendix I without issuing a new edition of this Handbook. 
Any such changes will be published in the Federal Register; however, 
it is anticipated that such changes will be rare, unless mandated by 
statute or unusual circumstances. In the event of apparent conflict 
between this Handbook and the NFS, the NFS shall govern.

APPENDIX I TO 1870.102--GUIDELINES FOR ACQUISITION OF INVESTIGATIONS

Preface

    NASA has always provided opportunities for qualified people in 
NASA, other Government agencies, colleges and universities, private 
industry, and foreign countries to participate in developing and 
carrying out its responsibilities in aeronautical and space 
activities. NASA has treated itself as a part of the scientific and 
technical community and has encouraged this community to bring to 
bear its expertise in developing investigatory objectives, selecting 
the investigations to carry out, participating in the resulting 
missions, analyzing the data obtained, and publishing the results.
    The acquisition of investigations process covered by this 
Handbook allows the continuation of our successful cooperative 
endeavors with the scientific, technological, and applications user 
communities and provides standards requiring greater attention to 
the planning and management of investigations. Also, this Handbook 
emphasizes the responsibilities of line management and, as 
appropriate, the selected investigators in the acquisition of 
equipment necessary for the investigation.

Guidelines for Acquisition of Investigations

Contents

Chap. 1  The Investigation Acquisition System
    100  General
    101  Key Features of the System
    102  Management Responsibilities
Chap. 2  Applicability of the Process
    200  General
    201  Criteria for Determining Applicability
    202  Programs and Activities Where Use May be Considered
    203  Specific Approval Required
Chap. 3  The Announcement of Opportunity
    300  General
    301  Need for Preparatory Effort
    302  Responsibilities
    303  Proposal Opportunity Period
    304  Guidelines for Announcement of Opportunity
    305  Announcement of Opportunity Soliciting Foreign 
Participation
    306  Guidelines for Proposal Preparation
Chap. 4  Evaluation of Proposals
    400  General
    401  Criteria for Evaluation
    402  Methods of Evaluation
    403  Advisory Subcommittee Evaluation Process
    404  Contractor Evaluation Process
    405  Government Evaluation Process
    406  Cost, Engineering, Integration, and Management Evaluation
    407  Program Office Evaluation
    408  Steering Committee Review
    409  Principles to Apply
Chap. 5  The Selection Process
    500  General
    501  Decisions to Be Made
    502  The Selection Statement
    503  Notification of Proposers
    504  Debriefing
Chap. 6  Payload Formulation
    600  Payload Formulation
Chap. 7  Procurement and Other Considerations
    700  Early Involvement Essential
    701  Negotiation, Discussions, and Contract Award
    702  Application of the Federal Acquisition Regulation (FAR) and 
the NASA FAR Supplement (NFS)
    703  Other Administrative and Functional Requirements

Appendices

Appendix A to Appendix I--Format of Announcement of Opportunity
Appendix B to Appendix I--General Instructions and Provisions
Appendix C to Appendix I--Guidelines for Proposal Preparation
Appendix D to Appendix I--Glossary of Terms and Abbreviations 
Associated with Investigations

Chapter 1--The Investigation Acquisition System

100  General

    The best space research results when space research 
investigators participate in the selection of investigations. The 
investigation acquisition system encourages the participation of 
investigators and the selection of investigations which contribute 
most effectively to the advancement of NASA's scientific and 
technological objectives. It is a system separate from the 
acquisition process, but requiring the same management and 
discipline to assure compliance with statutory requirements and 
considerations of equity. ``NASA Acquisition of Investigations'' is 
the name under which 

[[Page 40523]]
this system is incorporated into the NASA FAR Supplement.

101 Key Features of the System

    1. Use of the system commences with a Program Associate 
Administrator's determination that the investigation acquisition 
process is appropriate for a program. An Announcement of Opportunity 
(AO) is disseminated to the interested community. This solicitation 
does not specify the investigations to be proposed but solicits 
investigative ideas which contribute to broad objectives. In order 
to determine which of the proposals should be selected, a formal 
competitive evaluation process is utilized. The evaluation for merit 
is normally made by experts in the fields represented by the 
proposals. Care should be taken to avoid conflicts of interest. 
These evaluators may be from NASA, other Government agencies, 
universities, or the commercial sector. Along with or subsequent to 
the evaluation for merit, the other factors of the proposals, such 
as engineering, cost, and integration aspects, are reviewed by 
specialists in those areas. The evaluation conclusions as well as 
considerations of budget and other factors are used to formulate a 
complement of recommended investigations. A steering committee 
serving as staff to the Program Associate Administrator (Program AA) 
reviews the proposed payload or program of investigation, the 
iterative process, and the selection recommendations. The steering 
committee serves as a forum where different interests, such as 
flight program, discipline management, and administration, can be 
weighed.
    The Program AA selects the proposals that will participate in 
the program. Once selected, an investigator is assigned appropriate 
responsibilities relating to the investigation through a contract 
with the institution. For foreign investigators, these 
responsibilities will usually be outlined in an agreement between 
NASA and the sponsoring governmental agency in the investigator's 
country.
    2. The AO process provides a disciplined approach to 
investigation acquisition. The following major steps must be 
followed in each case:
    a. The AO shall be signed by the Program AA and shall be widely 
distributed to the scientific, technological, and applications user 
communities, as appropriate.
    b. An evaluation team shall be formed including recognized peers 
of the investigators.
    c. A project office will be assigned to assess the engineering, 
cost, integration, and management aspects of the proposals.
    d. A program office will be responsible to formulate a 
complement of investigations consistent with the objectives stated 
in the AO, cost, and schedule constraints.
    e. A steering committee appointed by the appropriate Program AA 
shall review the proposed investigations for relevance and merit, 
will assure compliance with the system as described in this 
Handbook, and make selection recommendations.
    f. Selections shall be made by the Program AA.
    3. Payloads will be formulated consisting of investigations 
selected through the AO process and/or other authorized methods.
    4. When the need is determined by the Program AA, payload 
specialists will be selected in accordance with NMI 7100.16, Payload 
Specialists for Space Transportation Systems (STS) Missions.

102  Management Responsibilities

    1. Program AA are responsible for overseeing the process and for 
making key decisions essential to the process including:
    a. Determination to use the investigation acquisition system.
    b. Appointment of the steering committee members.
    c. Designation of a staff to assure uniformity in the issuance 
of the AO and conformity with the required procedures in the 
evaluation and selection.
    d. Reuse, to the maximum extent practicable, of space hardware 
and support equipment.
    e. Determination to use advisory subcommittees, contractor, or 
full-time Government employees only in the evaluation process.
    f. Issuance of the AO.
    g. Selection of investigations and investigators, determination 
of need of a definition phase, determination of the role of the 
investigator with regard to providing essential investigation 
hardware and services, and determination of the need for payload 
specialists.
    h. Assure consideration is given to minorities in the 
establishment of peer groups, distribution of the AO and in the 
selection of investigations.
    i. Provide a framework for cooperative foreign participation in 
Space Shuttle, Spacelab, and Space Station missions.
    2. The Program AA should call upon any required experts 
throughout the process. The remaining chapters of this Handbook will 
discuss the exercise of the foregoing responsibilities in greater 
detail.

Chapter 2--Applicability of the Process

200  General

    The system used for acquisition of investigations is separate 
from the agency procedures for procurement of known requirements. A 
decision to use this special acquisition process will be based on a 
determination that it is the most suitable to meet program needs. 
The decision-making official will consider the criteria for use of 
the system. The project plan or other documentation should discuss 
the proposed mode of investigations selection.

201  Criteria for Determining Applicability

    1. The decision to utilize the investigations acquisition 
process as an alternative to the normal planning and acquisition 
process can only be made after consideration of the conditions which 
are requisite to its use. All of the following conditions should 
exist before deciding that the system is applicable:
    a. NASA has a general objective which can be furthered through 
novel experimental approaches. To develop such approaches, NASA 
wishes to draw upon the broadest reservoir of ideas that can be made 
available.
    b. Choices must be made among competing ideas in expanding 
knowledge.
    c. Individual participation of an investigator is essential to 
exploitation of the opportunity.
    2. The investigations acquisition process shall not be used when 
any of the following characteristics are present:
    a. The requiring office can define a requirement sufficiently to 
allow for normal procurement.
    b. The program is extremely complex, requiring specialized 
integration, coordination, or other special handling, or extending 
over a lengthy period wherein individual participation is not 
essential.
    c. It is not possible or considered essential to the program to 
follow the steps of the investigations acquisition process.

202  Programs and Activities Where Use May be Considered

    1. General--The investigation acquisition process is most 
suitable for investigations aimed at exploration requiring several 
unique sensors or instruments, but it has been used successfully in 
several types of opportunity. A discussion of several types of 
programs, the opportunities they offer, and comment on the 
suitability of the special process follows.

2. Exploration and Space Research Flights

    a. Examples--Space Transportation System (STS) flights with 
attached payloads, generally Spacelab payloads; and free-flying 
spacecraft, such as Explorers, Pioneers, Space Telescope, Landsats, 
and Long Duration Exposure Facilities.

b. Types of Opportunity

    (1) A common and sought after opportunity is to participate as a 
Principal Investigator (PI) responsible for conceiving and 
conducting a space investigation. This may involve a major piece of 
instrumentation. In the case of a ``facility'' or ``multiuser'' 
payload, each PI's responsibilities would ordinarily involve a 
relatively minor portion of the total instrument.
    (2) There may also be an opportunity to serve on a PI's team as 
a member or Co-Investigator.
    (3) A type of opportunity that generally involves the use of 
data from another investigator's instrument is that of guest 
investigator or guest observer. Guest investigators usually 
participate after the primary objectives have been satisfied for the 
investigations involved.
    (4) A team may be formed from selected investigators to assist 
in defining planned mission objectives and/or to determine, in a 
general manner, the most meaningful instruments to accomplish the 
mission objectives.
    c. Selection and Acquisition Procedures--The investigation 
acquisition process may be applicable to all of these types of 
opportunities. The supposition common in these opportunities is that 
the best ideas and approaches are likely to result from the broadest 
possible involvement of the scientific, technological or 
applications user communities.

3. Minor Missions

    a. Examples--Research aircraft, sounding rockets, balloons, and 
minor missions are 

[[Page 40524]]
generally of short duration, small in size, often single purpose, and 
subject to repetition. Many investigations are follow-on to past-
flight investigations.

b. Types of Opportunity

    (1) PIs responsible for investigation.
    (2) Data use or analysis.
    c. Selection and Acquisition Process--Opportunities for 
participation on minor missions are generally suitable for normal 
procurement procedures. The use of a general announcement announcing 
the general nature and schedule of flights may be appropriate when 
considered necessary to broaden participation by requesting 
investigator-initiated research proposals. Procurement procedures as 
contained in NASA FAR Supplement shall be used for follow-on repeat 
flights. Although NASA seeks unique, innovative ideas for these 
missions, the prospect of reflight and the latitude in determining 
number and schedule of flights argue against the need for the use of 
the investigations acquisition process to force dissimilar proposals 
into an annual or periodic competitive structure. On the other hand, 
there are some minor missions addressed to specific limited 
opportunities; for example, a solar eclipse. When such limitations 
indicate that the special competitive structure is needed, it should 
be authorized.

4. Operational and Operational Prototype Spacecraft

    a. Examples--GOES, TIROS.
    b. Selection and Acquisition Process--The user agency can be 
expected to specify performance parameters. Payload definition will 
be the responsibility of the user agency and NASA. Specifications 
sufficient for normal procedures can be produced. Use of data from 
the mission is the responsibility of the user agency. Thus, the 
special process is not required.

5. Reimbursable Missions

    a. Examples--INTELSAT, SATCOM, WESTAR, MARISAT.
    b. Selection and Acquisition Process--Payload determination and 
delivery are the responsibility of the user organization. NASA's 
role is essentially to provide launch services. No special process 
is required.

6. Supporting Research and Technology (SR&T)

    a. Examples--Studies, minor developments, instrument 
conceptualization, ground-based observations, laboratory and 
theoretical supporting research, and data reduction and analysis 
which is unconstrained by a specific opportunity.
    b. Selection and Acquisition Process--Programs in these areas 
tend to go forward on a continuing basis, rather than exploiting 
unique opportunities. Normal procurement procedures should be 
utilized to satisfy these requirements. A general announcement of 
area of interest could be made when greater participation is deemed 
advisable. Proposals can be solicited or unsolicited and can be 
entertained within the context of the normal procurement procedure.

203  Specific Approval Required

    The Program AA responsible for the program is responsible for 
determining whether or not to use the special investigations 
acquisition process. Normally on major projects, or when a project 
plan is required, use of the investigation acquisition system will 
be justified and recommended in the project planning documentation 
and will be coordinated with staff offices and discussed in the 
planning presentation to the Deputy Administrator or designee.

Chapter 3--The Announcement of Opportunity

300  General

    The AO is characterized by its generality. However, it is 
essential that the AO contains sufficient data in order to obtain 
meaningful proposals. To a considerable extent, the detail and depth 
of the AO will depend on the objective. In all cases, judgment is of 
paramount importance, since the purpose is to get adequate 
information to assess the relevance, merit, cost, and management 
without overburdening the proposer.

301  Need for Preparatory Effort

    1. When the use of the AO process is contemplated, there is need 
to consult with appropriate Headquarters offices and the Project 
Installation responsible for the project prior to release of the AO.
    2. In addition, the need to meet legal requirements in the 
acquisition processes will require early external Program Office 
involvement to:
    a. Synopsize the AO in the Commerce Business Daily prior to the 
time of release.
    b. Determine if there is instrumentation or support equipment 
available which may be appropriate to the AO with all necessary 
background data considered essential for use by a proposer.
    c. Determine mailing lists, including the mailing list 
maintained by the International Affairs Division, Office of External 
Relations, for broad dissemination of the AO.
    d. Assure mandatory provisions are contained in the AO.
    3. Other methods of dissemination of the AO may also be used, 
such as the use of press releases, etc. When possible, the AO should 
be widely publicized through publications of appropriate 
professional societies; however, NASA policy does not allow payment 
for the placement of advertisements.

302  Responsibilities

    1. The Program Office originator is responsible for the content 
of the AO and coordination with concerned Headquarters offices and 
field installations. All personnel involved in the evaluation of 
proposals are responsible for familiarizing themselves and complying 
with this Handbook and other applicable regulations. To this end, 
they are expected to seek the advice and guidance of appropriate 
Headquarters program and staff offices, and Project Installation 
management.
    2. The Program Office is also responsible for coordinating the 
AO with the International Affairs, Educational Affairs, Management 
Support Divisions, Office of External Relations, Office of General 
Counsel, and Office of Procurement prior to issuance. Attention is 
directed to NMI 1362.1, Initiation and Development of International 
Cooperation in Space and Aeronautical Programs.
    3. Concurrence of the Office of Procurement is required before 
issuance of an AO.

303  Proposal Opportunity Period

    1. The AO is considered the primary method of soliciting 
investigations. As such, it is necessary that the process 
accommodate the continuous opportunities afforded by the Shuttle/
Spacelab flights. Thus, the following methods may be utilized, 
individually or in combination, to enable an AO and resultant 
proposals to be open for an extended period of time and/or to cover 
a series or range of flight possibilities or disciplines:
    a. The AO may be issued establishing a number of proposal 
submission dates. Normally, no more than three proposal submission 
dates should be established. The submittal dates may be spread over 
the number of months most compatible with the possible flight 
opportunities and the availability of resources necessary to 
evaluate and fund the proposals.
    b. The AO may be issued establishing a single proposal 
submission date. However, the AO could provide that NASA amend the 
AO to provide for subsequent dates for submission of proposals, if 
additional investigations are desired within the AO objectives.
    c. The AO may provide for an initial submission date with the AO 
to remain open for submission of additional proposals up to a final 
cutoff date. This final date should be related to the availability 
of resources necessary to evaluate the continuous flow of proposals, 
the time remaining prior to the flight opportunity(s) contemplated 
by the AO, and payload funding and availability.
    2. Generally, a core payload of investigations would be selected 
from the initial submission of proposals under the above methods of 
open-ended AOs. These selections could be final or tentative 
recognizing the need for further definition. Proposals received by 
subsequent submission dates would be considered in the scope of the 
original AO but would be subject to the opportunities and resources 
remaining available or the progress being made by prior selected 
investigations.
    3. Any proposal, whether received on the initial submission or 
subsequent submission, requires notification to the investigator and 
the investigator's institution of the proposal disposition. Some of 
the proposals will be rejected completely and the investigators 
immediately notified. The remaining unselected proposals may, if 
agreeable with the proposers, be held for later consideration and 
funding and the investigator so notified. However, if an 
investigator's proposal is considered at a later date, the 
investigator must be given an opportunity to validate the proposal 
with the investigator's institution and for updating the cost and 
other data contained in the original submission prior to a final 
selection. In summary, NASA may retain proposals, receiving Category 
I, II, or III classifications (see paragraph 403), for possible 
later sponsorship until no longer 

[[Page 40525]]
feasible to consider the proposal. When this final stage is reached, 
the investigator must be promptly notified.
    4. If the intent is to hold proposals for possible later 
consideration, as discussed in subparagraph 3, the AO should 
specifically indicate this intent and the procedure to be used. 
Proposing investigators not desiring their proposals be held for 
later consideration should be given the opportunity to so indicate 
in their original submissions.

304  Guidelines for Announcement of Opportunity

    1. The preparation of the AO should be a multi-functional 
effort. It involves program and project management and usually 
involves other offices of NASA.
    2. The AO should be tailored to the particular needs of the 
contemplated investigations and be complete in itself. Each AO will 
be identified as (Program Office) originated and numbered 
consecutively each calendar year, e.g., OA-1-95, OA-2-95; OLMSA-1-
95; OSS-1-95; etc. The required format and detailed instructions 
regarding the contents of the AO are contained in Appendix A.
    3. The General Instructions and Provisions (Appendix B) are 
necessary to accommodate the unique aspects of the AO process. 
Therefore, they must be appended to each AO.
    4. At the time of issuance, copies of the AO must be furnished 
to the Office of Procurement and to the Office of General Counsel.
    5. Proposers should be informed of significant departures from 
scheduled dates for activities related in the AO.

305  Announcement of Opportunity Soliciting Foreign Participation

    Proposals for participation by individuals outside the U.S. 
should be submitted in the same format (excluding cost plans) as 
U.S. proposals; they should be typewritten and be in English; the 
proposals should be reviewed and endorsed by the appropriate foreign 
governmental agency. If letters of ``Notice of Intent'' are 
required, the AO should indicate that they be sent to NASA's 
International Affairs Division, Office of External Relations. Should 
a foreign proposal be selected, NASA will arrange with the 
sponsoring foreign agency for the proposed participation on a no-
exchange-of-funds basis, in which NASA and the sponsoring agency 
will each bear the cost of discharging its respective 
responsibilities. Note that additional guidelines applicable to 
foreign proposers are contained in the Management Plan Section of 
Appendix C (see Section II) and must be included in any Guidelines 
for Proposal Preparation or otherwise furnished to foreign 
proposers.

306  Guidelines for Proposal Preparation

    While not all of the guidelines outlined in Appendix C will be 
applicable in response to every AO, the investigator should be 
informed of the relevant information required. The proposal may be 
submitted on a form supplied by the Program Office. However, the 
proposal should be submitted in at least two sections: (1) 
Investigation and Technical Section; and (2) Management and Cost 
Section as described in Appendix C.

Chapter 4--Evaluation of Proposals

400  General

    The evaluation process assures consideration of the aspects of 
each proposal and constitutes progressive sorting of the proposals. 
A review resulting in a categorization is performed by using one of 
the methods or combination of the methods outlined in paragraph 402. 
The purpose of this initial review is to determine the scientific 
and/or technological merit of the proposals in the context of the AO 
objectives. Those proposals which are considered to have the 
greatest scientific or technological merit are then reviewed in 
detail for the engineering, management, and cost aspects, usually by 
the Project Office at the installation responsible for the project. 
Final reviews are performed by the Program Office and the Steering 
Committee and are aimed at developing a group of investigations 
which represent an integrated payload or a well-balanced program of 
investigation which has the best possibility for meeting the 
announced objectives within programmatic constraints. The importance 
of considering the interrelationship of the several aspects of the 
proposals to be reviewed in the process and the need for carefully 
planning their treatment should not be overlooked. An evaluation 
plan has been found helpful to the evaluators, program management 
officials, and the selection official. The evaluation plan should be 
developed before issuance of the AO. It should cover the recommended 
staffing for any subcommittee or contractor support, review 
guidelines as well as the procedural flow and schedule of the 
evaluation. While not mandatory, such a plan should be considered 
for each AO. A fuller discussion of the evaluation and selection 
process is included in the following paragraphs.

401  Criteria for Evaluation

    1. Each AO must indicate those criteria which the evaluators 
will apply in evaluating a proposal. The relative importance of each 
criterion must also be stated. This information will allow 
investigators to make informed judgments in formulating proposals 
that best meet the stated objectives.
    2. Following is a list of general evaluation criteria 
appropriate for inclusion in most AOs:
    a. The scientific, applications, and/or technological merit of 
the investigation.
    b. The relevance of the proposed investigation to the AO's 
stated scientific, applications, and/or technological objectives.
    c. The competence and experience of the investigator and any 
investigative team.
    d. Adequacy of whatever apparatus may be proposed with 
particular regard to its ability to supply the data needed for the 
investigation.
    e. The reputation and interest of the investigator's 
institution, as measured by the willingness of the institution to 
provide the support necessary to ensure that the investigation can 
be completed satisfactorily.
    In addition to or in lieu of the criteria listed herein, 
additional criteria may be utilized. In all cases, the evaluation 
criteria must be germane to the accomplishment of the stated 
objectives.
    3. Cost and management aspects will be considered in all 
selections.
    4. Once the AO is issued, it is essential that the evaluation 
criteria be applied in a uniform manner. If it becomes apparent, 
before the date set for receipt of proposals, that the criteria or 
their relative importance should be changed, the AO will be amended, 
and all known recipients will be informed of the change and given an 
adequate opportunity to consider it in submission of their 
proposals. Evaluation criteria and/or their relative importance will 
not be changed after the date set for receipt of proposals.

402  Methods of Evaluation

    Alternative methods are available to initiate the evaluation of 
proposals received in response to an AO. These are referred to as 
the Advisory Subcommittee Evaluation Process, the Contractor 
Evaluation Process, and the Government Evaluation Process. In all 
processes, a subcommittee of the appropriate Program Office Steering 
Committee will be formed to categorize the proposals. The various 
approaches, described in detail in paragraph 403. Following 
categorization, those proposals still in consideration will be 
processed to the selection official as prescribed hereafter.

403  Advisory Subcommittee Evaluation Process

    1. Evaluation of scientific and/or technological merit of 
proposed investigations is the responsibility of an advisory 
subcommittee of the Steering Committee. It is of prime importance 
that the appointment of members to the subcommittee be weighed 
carefully as these individuals may exercise significant influence on 
the selection of investigations and hence achievement of program 
goals and objectives.
    2. The subcommittee constitutes a peer group qualified to judge 
the scientific and technological aspects of all investigation 
proposals. One or more subcommittees may be established depending on 
the breadth of the technical or scientific disciplines inherent in 
the AO's objectives. Each subcommittee represents a discipline or 
grouping of closely related disciplines. To maximize the quality of 
the subcommittee evaluation and categorization, the following 
conditions of selection and appointment should be considered.
    a. The subcommittee normally should be established on an ad hoc 
basis.
    b. Qualifications and acknowledgment of the professional 
abilities of the subcommittee members are of primary importance. 
Institutional affiliations are not sufficient qualifications.
    c. The executive secretary of the subcommittee must be a full-
time NASA employee.
    d. Subcommittee members should normally be appointed as early as 
possible and prior to receipt of proposals.
    e. Care must be taken to avoid conflicts of interest. These 
include financial interests, institutional affiliations, 
professional biases 

[[Page 40526]]
and associations, as well as familiar relationships. Conflicts could 
further occur as a result of imbalance between Government and non-
Government appointees or membership from institutions representing a 
singular school of thought in discipline areas involving competitive 
theories in approach to an investigation.
    f. The subcommittee should convene as a group in closed sessions 
for proposal evaluation to protect the proposer's proprietary ideas 
and to allow frank discussion of the proposer's qualifications and 
the merit of the proposer's ideas. Lead review responsibility for 
each proposal may be assigned to members most qualified in the 
involved discipline. It is important that each proposal be 
considered by the entire subcommittee.
    3. It may not be possible to select a subcommittee fully 
satisfying all of the conditions described in subparagraph 2. It is 
not the purpose of these guidelines to establish provisions for 
making trade-offs, where necessary, among the above criteria. This 
is properly the responsibility of the nominating and appointing 
officials. This latitude permits flexibility in making decisions in 
accord with circumstances of each application. In so doing, however, 
it is emphasized that recognized expertise in evaluating dissimilar 
proposals is essential to the continued workability of the 
investigation acquisition process.
    4. Candidate subcommittee members should be nominated by the 
office having responsibility for the evaluation. Nominations should 
be approved in accordance with NMI 1150.2, ``Establishment, 
Operation, and Duration of NASA Advisory Committees.'' The 
notification of appointment should specify the duration of 
assignment on the subcommittee, provisions concerning conflicts of 
interest, and arrangements regarding honoraria, per diem, and travel 
when actually employed.
    5. It is important that members of the subcommittee be formally 
instructed as to their responsibilities with respect to the 
investigation acquisition process, even where several or all of the 
members have served previously. This briefing of subcommittee 
members should include:
    a. Instruction of subcommittee members on agency policies and 
procedures pertinent to acquisition of investigations.
    b. Review of the program goals, AO objectives, and evaluation 
criteria, including relative importance, which provide the basis for 
evaluation.
    c. Instruction on the use of preliminary proposal evaluation 
data furnished by the Installation Project Office. The subcommittee 
should examine these data to gain a better understanding of the 
proposed investigations, any associated problems, and to consider 
cost in relation to the value of the investigations' objectives.
    d. Definition of responsibility of the subcommittee for 
evaluation and categorization with respect to scientific and/or 
technical merit in accordance with the evaluation criteria.
    e. Instruction for documentation of deliberations and 
categorizations of the subcommittee.
    f. Inform the chairperson of the subcommittee and all members 
that they should familiarize themselves with the provisions of the 
current ``Standards of Conduct for NASA Employees'', NHB 1900.1, or 
``Standards of Conduct for NASA Special Government Employees'', NHB 
1900.2, as appropriate, regarding conflicts of interest. Members 
should inform the appointing authority if their participation 
presents a real or apparent conflict of interest situation. In 
addition, all participants should inform the selection official in 
the event they are subjected to pressure or improper contacts.
    g. Inform members that prior to the selection and announcement 
of the successful investigators and investigations, subcommittee 
members and NASA personnel shall not reveal any information 
concerning the evaluation to anyone who is not also participating in 
the same evaluation proceedings, and then only to the extent that 
such information is required in connection with such proceedings. 
Also, inform members that subsequent to selection of an 
investigation and announcement of negotiations with the 
investigator's institution, information concerning the proceedings 
of the subcommittee and data developed by the subcommittee will be 
made available to others within NASA only when the requestor 
demonstrates a need to know for a NASA purpose. Such information 
will be made available to persons outside NASA including other 
Government agencies, only when such disclosure is concurred in by 
the Office of General Counsel. In this connection, reference is made 
to 18 U.S.C. 1905 which provides criminal sanctions if any officer 
or employee (including special employees) of the United States 
discloses or divulges certain kinds of business confidential and 
trade secret information unless authorized by law.
    6. The product of an advisory subcommittee is the classification 
of proposals into four categories. The categories are:
    a. Category I--Well conceived and scientifically and technically 
sound investigations pertinent to the goals of the program and the 
AO's objectives and offered by a competent investigator from an 
institution capable of supplying the necessary support to ensure 
that any essential flight hardware or other support can be delivered 
on time and that data can be properly reduced, analyzed, 
interpreted, and published in a reasonable time. Investigations in 
Category I are recommended for acceptance and normally will be 
displaced only by other Category I investigations.
    b. Category II--Well conceived and scientifically or technically 
sound investigations which are recommended for acceptance, but at a 
lower priority than Category I.
    c. Category III--Scientifically or technically sound 
investigations which require further development. Category III 
investigations may be funded for development and may be reconsidered 
at a later time for the same or other opportunities.
    d. Category IV--Proposed investigations which are recommended 
for rejection for the particular opportunity under consideration, 
whatever the reason.
    7. A record of the deliberations of the subcommittee should be 
prepared by the assigned executive secretary and should be signed by 
the Chairperson. The minutes should contain the categorizations with 
basic rationale for such ratings and the significant strengths and 
weaknesses of the proposals evaluated.

404  Contractor Evaluation Process

    1. The use of the contractor method for obtaining support for 
evaluation purposes of proposals received in response to an AO 
requires the approval of the Program AA. Prior to the use of this 
method, discussion should be held with the Office of Procurement.
    2. It is NASA policy to avoid situations in the procurement 
process where, by virtue of the work or services performed for NASA, 
or as a result of data acquired from NASA or from other entities, a 
particular company:
    a. Is given an unfair competitive advantage over other companies 
with respect to future NASA business;
    b. Is placed in a position to affect Government actions under 
circumstances in which there is potential that the company's 
judgment may be biased; or
    c. Otherwise finds that a conflict exists between the 
performance of work or services for the Government in an impartial 
manner and the company's own self-interest.
    3. To reduce the possibility of an organizational conflict of 
interest problem arising, the following minimum restrictions will be 
incorporated into the contract:
    a. No employee of the contractor will be permitted to propose in 
response to the AO;
    b. The ``Limitation on Future Contracting'' clause contained in 
NASA FAR Supplement 1852.209-71 and the conditions set forth in NASA 
FAR Supplement 1815.413-2 Alternate II (c) and (d) will be included 
in all such contracts; and
    c. Unless authorized by the NASA contracting officer, the 
contractor shall not contact the originator of any proposal 
concerning its contents.
    4. The scope of work for the selected contractor will provide 
for an identification of strengths and weaknesses and a summary of 
the proposals. The contractor will not make selections nor recommend 
investigations.
    5. The steps to be taken in establishing evaluation panels and 
the responsibilities of NASA and the contractor in relation to the 
panels will be as follows:
    a. The contractor will be required to establish and provide 
support to panels of experts for review of proposals to evaluate 
their scientific and technical merit;
    b. These panels will be composed of scientists and specialists 
qualified to evaluate the proposals;
    c. The agency may provide to the contractor lists of 
scientist(s) and specialist(s) in the various disciplines it 
believes are qualified to serve on the panels;
    d. The contractor will report each panel's membership to NASA 
for approval; and
    e. The contractor must make all the necessary arrangements with 
the panel members. 

[[Page 40527]]

    6. The evaluation support by the contractor's panels of experts 
will be accomplished as follows:
    a. The panels will review the scientific and technical merit of 
the proposals in accordance with the evaluation criteria in the AO 
and will record their strengths and weaknesses.
    b. The contractor will make records of each panel's 
deliberations which will form the basis for a report summarizing the 
results of the evaluations. Upon request, the contractor shall 
provide all such records to NASA;
    c. The chairperson of each panel shall certify that the 
evaluation report correctly represents the findings of the review 
panel; and
    d. A final report will be submitted as provided in the contract.
    7. A subcommittee of the Program Office Steering Committee will 
be established on an ad hoc basis. Utilizing furnished data, the 
subcommittee will classify the proposals into the four categories 
enumerated in paragraph 403, ``Advisory Subcommittee Evaluation 
Process.'' A record of the deliberations of the subcommittee should 
be prepared by an assigned executive secretary and signed by the 
chairperson. The minutes should contain the categorizations with the 
basic rationale for such ratings and the significant strengths and 
weaknesses of the proposals evaluated.
405  Government Evaluation Process

    1. The Program AA may, in accordance with NMI 1150.2, appoint 
one or more full-time Government employees as subcommittee members 
of the Program Office Steering Committee to evaluate and categorize 
the proposals.
    2. Each subcommittee member should be qualified and competent to 
evaluate the proposals in accordance with the AO evaluation 
criteria. It is important that a subcommittee's evaluation not be 
influenced by others either within or outside of NASA.
    3. The subcommittee members will not contact the proposers for 
additional information.
    4. The subcommittee members will classify the proposals in 
accordance with the four categories indicated in paragraph 403. Each 
categorization will be supported by an appropriate rationale 
including a narrative of each proposal's strengths and weaknesses.

406  Engineering, Integration, and Management Evaluation

    1. The subcommittee responsible for categorization of each 
proposal in terms of its scientific, applications, or technical 
merit should receive information on probable cost, technical status, 
developmental risk, integration and safety problems, and management 
arrangements in time for their deliberations.
    2. This information should be provided at the discretion of the 
Headquarters Program Office by the Project Office at the 
installation. This information can be in general terms and should 
reflect what insights the Project Office can provide without 
requesting additional details from the proposers. This limited 
Project Office review will not normally give the subcommittees 
information of significant precision. The purpose is to give the 
subcommittee sufficient information so it can review the proposals 
in conjunction with available cost, integration, and management 
considerations to gain an impression of each investigator's 
understanding of the problems of the experiment and to permit gross 
trade-offs of cost versus value of the investigation objective.
    3. Following categorization, the Project Office shall evaluate 
proposals in contention, in depth, including a thorough review of 
each proposal's engineering, integration, management, and cost 
aspects. This review should be accomplished by qualified 
engineering, cost, and business analysts at the project center.
    4. In assessing proposed costs, the evaluation must consider:
    a. The investigation objective.
    b. Comparable, similar or related investigations.
    c. Whether NASA or the investigator should procure the necessary 
supporting instrumentation or services and the relative cost of each 
mode.
    d. Total overall or probable costs to the Government including 
integration and data reduction and analysis. In the case of 
investigations proposed by Government investigators, this includes 
all associated direct and indirect cost. With respect to cooperative 
investigations, integration, and other applicable costs should be 
considered.
    5. The Project Office, as part of the in-depth evaluation of 
proposals that require instrumentation or support equipment, will 
survey all potential sources for Government-owned instrumentation or 
support equipment that may be made available, with or without 
modifications, to the potential investigator. Such items contributed 
by foreign cooperating groups which are still available under 
cooperative project agreements will also be considered for use under 
the terms and conditions specified in the agreements. As part of the 
evaluation report to the Program Office, the availability or 
nonavailability of instrumentation or support equipment will be 
indicated.
    6. Proposals which require instrumentation should be evaluated 
by project personnel. This evaluation should cover the interfaces 
and the assessment of development risks. This evaluation should 
furnish the selection official with sufficient data to contribute to 
the instrument determinations. Important among these are:
    a. Whether the instrument requires further definition;
    b. Whether studies and designs are necessary to provide a 
reasonably accurate appreciation of the cost;
    c. Whether the investigation can be carried out without 
incurring undue cost, schedule, or risk of failure penalties; and
    d. Whether integration of the instrument is feasible.
    7. In reviewing an investigator's management plan, the Project 
Office should evaluate the investigator's approach for efficiently 
managing the work, the recognition of essential management 
functions, and the effective overall integration of these functions. 
Evaluation of the proposals under final consideration should 
include, but not be limited to: workload--present and future related 
to capacity and capability; past experience; management approach and 
organization; e.g.:
    a. With respect to workload and its relationship to capacity and 
capability, it is important to ascertain the extent to which the 
investigator is capable of providing facilities and personnel skills 
necessary to perform the required effort on a timely basis. This 
review should reveal the need for additional facilities or people, 
and provide some indication of the Government support the 
investigator will require.
    b. A review should be made of the investigator, the 
investigator's institution, and any supporting contractor's 
performance on prior investigations. This should assist in arriving 
at an assessment of the investigator and the institution's ability 
to perform the effort within the proposed cost and time constraints.
    c. The proposed investigator's management arrangements should be 
reviewed, including make or buy choices, support of any co-
investigator, and preselected subcontractors or other instrument 
fabricators to determine whether such arrangements are justified. 
The review should determine if the proposed management arrangements 
enhance the investigator's ability to devote more time to the 
proposed experiment objectives and still effectively employ the 
technical and administrative support required for a successful 
investigation. In making these evaluations, the Project Office 
should draw on the installation's engineering, business, legal, and 
other staff resources, as necessary, as well as its scientific 
resources. If further information is needed from the proposers, it 
should be obtained through the proper contacts.

407  Program Office Evaluation

    1. A Program Office responsible for the project or program at 
Headquarters will receive the evaluation of the proposals, and weigh 
the evaluative data to determine an optimum payload or program of 
investigation. This determination will involve recommendations 
concerning individual investigations; but, more importantly, should 
result in a payload or program which is judged to optimize total 
mission return within schedule, engineering, and budgetary 
constraints. The recommendations should facilitate sound selection 
decisions by the Program AA. Three sets of recommendations result 
from the Program Office evaluation:
    a. Optimum payload or program of investigations, or options for 
alternative payloads or programs.
    b. Recommendation for final or tentative selection based on a 
determination of the degree of uncertainty associated with 
individual investigations. A tentative selection may be considered 
step one of a two-step selection technique.
    c. Upon consideration of the guidelines contained in paragraph 
501-lc, recommending responsibility for instrument development.
    2. The Installation Project Office evaluation is principally 
concerned with ensuring that the proposed investigation can be 
managed, developed, integrated, and executed with an 

[[Page 40528]]
appropriate probability of technical success within the estimated 
probable cost. The Headquarters program Director, drawing upon these 
inputs, should be mainly concerned with determining a payload or 
program from the point of view of programmatic goals and budgetary 
constraints. Discipline and cost trade-offs are considered at this 
level. The Headquarters Program Office should focus on the potential 
contribution to program objectives that can be achieved under 
alternative feasible payload integration options.
    3. It may be to NASA's advantage to consider certain 
investigations for tentative selection pending resolution of 
uncertainties in their development. Tentative selections should be 
reconsidered after a period of time for final selection in a payload 
or program of investigations. This two-step selection process should 
be considered when:
    a. The potential return from the investigation is sufficient, 
relative to that of the other investigations under consideration, 
and that its further development appears to be warranted before 
final selection.
    b. The investigation potential is of such high priority to the 
program that the investigation should be developed for flight if at 
all possible.
    c. The investigative area is critical to the program and 
competitive approaches need to be developed further to allow 
selection of the optimum course.
    4. Based on evaluation of these considerations associated with 
the investigations requiring further development of hardware, the 
following information should be provided to the Steering Committee 
and the Program AA responsible for selection:
    a. The expected gain in potential return associated with the 
eventual incorporation of tentatively recommended investigations in 
the payload(s) or program.
    b. The expected costs required to develop instrumentation to the 
point of ``demonstrated capability.''
    c. The risk involved in added cost, probability of successfully 
developing the required instrument capability, and the possibility 
of schedule impact.
    d. Identification of opportunities, if any, for inclusion of 
such investigations in later missions.
    5. In those cases where investigations are tentatively selected, 
an explicit statement should be made of the process to be followed 
in determining the final payload or program of investigations and 
the proposers so informed. The two-phase selection approach provides 
the opportunity for additional assurance of development potential 
and probable cost prior to a final commitment to the investigation.
    6. As instruments used in investigations become increasingly 
complex and costly, the need for greater control of their 
development by the responsible Headquarters Program Office also 
grows. Accordingly, as an integral part of the evaluation process, a 
deliberate decision should be made regarding the role of the 
Principal Investigator with respect to the provision of the major 
hardware associated with that person's investigation. The guidelines 
for the hardware acquisition determination are discussed in 
paragraph 501-lc.
    7. The range of options for responsibility for the 
instrumentation consists of:
    a. Assignment of full responsibility to the Principal 
Investigator. The responsibility includes all in-house or contracted 
activity to provide the instrumentation for integration.
    b. Retention of developmental responsibility by the Government 
with participation by the Principal Investigator in key events 
defined for the program. In all cases the right of the Principal 
Investigator to counsel and recommend is paramount. Such involvement 
of the Principal Investigator may include:
    (1) Provision of instrument specifications.
    (2) Approval of specifications.
    (3) Independent monitorship of the development and advice to the 
Government on optimization of the instrumentation for the 
investigation.
    (4) Participation in design reviews and other appropriate 
reviews.
    (5) Review and concurrence in changes resulting from design 
reviews.
    (6) Participation in configuration control board actions.
    (7) Advice in definition of test program.
    (8) Review and approval of test program and changes thereto.
    (9) Participation in conduct of the test program.
    (10) Participation in calibration of instrument.
    (11) Participation in final inspection and acceptance of the 
instrument.
    (12) Participation in subsequent test and evaluation processes 
incident to integration and flight preparation.
    (13) Participation in the development and support of the 
operations plan.
    (14) Analysis and interpretation of data.
    8. The Principal Investigator should as a minimum:
    a. Approve the instrument specification.
    b. Advise the project manager in development and fabrication.
    c. Participate in final calibration.
    d. Develop and support the operations plan.
    e. Analyze and interpret the data.
    9. The Project Installation is responsible for implementing the 
program or project and should make recommendations concerning the 
role for the Principal Investigators. The Program AA will determine 
the role, acting upon the advice of the Headquarters Program Office 
and the Steering Committee. The Principal Investigator's desires 
will be respected in the negotiation of the person's role allowing 
an appeal to the Program AA and the right to withdraw from 
participation.
    10. The Program Office should make a presentation to the 
Steering Committee with supporting documentation on the decisions to 
be made by the responsible Program AA.

408  Steering Committee Review

    1. The most important role of the Steering Committee is to 
provide a substantive review of a potential payload or program of 
investigations and to recommend a selection to the Program AA. The 
Steering Committee applies the collective experience of 
representatives from the program and discipline communities and 
offers a forum for discussing the selection from those points of 
view. In addition to this mission-specific evaluation function, the 
Steering Committee provides guidance to subcommittee chairpersons 
and serves as a clearinghouse for problems and complaints regarding 
the process. The Steering Committee is responsible for assuring 
adherence to required procedures. Lastly, it is the forum where 
discipline objectives are weighed against program objectives and 
constraints.
    2. The Steering Committee represents the means for exercising 
three responsibilities in the process of selecting investigations 
to:
    a. Review compliance with procedures governing application of 
the AO process.
    b. Ensure that adequate documentation has been made of the steps 
in the evaluation process.
    c. Review the results of the evaluation by the subcommittee, 
Project, and Program Offices and prepare an assessment or 
endorsement of a recommended payload or program of investigations to 
the Program AA.
    3. The purpose in exercising the first of these responsibilities 
is to ensure equity and consistency in the application of the 
process. The Steering Committee is intended to provide the necessary 
reviews and coordination inherent in conventional acquisition 
practices.
    4. The second and third responsibilities of the Steering 
Committee are technical. They require that the Steering Committee 
review the evaluations by subcommittee, the Project Office, and the 
Program Office for completeness and appropriateness before 
forwarding to the Program AA. Most important in this review are:
    a. Degree to which results of evaluations and recommendations 
follow logically from the criteria in the AO.
    b. Consistency with objectives and policies generally beyond the 
scope of Project/Program Offices.
    c. Sufficiency of reasons stated for tentative recommendations 
of those investigations requiring further instrument research and 
development.
    d. Sufficiency of reasons stated for determining 
responsibilities for instrument development.
    e. Sufficiency of consideration of reusable space flight 
hardware and support equipment for the recommended investigations.
    f. Sufficiency of reasons for classifying proposed 
investigations in their respective categories.
    g. Fair treatment of all proposals.
    5. The Steering Committee makes recommendations to the selection 
official on the payload or program of investigations and notes 
caveats or provisions important for consideration of the selection 
official.

409  Principles to Apply

    1. Paragraph 408 contains a description of the evaluation 
function appropriate for a major payload or very significant program 
of investigation. The levels of review, evaluation, and refinement 
described should be applied in those selections where warranted but 
could be varied for less significant selection situations. It is 
essential to consider the principles of the several 

[[Page 40529]]
evaluative steps, but it may not be essential to maintain strict 
adherence to the sequence and structure of the evaluation system 
described. The selection official is responsible for determining the 
evaluation process most appropriate for the selection situation 
using this Chapter as a guide.
    2. Significant deviations from the provisions of this Handbook 
must be fully documented and be approved by the Program AA after 
concurrence by the Office of General Counsel and Office of 
Procurement.

Chapter 5--The Selection Process

500  General

    The Program AA is responsible for selecting investigations for 
contract negotiation. This decision culminates the evaluations and 
processes that can be summarized as follows:

------------------------------------------------------------------------
    Evaluation stage        Principal emphasis            Results       
------------------------------------------------------------------------
Contractor (when         Summary evaluation       Report to             
 authorized).             (strengths and           Subcommittee.        
                          weaknesses.                                   
Subcommittee...........  Science and              Categorization of     
                          technological            individual proposals.
                          relevance, value, and                         
                          feasibility.                                  
Project Office.........  Engineering/cost/        Reports to            
                          integration/management   Subcommittee and     
                          assessment.              Program Office.      
Program Office.........  Consistency with         Recommendations to    
                          announcement and         Steering Committee of
                          program objectives,      payload or program of
                          and cost and schedule    investigations.      
                          constraints.                                  
Steering Committee.....  Logic of proposed        Recommendations to    
                          selections and           Program Associate    
                          compliance with proper   Administrator.       
                          procedures.                                   
------------------------------------------------------------------------

501  Decisions To Be Made

    1. The selection decisions by the Program AA constitute 
management judgments balancing individual and aggregate scientific 
or technological merit, the contribution of the recommended 
investigations to the AO's objectives, and their consonance with 
budget constraints. The selection official may develop additional 
data to make the following decisions:
    a. Determination of the adequacy of scientific/technical 
analysis supporting the recommended selections. This supporting 
rationale should involve considerations including:
    (1) Assurance that the expected return contributes substantially 
to program objectives and is likely to be realized.
    (2) Assurance that the evaluation criteria were applied 
consistently to all proposed investigations.
    (3) Assurance that the set of recommended investigations 
constitutes the optimum program or payload considering potential 
value and constraints.
    (4) Assurance that only one investigator is assigned as the 
Principal Investigator to each investigation and that the Principal 
Investigator will assume the associated responsibilities and be the 
single point of contact and leader of any other investigators 
selected for the same investigation.
    b. Determination as to whether available returned space hardware 
or support equipment, with or without modification, would be 
adequate to meet or support investigation objectives.
    c. Determination as to whether the proposed instrument 
fabricator qualifies and should be accepted as a sole source or 
whether the requirement should be competitive procured. The 
following guidelines apply:
    (1) The hardware required should be subjected to competitive 
solicitation where it is clear that the capability is not 
sufficiently unique to justify sole source procurement.
    (2) The hardware requirement should be purchased from the 
fabricator proposed by the investigator, which may be the 
investigator's own institution, (a) when the fabricator's proposal 
contains technical data that are not available from another source, 
and it is not feasible or practicable to define the fabrication 
requirement in such a way as to avoid the necessity of using the 
technical data contained in the proposal; (b) when the fabricator 
offers unique capabilities that are not available from another 
source; (c) when the selection official determines that the proposed 
hardware contributes so significantly to the value of the 
investigator's proposal as to be an integral part of it.
    (3) If a producer other than the one proposed by the 
investigator offers unique capabilities to produce the hardware 
requirement, NASA may buy the hardware from the qualified 
fabricator.
    (4) If a NASA employee submits a proposal as a principal 
investigator, any requirement for hardware necessary to perform the 
investigation must either be competed by the installation 
procurement office or a justification must be written, synopsized, 
and approved in accordance with the requirements of FAR and the NFS.
    d. Determination of the desirability for tentative selection of 
investigations. This determination involves considerations 
including:
    (1) Assessment of the state of development of the investigative 
hardware, the cost and schedule for development in relation to the 
gain in potential benefits at the time of final selection.
    (2) Assurance that there is adequate definition of investigation 
hardware to allow parallel design of other project hardware.
    (3) Assurance that appropriate management procedures are 
contained in the project plan for reevaluation and final selection 
(or rejection) on an appropriate time scale.
    e. Determination of the acceptability of the proposer's 
management plan, including the proposed hardware development plan, 
and the necessity, if any, of negotiating modifications to that 
plan.
    2. In the process of making the above determinations described 
in subparagraph 1, the Program AA may request additional information 
or evaluations. In most instances, this information can be provided 
by the Program Office responsible for the mission, project, or 
program. However, the Program AA may reconvene the subcommittee or 
poll the members individually or provide for additional analysis or 
require additional data from evaluators or proposers as considered 
necessary to facilitate the Program AA's decision.

502  The Selection Statement

    Upon completion of deliberations, the responsible Program AA 
shall issue a selection statement. Ordinarily this statement will, 
upon request, be releasable to the public. As a minimum, the 
selection statement should include:
    1. The general and specific evaluation criteria and relative 
importance used for the selection.
    2. The categorizations provided by the subcommittee and the 
rationale for accepting or not accepting each Category I proposal 
and a succinct statement concerning the nonacceptance of all other 
proposals.
    3. A concise description of each investigation accepted 
including an indication as to whether the selection is a partial 
acceptance of a proposal and/or a joinder with other investigators.
    4. The role of the Principal Investigator with regard to 
hardware essential to the investigation and whether the Principal 
Investigator will be responsible for hardware acquisition and the 
basis therefor.
    5. An indication of the plan and acquisition using the regular 
procurement processes, if the Principal Investigator is not to 
acquire the hardware.
    6. A statement indicating whether the selection is final or 
tentative, recognizing the need for better definition of the 
investigation and its cost.
    7. A statement indicating use of Government-owned space flight 
hardware and/or support equipment.

503   Notification of Proposers

    1. It is essential that investigators whose proposals have no 
reasonable chance for selection be so apprised as soon as 
practicable. The responsible Program Office will, upon such 
determination, notify investigators of that fact with the major 
reason(s) why the proposals were so 

[[Page 40530]]
considered. The notification letter should also inform such 
investigators that they may obtain a detailed oral debriefing 
provided they request it in writing. The letter should point out 
that such a debriefing would be available only after completion of 
the selection process and would otherwise be conducted in accordance 
with the NASA FAR Supplement. (See paragraph 504.)
    2. Letters of notification will be sent to those Principal 
Investigators selected to participate. This letter should not commit 
the agency to more than negotiations for the selected investigation, 
but it should indicate the decision made and contain:
    a. A concise description of the Principal Investigator's 
investigation as selected, noting substantive changes, if any, from 
the investigation originally proposed by the Principal Investigator.
    b. The nature of the selection, i.e., whether it should be 
considered final or tentative requiring additional hardware or cost 
definition.
    c. A description of the role of the Principal Investigator 
including the responsibility for the provision of instruments for 
flight experiments.
    d. Identification of the principal technical and management 
points to be treated in subsequent negotiations.
    e. Any rights to be granted on use of data, publishing of data, 
and duration of use of the data.
    f. Where applicable, indication that a foreign selectee's 
participation in the program will be arranged between the 
International Affairs Division, Office of External Relations, and 
the foreign government agency which endorsed the proposal.
    3. In conjunction with the notification of successful foreign 
proposers, the Program Office shall forward a letter to the 
responsible International Affairs Division, Office of External 
Relations, addressing the following:
    a. The scientific technological objective of the effort.
    b. The period of time for the effort.
    c. The responsibilities of NASA and of the sponsoring 
governmental agency; these may include:
    (1) Provision and disposition of hardware and software.
    (2) Responsibilities for reporting, reduction and dissemination 
of data.
    (3) Responsibilities for transportation of hardware.
    d. Any additional information pertinent to the conduct of the 
experiment.
    4. Using the information provided above, the International 
Affairs Division, Office of External Relations will negotiate an 
agreement with the sponsoring foreign agency.
    5. Notices shall also be sent to those proposers not notified 
pursuant to the preceding paragraphs, and, as applicable, a copy to 
the sponsoring foreign government agency. It is important that these 
remaining proposers be informed at the same time as those selected. 
Other agency notifications and press release procedures will apply, 
as appropriate.

504  Debriefing

    It is the policy to debrief, if requested, unsuccessful 
proposers of investigations in accordance with NFS 1815.1003. The 
following considerations are offered in arranging and conducting 
debriefings:
    1. Debriefing should be done by an official designated by the 
responsible Program AA. Any other personnel receiving requests for 
information concerning the rejection of a proposal should refer to 
the designated official.
    2. Debriefing of unsuccessful offerors should be made at the 
earliest possible time; debriefing will generally be scheduled 
subsequent to selection but prior to award of contracts to the 
successful proposers.
    3. Material discussed in debriefing should be factual and 
consonant with the documented findings of several stages of the 
evaluation process and the selection statement.
    4. The debriefing official should advise of weak or deficient 
areas in the proposal, indicate whether those weaknesses were 
factors in the selection, and advise of the major considerations in 
selecting the competing successful proposer where appropriate.
    5. The debriefing official should not discuss other unsuccessful 
proposals, ranking, votes of members, or attempt to make a point-by-
point comparison with successful proposals.
    6. A memorandum of record of the debriefing should be provided 
the Chairperson of the Steering Committee.

Chapter 6--Payload Formulation

600  Payload Formulation

    1. Payload elements for Space Transportation System (STS) 
missions can come from many sources. These include those selected 
through AOs, those generated by in-house research, unsolicited 
proposals and those derived from agreements between NASA and 
external entities. However, it is anticipated that the primary 
source of NASA payload elements will be the AO process. Generally, 
proposals for payload elements submitted outside the AO process will 
not be selected if they would have been responsive to an AO 
objective.
    2. Payload elements for STS flights fall into two major 
categories. ``NASA or NASA-related'' payload elements are those 
which are developed by a NASA Program Office or by another party 
with which NASA has a shared interest. ``Non-NASA'' payload elements 
are those which require only STS operation services from NASA and 
interface with NASA through the Office of Space Flight.
    3. In general, a Program Office will be designated 
responsibility for formulating the ``NASA or NASA-related'' portion 
of an STS payload. The Office of Space Flight will be responsible 
for formulating the ``non-NASA'' portion of an STS payload. Flights 
may, of course, consist wholly of payload elements of either type. 
Resource allocation for mixed missions will be determined by the 
Program Office and the Office of Space Flight.

Chapter 7--Procurement and Other Considerations

700  Early Involvement Essential

    1. The distinctive feature of the AO process is that it is both 
a program planning system and a procurement system in one procedure. 
The choice of what aeronautical and space phenomena to investigate 
is program planning. Procurement is involved with the purchase of 
property and services to carry out the selected investigations.
    2. Because of both the programmatic and multi-functional aspects 
of the AO process, early involvement of external program office 
elements is essential. Success of the process requires that it 
proceed in a manner that meets program goals and complies with 
statutory requirements and procurement policy.
    3. The planning, preparation and selection schedule for the 
investigation should commence early enough to meet statutory and 
regulatory requirements. Chief of these are the requirements for 
soliciting maximum feasible competition and for conducting 
discussions with offerors within the competitive range by the 
Project Office and/or any other evaluation group or office 
authorized by the selection official.

701  Negotiation, Discussions, and Contract Award

    Indicated below are some of the major procurement procedures 
that need to be accomplished to assure uniformity and sufficiency in 
the acquisition of investigations. These areas are not exclusive and 
not intended to substitute for coordination and good judgment before 
issuance of the AO, during evaluation of proposals, and prior to 
contract award.
    1. As negotiated procurements must be made by soliciting 
proposals from the maximum number of qualified sources consistent 
with the requirement, the AO must also be synopsized in the Commerce 
Business Daily. Responses to the synopsis must be added to the AO 
mailing list. Every effort should be made to publish opportunities 
far enough in advance to encourage a broad response. (In no case 
less than 45 days before the date set for receipt of proposals).
    2. Significant items for consideration after receipt of 
proposals:
    a. Late Proposals--The policy on late proposals contained in the 
NFS 1815.412 is applicable. Potential investigators should be 
informed of this policy. In the AO context, the selection official 
or designee will determine whether a late proposal will be 
considered.

b. Competitive Considerations

    (1) The proposals submitted in response to the AOs are not 
necessarily fully comparable. However, all proposals within the 
scope of an opportunity must be evaluated in accordance with the 
criteria in the AO.
    (2) Cost must be considered in the evaluation if costs are 
involved in the investigation. General cost information should be 
given to the subcommittee by the Installation Project Office for use 
in determining the categories into which the subcommittee places 
proposals.
    (3) Further information should be obtained, as necessary, by the 
Installation Project 

[[Page 40531]]
Office and/or any other evaluation group authorized by the selection 
official and from the investigators whose proposals are being 
considered. This is similar to the procurement procedure for 
conducting written and oral discussions. A major consideration 
during discussions is to avoid unfairness and unequal treatment. 
Good judgment is required by in the extent and content of the 
discussions. There should be no reluctance in obtaining the advice 
and guidance of management and staff offices during the discussion 
phase. A summary should be prepared of the primary points covered in 
the written and oral discussions and show the effect of the 
discussions on the evaluation of proposals. This summary should also 
contain general information about the questions submitted to the 
investigators, the amount of time spent in oral discussion, and 
revisions in proposals, if any, resulting from the discussions.
    (4) During the conduct of discussions, all proposers being 
considered shall be offered an equitable opportunity to submit cost, 
technical, or other revisions in their proposals as may result from 
the discussions. All proposers shall be informed that any revisions 
to their proposals must be submitted by a common cut-off date in 
order to be considered. The record should note compliance of the 
investigators with that cut-off date.
    3. Significant items for consideration before award:
    a. Issuance of a Request for Proposal (RFP)--A formal RFP should 
not be issued to obtain additional information on proposals accepted 
under the AO process. Additional technical, cost, or other data 
received should be considered as a supplement to the original 
proposal.
    b. Selection of Investigator/Contractor--The selection decision 
of the Program AA approves the selected investigators and their 
institutions as the only satisfactory sources for the 
investigations. The selection of the investigator does not 
constitute the selection of that person's proposed supporting 
hardware fabricator unless the selection official specifically 
incorporates the fabricator in the selection decision.

702  Application of the Federal Acquisition Regulation (FAR) and 
the NASA FAR Supplement (NFS)

    The AO process supplants normal procurement procedures only to 
the extent necessary to meet the distinctive features of the 
process. This process is not intended to conflict with any 
established statutory requirements. The FAR, the NFS, and related 
procurement directives should be used for guidance in those 
instances where instructions are not in this Handbook.

703  Other Administrative and Functional Requirements

    After selection, all other applicable administrative and 
functional requirements will be complied with or incorporated in any 
resultant contract. These may include requirements contained in such 
publications as NHB 5300.4(1B), ``Quality Program Provisions for 
Aeronautical and Space System Contractors,'' and NHB 9501.2, 
``Procedures for Contractor Reporting of Correlated Cost and 
Performance Data.''

Appendix A: Format of Announcement of Opportunity (AO)

OMB Approval Number 2700-0085

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION, Washington, DC 20546

ANNOUNCEMENT OF OPPORTUNITY

AO No. ________ (Issuance Date)

(Descriptive Heading)

I. Description of the Opportunity

    This section should set forth the basic purpose of the AO and 
describe the opportunity in terms of NASA's desire to obtain 
proposals which will meet the stated scientific, applications and/or 
technological objectives. These objectives may be directed to the 
generation of proposals for investigations and/or they may pertain 
to the acquisition of dissimilar ideas leading to selection of 
investigators, guest observers, guest investigators, or theorists; 
and/or any other approved area as identified in NHB 8030.6. In those 
instances where proposals for investigations are sought, this 
section should describe the requirement, if any, for selected 
investigators to serve on advisory or working groups. In those 
instances where the project or program has not yet been approved, an 
qualifying statement should be included to indicate that this AO 
does not constitute an obligation for the Government to carry the 
effort to completion.

II. AO Objectives

    This section will give a succinct statement of the specific 
scientific, applications, and/or technological objective(s) for the 
opportunity(s) for which proposals are sought.

III. Background

    This section should provide an explanation of the context of the 
opportunity, i.e., information which will help the reader understand 
the relevance of the opportunity.

IV. Proposal Opportunity Period

    This section should provide the proposal opportunity period(s). 
The following methods may be used individually or in conjunction for 
establishing the proposal opportunity period(s):
    1. The AO may be issued establishing a single date by which 
proposals may be received. However, the AO could provide that the 
agency may amend the AO to provide for subsequent dates for 
submission of proposals, if additional investigations are desired.
    2. The AO may be issued to provide for an initial submission 
date with the AO to remain open for submission of additional 
proposals up to a final cutoff date. This final date should be 
related to the availability of resources necessary to evaluate the 
continuous flow of proposals and the time remaining prior to the 
flight opportunities contemplated by the AO.
    3. The AO may be issued establishing a number of dates by which 
proposals may be received. Normally no more than three proposal 
submission dates should be established. The submittal dates may be 
spread over the number of months most compatible with the possible 
flight opportunities and the availability of resources necessary to 
evaluate and fund the proposal. If desired, this section should 
further inform the reader that if a proposal receives a Category I, 
II, or III rating but is not selected for immediate support, the 
proposal may, if desired by the proposer, be held by NASA for later 
consideration within the ground rules set forth in paragraphs 1 and 
2. The section should inform the reader that if the person wishes 
the proposal to be so treated, it should be indicated in the 
proposal. This section should further indicate that offerors whose 
proposals are to be considered at a later time will be given the 
opportunity to revalidate their proposals with their institution and 
update cost data.

V. Requirements and Constraints

    1. This section will include technical, programmatic, cost, and 
schedule requirements or constraints, as applicable, and will 
specify performance limits such as lifetime, flight environment, 
safety, reliability, and quality assurance provisions for flight-
worthiness. It will specify the requirements and constraints related 
to the flight crew and the ground support. It will also include 
requirements for data analysis, estimated schedule of data shipment 
to user or observer, need for preliminary or raw data analysis and 
interim reports. It will specify planned period (time) for data 
analysis to be used for budgeting. It will provide any additional 
information necessary for a meaningful proposal.
    2. When NASA determines that instrumentation, ground support 
equipment, or NASA supporting effort will be required or may be 
expected to be required by the contemplated investigations, the AO 
should indicate to the potential investigators that they must submit 
specific information regarding this requirement to allow an in-depth 
evaluation of the technical aspects, cost, management, and other 
factors by the Installation Project Office.

VI. Proposal Submission Information

    1. Preproposal Activities--In this section, the AO will indicate 
requirements and activities such as the following:
    a. Submittal of ``Notice of Intent'' to propose (if desired), 
date for submission, and any additional required data to be 
submitted. Indicate whether there are information packages which 
will only be sent to those who submit ``Notice of Intent.''
    b. Attendance at the preproposal conference (if held). 
Information should be provided as to time, place, whether attendance 
will be restricted in number from each institution, and whether 
prior notice of intention to attend is required. If desired, a 
request may be included that questions be submitted in writing 
several days before the conference in order to prepare replies.
    c. The name and address of the scientific or technical contact 
for questions or inquiries.
    d. Any other preproposal data considered necessary.
    2. Format of Proposals--This section should provide the 
investigator with the 

[[Page 40532]]
information necessary to enable an effective evaluation of the 
proposal. The information is as follows:
    a. Proposal--The AO should indicate how the proposal should be 
submitted to facilitate evaluation. The proposal should be submitted 
in at least two sections; (1) Investigation and Technical Section; 
and (2) Management and Cost Section.
    b. Certification--The proposal must be signed by an 
institutional official authorized to certify institutional support, 
sponsorship of the investigation, management, and financial aspects 
of the proposal.
    c. Quantity--The number of copies of the proposal should be 
specified. One copy should be clear black and white, and on white 
paper of quality suitable for reproduction.
    d. Submittal Address--Proposals from domestic sources should be 
mailed to arrive not later than the time indicated for receipt of 
proposals to:

National Aeronautics and Space Administration Office of (Program)
Code ______ AO No. ______
Washington, DC 20546

    e. Format--To aid in proposal evaluation, and to facilitate 
comparative analysis, a uniform proposal format will be required for 
each AO. The number of pages, page size, and restriction on photo 
reduction, etc., may be included. The format contained in Appendix C 
can be used as a guide. Proposers may be requested to respond to all 
of the items or the AO may indicate that only selected items need be 
addressed. Using the Appendix format as a guide, specific guidelines 
may be prepared for the AO or an appropriate form developed.
    3. Additional Information--This section may be used to request 
or furnish data necessary to obtain clear proposals that should not 
require further discussions with the proposer by the evaluators. 
Other pertinent data could also be included, such as significant 
milestones.
    4. Foreign Proposals--The procedures for submission of proposals 
from outside the U.S. are contained in Appendix B, ``General 
Instructions and Provisions.'' This section will describe any 
additional requirements, for example, if information copies of 
proposals are required to be furnished by the proposer to other 
organizations at the same time the proposal is submitted.
    5. Cost Proposals (U.S. Investigators Only)--This section 
defines any special requirements regarding cost proposals of 
domestic investigators. Reference then should be made to the cost 
proposal certifications indicated in Appendix B, ``General 
Instructions and Provisions.''

VII. Proposal Evaluation, Selection, and Implementation

1. Evaluation and Selection Procedure

    a. This section should notify the proposers of the evaluation 
process.
    b. For example, a statement similar to the following should be 
included: ``Proposals received in response to this AO will be 
reviewed by a subcommittee appointed by the (appropriate Program 
AA). The purpose of the review is to determine the scientific/
technical merit of the proposals in the context of this AO and so 
categorize the proposals. Those proposals which are considered to 
have the greatest scientific/technical merit are further reviewed 
for engineering, integration, management, and cost aspects by the 
Project Office at the installation responsible for the project. On 
the basis of these reviews, and the reviews of the responsible 
Program Office and the Steering Committee, the (appropriate Program 
Associate Administrator) will appoint/select the investigators/ 
investigations.''

2. Evaluation Criteria

    a. This section should indicate that the selection of proposals 
which best meet the specific scientific, applications, and/or 
technological objectives, stated in the AO, is the aim of the 
solicitation. This section should list the criteria to be used in 
the evaluation of proposals and indicate their relative importance. 
See paragraph 401, NHB 8030.6, for a listing of criteria generally 
appropriate.
    b. This section will also inform the proposers that cost and 
management factors, e.g., proposed small business participation in 
instrumentation fabrication or investigation support, will be 
separately considered.

VIII. Schedule

    This section should include the following, as applicable:
    1. Preproposal conference date.
    2. Notice of Intent submittal date.
    3. Proposal submittal date(s).
    4. Target date for announcement of selections.

IX. Appendices

    1. General Instructions and Provisions (must be attached to each 
AO).
    2. Other Pertinent Data, e.g., Spacelab Accommodations Data.

/s/ Associate Administrator for (Program)

Appendix B: General

Instructions and Provisions

I. Instrumentation and/or Ground Equipment

    By submitting a proposal, the investigator and institution agree 
that NASA has the option to accept all or part of the offeror's plan 
to provide the instrumentation or ground support equipment required 
for the investigation or NASA may furnish or obtain such 
instrumentation or equipment from any other source as determined by 
the selecting official. In addition, NASA reserves the right to 
require use, by the selected investigator, of Government 
instrumentation or property that becomes available, with or without 
modification, that will meet the investigative objectives.

II. Tentative Selections, Phased Development, Partial Selections, and 
Participation with Others

    By submitting a proposal, the investigator and the organization 
agree that NASA has the option to make a tentative selection pending 
a successful feasibility or definition effort. NASA has the option 
to contract in phases for a proposed experiment, and to discontinue 
the investigative effort at the completion of any phase. The 
investigator should also understand that NASA may desire to select 
only a portion of the proposed investigation and/or that NASA may 
desire the individual's participation with other investigators in a 
joint investigation, in which case the investigator will be given 
the opportunity to accept or decline such partial acceptance or 
participation with other investigators prior to a selection. Where 
participation with other investigators as a team is agreed to, one 
of the team members will normally be designated as its team leader 
or contact point.

III. Selection Without Discussion

    The Government reserves the right to reject any or all proposals 
received in response to this AO when such action shall be considered 
in the best interest of the Government. Notice is also given of the 
possibility that any selection may be made without discussion (other 
than discussions conducted for the purpose of minor clarification). 
It is therefore emphasized that all proposals should be submitted 
initially on the most favorable terms that the offeror can submit.

IV. Foreign Proposals

    See Appendix C, Section II, para. 3.

V. Treatment of Proposal Data

    It is NASA policy to use information contained in proposals and 
quotations for evaluation purposes only. While this policy does not 
require that the proposal or quotation bear a restrictive notice, 
offerors or quoters should place the following notice on the title 
page of the proposal or quotation and specify the information, 
subject to the notice by inserting appropriate identification, such 
as page numbers, in the notice. Information (data) contained in 
proposals and quotations will be protected to the extent permitted 
by law, but NASA assumes no liability for use and disclosure of 
information not made subject to the notice.

Restriction on Use and Disclosure of Proposal and Quotation Information 
(Data)

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

VI. Status of Cost Proposals (U.S. Proposals Only)

    The investigator's institution agrees that the cost proposal is 
for proposal evaluation and selection purposes, and that following 
selection and during negotiations leading to a definitive contract, 
the institution will be required to resubmit or execute a Standard 

[[Page 40533]]
Form (SF) Form 1411 ``Contract Pricing Proposal Cover Sheet'' and 
certifications and representations required by law and regulation.

VII. Late Proposals

    The Government reserves the right to consider proposals or 
modifications thereof received after the date indicated, should such 
action be in the interest of the Government.

VIII. Source of Space Transportation System Investigations

    Investigators are advised that candidate investigations for 
Space Transportation System (STS) missions can come from many 
sources.
IX. Disclosure of Proposals Outside Government

    NASA may find it necessary to obtain proposal evaluation 
assistance outside the Government. Where NASA determines it is 
necessary to disclose a proposal outside the Government for 
evaluation purposes, arrangements will be made with the evaluator 
for appropriate handling of the proposal information. Therefore, by 
submitting a proposal the investigator and institution agree that 
NASA may have the proposal evaluated outside the Government. If the 
investigator or institution desire to preclude NASA from using an 
outside evaluation, the investigator or institution should so 
indicate on the cover. However, notice is given that if NASA is 
precluded from using outside evaluation, it may be unable to 
consider the proposal.

X. Equal Opportunity (U.S. Proposals Only)

    By submitting a proposal, the investigator and institution agree 
to accept the following clause in any resulting contract:

Equal Opportunity

    During the performance of this contract, the Contractor agrees 
as follows:
    1. The Contractor will not discriminate against any employee or 
applicant for employment because of race, color, religion, sex, or 
national origin.
    2. The Contractor will take affirmative action to ensure that 
applicants are employed, and that employees are treated during 
employment without regard to their race, color, religion, sex, or 
national origin. This shall include, but not be limited to, (a) 
employment, (b) upgrading, (c) demotion, (d) transfer, (e) 
recruitment or recruitment advertising, (f) layoff or termination, 
(g) rates of pay or other forms of compensation, and (h) selection 
for training, including apprenticeship.
    3. The Contractor shall post in conspicuous places available to 
employees and applicants for employment the notices to be provided 
by the Contracting Officer that explain this clause.
    4. The Contractor shall, in all solicitations or advertisements 
for employees placed by or on behalf of the Contractor, state that 
all qualified applicants will receive consideration for employment 
without regard to race, color, religion, sex, or national origin.
    5. The Contractor shall send to each labor union or 
representative of workers with which it has a collective bargaining 
agreement or other contract or understanding the notice to be 
provided by the Contracting Officer, advising the labor union or 
workers' representative of the Contractor's commitments under this 
clause, and post copies of the notice in conspicuous places 
available to employees and applicants for employment.
    6. The Contractor shall comply with Executive Order 11246, as 
amended, and the rules, regulations, and orders of the Secretary of 
Labor.
    7. The Contractor shall furnish to the contracting agency all 
information required by Executive Order 11246, as amended, and by 
the rules, regulations, and orders of the Secretary of Labor. 
Standard Form 100 (EEO-1), or any successor form, is the prescribed 
form to be filed within 30 days following the award, unless filed 
within 12 months preceding the date of award.
    8. The Contractor shall permit access to its books, records, and 
accounts by the contracting agency or the Office of Federal Contract 
Compliance Programs (OFCCP) for the purposes of investigation to 
ascertain the Contractor's compliance with the applicable rules, 
regulations, and orders.
    9. If the OFCCP determines that the Contractor is not in 
compliance with this clause or any rule, regulation, or order of the 
Secretary of Labor, the contract may be canceled, terminated, or 
suspended in whole or in part, and the Contractor may be declared 
ineligible for further Government contracts, under the procedures 
authorized in Executive Order 11246, as amended. In addition, 
sanctions may be imposed and remedies invoked against the Contractor 
as provided in Executive Order 11246, as amended, the rules, 
regulations, and orders of the Secretary of Labor, or as otherwise 
provided by law.
    10. The Contractor shall include the terms and conditions of 
subparagraph 1 through 9 of this clause in every subcontract or 
purchase order that is not exempted by the rules, regulations, or 
orders of the Secretary of Labor issued under Executive Order 11246, 
as amended, so that these terms and conditions will be binding upon 
each subcontractor or vendor.
    11. The Contractor shall take such action with respect to any 
subcontract or purchase order as the contracting agency may direct 
as means of enforcing these terms and conditions, including 
sanctions for non-compliance; provided, that if the Contractor 
becomes involved in, or is threatened with, litigation with a 
subcontractor or vendor as a result of direction, the Contractor may 
request the United States to enter into the litigation to protect 
the interests of the United States.
XI. Patent Rights

    1. For any contract resulting from this solicitation awarded to 
other than a small business firm or nonprofit organization, the 
clause at NFS 1852.227-70, ``New Technology,'' shall apply. Such 
contractors may, in advance of contract, request waiver of rights as 
set forth in the provision at NFS 1852.227-71, ``Requests for Waiver 
of Rights to Inventions.''
    2. For any contract resulting from this solicitation awarded to 
a small business firm or nonprofit organization, the clause at FAR 
52.227-11, ``Patent Rights--Retention by the Contractor (Short 
Form)'' (as modified by NFS 1852.227-11), shall apply.

Appendix C: Guidelines for Proposal Preparation

    The following guidelines apply to the preparation of proposals 
in response to an AO. The material is a guide for the proposer and 
not intended to be encompassing or directly applicable to the 
various types of proposals which can be submitted. The proposer 
should provide information relative to those items applicable or as 
required by the AO.

I. Cover Letter

    A letter or cover page should be forwarded with the proposal 
signed by the investigator and an official by title of the 
investigator's organization who is authorized to commit the 
organization responsible for the proposal.

II. Table of Contents

    The proposal should contain a table of contents.

III. Identifying Information

    The proposal should contain a short descriptive title for the 
investigation, the names of all investigators, the name of the 
organization or institution and the full name, address, and 
telephone number of the Principal Investigator.

SECTION I--INVESTIGATION AND TECHNICAL PLAN

1. Investigation and Technical Plan

    The investigation and technical plan generally will contain the 
following:
    a. Summary. A concise statement about the investigation, its 
conduct, and the anticipated results.
    b. Objective and Significant Aspects. A brief definition of the 
objectives, their value, and their relationships to past, current, 
and future effort. The history and basis for the proposal and a 
demonstration of the need for such an investigation. A statement of 
present development in the discipline field.
    c. Investigation Approach
    (1) Fully describe the concept of the investigation.
    (2) Detail the method and procedures for carrying out the 
investigation.

2. Instrumentation

    This section should describe all information necessary to plan 
for experiment development, integration, ground operations, and 
flight operations. This section must be complete in itself without 
need to request additional data. Failure to furnish complete data 
may preclude evaluation of the proposal.
    a. Instrument Description--This section should fully describe 
the instrumentation and indicate items which are proposed to be 
developed as well as any existing instrumentation. Performance 
characteristics should be related to the experiment objectives as 
stated in the proposal.
    b. Instrument Integration--This section should describe all 
parameters of the instrument pertinent to the accommodation of the 
instrument in the spacecraft, Spacelab, 

[[Page 40534]]
Shuttle Orbiter, Space Station, etc. These include, but are not limited 
to, volumetric envelope; weight; power requirements; thermal 
requirements; telemetry requirement; sensitivity to or generation of 
contamination (e.g., EMI gaseous effluent); data processing 
requirements.
    c. Ground Operations--This section should identify requirements 
for pre-launch or post-launch ground operations support.
    d. Flight Operations--This section should identify any 
requirements for flight operations support including mission 
planning. Operational constraints, viewing requirements, and 
pointing requirements should also be identified. Details of 
communications needs, tracking needs, and special techniques, such 
as extravehicular activity or restrictions in the use of control 
thrusters at stated times should be delineated. Special 
communications facilities that are needed must be described. Any 
special orbital requirements, such as time of month, of day, phase 
of moon, and lighting conditions are to be given in detail. Describe 
real-time ground support requirements and indicate any special 
equipment or skills required of ground personnel.

3. Data Reduction and Analysis

    A discussion of the data reduction and analysis plan including 
the method and format. A section of the plan should include a 
schedule for the submission of reduced data to the receiving point. 
In the case of Space Science programs, the National Space Science 
Data Center, Greenbelt, MD, will be the repository for such data and 
the Department of the Interior, Sioux Falls, SD, for earth 
observations data.

4. Orbiter Crew and/or Payload Specialist Training Requirement

    A description of the tasks required of each crew member 
(Commander, Pilot, Mission Specialist) or payload specialist should 
be provided, including the task duration and equipment involved. 
Indicate special training necessary to provide the crew members or 
payload specialist(s) with the capability for performing the 
aforementioned tasks.

SECTION II--MANAGEMENT PLAN AND COST PLAN

A. Management Plan
    The management plan should summarize the management approach and 
the facilities and equipment required. Additional guidelines 
applicable to non-U.S. proposers are contained herein:

1. Management

    a. The management plan sets forth the approach for managing the 
work, the recognition of essential management functions, and the 
overall integration of these functions.
    b. The management plan gives insight into the organization 
proposed for the work, including the internal operations and lines 
of authority with delegations, together with internal interfaces and 
relationships with the NASA major subcontractors and associated 
investigators. Likewise, the management plan usually reflects 
various schedules necessary for the logical and timely pursuit of 
the work accompanied by a description of the investigator's work 
plan and the responsibilities of the co-investigators.
    c. The plan should describe the proposed method of instrument 
acquisition. It should include the following, as applicable.
    (1) Rationale for the investigator to obtain the instrument 
through or by the investigator's institution.
    (2) Method and basis for the selection of the instrument 
fabricator.
    (3) Unique capabilities of the instrument fabricator that are 
not available from any other source.
    (4) Characteristics of the proposed fabricator's instrument that 
make it an inseparable part of the investigation.
    (5) Availability of personnel to administer the instrument 
contract and technically monitor the fabrication.
    (6) Status of development of the instrument.
    (7) Method by which the investigator proposes to:
    (a) Prepare instrument specifications.
    (b) Review development progress.
    (c) Review design and fabrication changes.
    (d) Participate in testing program.
    (e) Participate in final checkout and calibration.
    (f) Provide for integration of instrument.
    (g) Support the flight operations.
    (h) Coordinate with co-investigators, other related 
investigations, and the payload integrator.
    (i) Assure safety, reliability, and quality.
    (j) Provide required support for Payload Specialist(s), if 
applicable.
    (8) Planned participation by small and/or minority business in 
any subcontracting for instrument fabrication or investigative 
support functions.

2. Facilities and Equipment

    All major facilities, laboratory equipment, and ground-support 
equipment (GSE) (including those of the investigator's proposed 
contractors and those of NASA and other U.S. Government agencies) 
essential to the experiment in terms of its system and subsystems 
are to be indicated, distinguishing insofar as possible between 
those already in existence and those that will be developed in order 
to execute the investigation. The outline of new facilities and 
equipment should also indicate the lead time involved and the 
planned schedule for construction, modification, and/or acquisition 
of the facilities.

3. Additional Guidelines Applicable to Non-U.S Proposers Only

    The following guidelines are established for foreign responses 
to NASA's AO. Unless otherwise indicated in a specific announcement, 
these guidelines indicate the appropriate measures to be taken by 
foreign proposers, prospective foreign sponsoring agencies, and NASA 
leading to the selection of a proposal and execution of appropriate 
arrangements. They include the following:
    a. Where a ``Notice of Intent'' to propose is requested, 
prospective foreign proposers should write directly to the NASA 
official designated in the AO and send a copy of this letter to the 
International Relations Division, Office of External Relations, Code 
IR, NASA, Washington, DC 20546, U.S.A.
    b. Unless otherwise indicated in the AO, proposals will be 
submitted in accordance with this Appendix excluding cost plans. 
Proposals should be typewritten and written in English.
    c. Persons planning to submit a proposal should arrange with an 
appropriate foreign governmental agency for a review and endorsement 
of the proposed activity. Such endorsement by a foreign organization 
indicates that the proposal merits careful consideration by NASA and 
that, if the proposal is selected, sufficient funds will be 
available to undertake the activity envisioned.
    d. Proposals including the requested number of copies and 
letters of endorsement from the foreign governmental agency must be 
forwarded to NASA in time to arrive before the deadline established 
for each AO. These documents should be sent to:

National Aeronautics and Space Administration
International Relations Division
Code IR
Office of External Relations
Washington, DC 20546
U.S.A.

    e. Those proposals received after the closing date will be 
treated in accordance with NASA's provisions for late proposals. 
Sponsoring foreign government agencies may, in exceptional 
situations, forward a proposal directly to the above address if 
review and endorsement is not possible before the announced closing 
date. In such cases, NASA should be advised when a decision on 
endorsement can be expected.
    f. Shortly after the deadline for each AO, NASA's International 
Relations Division will advise the appropriate sponsoring agency 
which proposals have been received and when the selection process 
should be completed. A copy of this acknowledgement will be provided 
to each proposer.
    g. Successful and unsuccessful proposers will be contacted 
directly by the NASA Program Office coordinating the AO. Copies of 
these letters will be sent to the sponsoring Government agency.
    h. NASA's International Relations Division will then begin 
making the arrangements to provide for the selectee's participation 
in the appropriate NASA program. Depending on the nature and extent 
of the proposed cooperation, these arrangements may entail:
    (1) A letter of notification by NASA.
    (2) An exchange of letters between NASA and the sponsoring 
foreign governmental agency.
    (3) An agreement or Memorandum of Understanding between NASA and 
the sponsoring foreign governmental agency.

B. Cost Plan (U.S. Investigations Only)

    The cost plan should summarize the total investigation cost by 
major categories of cost as well as by function.
    1. The categories of cost should include the following:
    a. Direct Labor--List by labor category, with labor hours and 
rates for each. Provide actual salaries of all personnel and the 
percentage of time each individual will devote to the effort.
    b. Overhead--Include indirect costs, which because of its 
incurrence for common or joint 

[[Page 40535]]
objectives, is not readily subject to treatment as a direct cost. 
Usually this is in the form of a percentage of the direct labor 
costs.
    c. Materials--This should give the total cost of the bill of 
materials including estimated cost of each major item. Include lead 
time of critical items.
    d. Subcontracts--List those over $25,000, specify the vendor and 
the basis for estimated costs. Include any baseline or supporting 
studies.
    e. Special Equipment--Include a list of special equipment with 
lead and/or development time.
    f. Travel--List estimated number of trips, destinations, 
duration, purpose, number of travelers, and anticipated dates.
    g. Other Costs--Costs not covered elsewhere.
    h. General and Administrative Expense--This includes the 
expenses of the institution's general and executive offices and 
other miscellaneous expenses related to the overall business.
    i. Fee (if applicable).
    2. Separate schedules, in the above format, should be attached 
to show total cost allocable to the following:
    a. Principal Investigator and other Investigators' costs.
    b. Instrument costs.
    c. Integration costs.
    d. Data reduction and analysis including the amount and cost of 
computer time.
    3. If the effort is sufficiently known and defined, a funding 
obligation plan should provide the proposed funding requirements of 
the investigations by quarter and/or annum keyed to the work 
schedule.

Appendix D: Glossary of Terms and Abbreviations Associated with 
Investigations

    Advisory Committee Subcommittee--Any committee, board, 
commission, council, conference, panel, task force; or other similar 
group, or any subcommittee or other subgroup thereof, that is not 
wholly composed of full-time Federal Government employees, and that 
is established or utilized by NASA in the interest of obtaining 
advice or recommendations.
    Announcement of Opportunity (AO)--A document used to announce 
opportunities to participate in NASA programs. AOs are published in 
accordance with this Handbook.
    AO Process--A term used to describe the program planning and 
procurement procedure used to acquire investigative effort, 
initiated by an AO.
    Categorization--The process whereby proposed investigations are 
classified into four categories: synopsized here as Category I--
recommended for immediate acceptance; Category II--recommended for 
acceptance but at a lower priority than Category I proposals; 
Category III--sound investigations requiring further development; 
Category IV--rejected.
    Co-Investigator (Co-I)--Associate of a Principal Investigator, 
responsible to the Principal Investigator for discrete portions or 
tasks of the investigation. A NASA employee can participate as a Co-
I on an investigation proposed by a private organization.
    Data Users--Participants in NASA programs, selected to perform 
investigations utilizing data from NASA payloads or facilities.
    Experiments--Activities or effort aimed at the generation of 
data. NASA-sponsored experiments generally concern generation of 
data obtained through measurement of aeronautical and space 
phenomena or use of space to observe earth phenomena.
    Federal Acquisition Regulation (FAR)--The regulations governing 
the conduct of procurement.
    Flight--That portion of the mission encompassing the period from 
launch to landing or launch to termination of the active life of 
spacecraft. The term shuttle ``flight'' means a single shuttle round 
trip--its launch, orbital activity, and return; one flight might 
deliver more than one payload. More than one flight might be 
required to accomplish one mission.
    Flight Investigation--Investigation conducted utilizing 
aeronautical or space instrumentation.
    Flight Opportunity--A flight mission designed to accommodate one 
or more experiments or investigations.
    Guest Investigators--Investigators selected to conduct 
observations and obtain data within the capability of a NASA 
mission, which are additional to the mission's primary objectives. 
Sometimes referred to as Guest Observers.
    Investigation--Used interchangeably with ``Experiments.''
    Investigation Team--A group of investigators collaborating on a 
single investigation.
    Investigator--A participant in an investigation. May refer to 
the Principal Investigator, Co-Investigator, or member of an 
investigation team.
    Mission--The performance of a coherent set of investigations or 
operations in space to achieve program goals. (Example: Measure 
detailed structure of Sun's chromosphere; survey mineral resources 
of North America.)
    NASA FAR Supplement (NFS)--Procurement regulations promulgated 
by NASA in addition to the FAR.
    NHB--NASA Handbook.
    NMI--NASA Management Instruction.
    Notice of Intent--A notice or letter submitted by a potential 
investigator indicating the intent to submit a proposal in response 
to an AO.
    Payload--A specific complement of instruments, space equipment, 
and support hardware carried to space to accomplish a mission or 
discrete activity in space.
    Peer Group--A gathering of experts in related disciplinary areas 
convened as a subcommittee of the Program Office Steering Committee 
to review proposals for flight investigations.
    Peer Review--The process of proposal review utilizing a group of 
peers in accordance with the categorization criteria as outlined in 
this Handbook.
    Principal Investigator (PI)--A person who conceives an 
investigation and is responsible for carrying it out and reporting 
its results. A NASA employee can participate as a PI only on a 
government-proposed investigation.
    Program--An activity involving human resources, materials, 
funding, and scheduling necessary to achieve desired goals.
    Project--Within a program, an undertaking with a scheduled 
beginning and ending, which normally involves the design, 
construction, and operation of one or more aeronautical or space 
vehicles and necessary ground support in order to accomplish a 
scientific or technical objective.
    Project Office--An office generally established at a NASA field 
installation to manage a project.
    Selection Official--The NASA official designated to determine 
the source for award of a contract or grant.
    Space Facility--An instrument or series of instruments in space 
provided by NASA to satisfy a general objective or need.
    Steering Committee--A standing NASA sponsored committee 
providing advice to the Program Associate Administrators and 
providing procedural review over the investigation selection 
process. Composed wholly of full-time Federal Government employees.
    Study Office--An office established at a NASA field installation 
to manage a potential undertaking which has not yet developed into 
project status.
    Subcommittee--An arm of the Program Office Steering Committee 
consisting of experts in relevant disciplines to review and 
categorize proposals for investigations submitted in response to an 
AO.
    Supporting Research and Technology (SR&T)---The programs devoted 
to the conduct of research and development necessary to support and 
sustain NASA programs.
    Team--A group of investigators responsible for carrying out and 
reporting the results of an investigation or group of 
investigations.
    Team Leader--The person appointed to manage and be the point of 
contact for the team and who is responsible for assigning respective 
roles and privileges to the team members and reporting the results 
of the investigation.
    Team Member--A person appointed to a team who is an associate of 
the other members of the team and is responsible to the team leader 
for assigned tasks or portions of the investigation.


1870.202  [Amended]

    187. In section 1870.202, paragraph (b) is revised to read as 
follows:


1870.202  System Content.

    (a) * * *
    (b) The system contains instructions for proposers. These 
instructions shall be included in the NRA, a form of broad agency 
announcement authorized at 1835.016.
    188. Section 1870.203 and Appendix I are revised to read as 
follows:


1870.203  Instructions for Responding to NRAs.

    (a) The ``Instructions for Responding to NASA Research 
Announcements'' document (prescribed in 1835.016-70(c)(4)) is set forth 
as Appendix I to this section. 

[[Page 40536]]

    (b) This Appendix may be reproduced locally as part of the NRA 
provided:
    (1) The issuing office shall verify that the current version of 
Appendix I is used.
    (2) The text shall be reproduced verbatim; however, the issuing 
office may remove the NFS page headers and add the NRA number. Any 
other change shall be treated as a deviation in accordance with 
1801.400.

Appendix I to 1870.203--Instructions for Responding to NASA Research 
Announcements Instructions for Responding to Nasa Research 
Announcements

(June 1995)

1. Foreword

    a. These instructions apply to ``NASA Research Announcements.'' 
The ``NASA Research Announcement (NRA)'' permits competitive 
selection of research projects in accordance with statute while 
preserving the traditional concepts and understandings associated 
with NASA sponsorship of research.
    b. These instructions are Appendix I to 1870.203 of the NASA 
Federal Acquisition Regulation Supplement.

2. Policy

    a. Proposals received in response to an NRA will be used only 
for evaluation purposes. NASA does not allow a proposal, the 
contents of which are not available without restriction from another 
source, or any unique ideas submitted in response to an NRA to be 
used as the basis of a solicitation or in negotiation with other 
organizations, nor is a pre-award synopsis published for individual 
proposals.
    b. A solicited proposal that results in a NASA award becomes 
part of the record of that transaction and may be available to the 
public on specific request; however, information or material that 
NASA and the awardee mutually agree to be of a privileged nature 
will be held in confidence to the extent permitted by law, including 
the Freedom of Information Act.
3. Purpose

    These instructions supplement documents identified as ``NASA 
Research Announcements.'' The NRAs contain programmatic information 
and certain requirements which apply only to proposals prepared in 
response to that particular announcement. These instructions contain 
the general proposal preparation information which applies to 
responses to all NRAs.

4. Relationship to Award

    a. A contract, grant, cooperative agreement, or other agreement 
may be used to accomplish an effort funded in response to an NRA. 
NASA will determine the appropriate instrument.
    b. Grants are generally used to fund basic research in 
educational and nonprofit institutions, while research in other 
private sector organizations is accomplished under contract. 
Contracts resulting from NRAs are subject to the Federal Acquisition 
Regulation and the NASA FAR Supplement (NHB 5100.4). Any resultant 
grants or cooperative agreements will be awarded and administered in 
accordance with the NASA Grant and Cooperative Agreement Handbook 
(NHB 5800.1).

5. Conformance to Guidance

    a. NASA does not have mandatory forms or formats for responses 
to NRAs; however, it is requested that proposals conform to the 
guidelines in these instructions. NASA may accept proposals without 
discussion; hence, proposals should initially be as complete as 
possible and be submitted on the proposers' most favorable terms.
    b. To be considered responsive, a submission must, at a minimum, 
present a specific project within the areas delineated by the NRA; 
contain sufficient technical and cost information to permit a 
meaningful evaluation; be signed by an official authorized to 
legally bind the submitting organization; not merely offer to 
perform standard services or to just provide computer facilities or 
services; and not significantly duplicate a more specific current or 
pending NASA solicitation.

6. NRA-Specific Items

    Several proposal submission items appear in the NRA itself: the 
unique NRA identifier; when to submit proposals; where to send 
proposals; number of copies required; and sources for more 
information. Items included in these instructions may be 
supplemented by the NRA.

7. Proposal Contents

    a. The following information is needed to permit consideration 
in an objective manner. NRAs will generally specify topics for which 
additional information or greater detail is desirable. Each proposal 
copy shall contain all submitted material, including a copy of the 
transmittal letter if it contains substantive information.
    b. Transmittal Letter or Prefatory Material. (1) The legal name 
and address of the organization and specific division or campus 
identification if part of a larger organization;
    (2) A brief, scientifically valid project title intelligible to 
a scientifically literate reader and suitable for use in the public 
press;
    (3) Type of organization: e.g., profit, nonprofit, educational, 
small business, minority, women-owned, etc.;
    (4) Name and telephone number of the principal investigator and 
business personnel who may be contacted during evaluation or 
negotiation;
    (5) Identification of other organizations that are currently 
evaluating a proposal for the same efforts;
    (6) Identification of the NRA, by number and title, to which the 
proposal is responding;
    (7) Dollar amount requested, desired starting date, and duration 
of project;
    (8) Date of submission; and
    (9) Signature of a responsible official or authorized 
representative of the organization, or any other person authorized 
to legally bind the organization (unless the signature appears on 
the proposal itself).
    c. Restriction on Use and Disclosure of Proposal Information. 
Information contained in proposals is used for evaluation purposes 
only. Offerors or quoters should, in order to maximize protection of 
trade secrets or other information that is confidential or 
privileged, place the following notice on the title page of the 
proposal and specify the information subject to the notice by 
inserting appropriate identification, such as page numbers, in the 
notice. In any event, information contained in proposals will be 
protected to the extent permitted by law, but NASA assumes no 
liability for use and disclosure of information not made subject to 
the notice.

Notice

Restriction on Use and Disclosure of Proposal Information.

    The information (data) contained in [insert page numbers or 
other identification] of this proposal constitutes a trade secret 
and/or information that is commercial or financial and confidential 
or privileged. It is furnished to the Government in confidence with 
the understanding that it will not, without permission of the 
offeror, be used or disclosed other than for evaluation purposes; 
provided, however, that in the event a contract (or other agreement) 
is awarded on the basis of this proposal the Government shall have 
the right to use and disclose this information (data) to the extent 
provided in the contract (or other agreement). This restriction does 
not limit the Government's right to use or disclose this information 
(data) if obtained from another source without restriction.
    d. Abstract. Include a concise (200-300 word if not otherwise 
specified in the NRA) abstract describing the objective and the 
method of approach.
    e. Project Description. (1) The main body of the proposal shall 
be a detailed statement of the work to be undertaken and should 
include objectives and expected significance; relation to the 
present state of knowledge; and relation to previous work done on 
the project and to related work in progress elsewhere. The statement 
should outline the plan of work, including the broad design of 
experiments to be undertaken and a description of experimental 
methods and procedures. The project description should address the 
evaluation factors in these instructions and any specific factors in 
the NRA. Any substantial collaboration with individuals not referred 
to in the budget or use of consultants should be described. 
Subcontracting significant portions of a research project is 
discouraged.
    (2) When it is expected that the effort will require more than 
one year, the proposal should cover the complete project to the 
extent that it can be reasonably anticipated. Principal emphasis 
should be on the first year of work, and the description should 
distinguish clearly between the first year's work and work planned 
for subsequent years.
    f. Management Approach. For large or complex efforts involving 
interactions among numerous individuals or other organizations, 
plans for distribution of responsibilities and arrangements for 
ensuring a coordinated effort should be described. Intensive working 
relations with NASA field centers that are not logical inclusions 
elsewhere in the proposal should be described. 

[[Page 40537]]

    g. Personnel. The principal investigator is responsible for 
supervision of the work and participates in the conduct of the 
research regardless of whether or not compensated under the award. A 
short biographical sketch of the principal investigator, a list of 
principal publications and any exceptional qualifications should be 
included. Omit social security number and other personal items which 
do not merit consideration in evaluation of the proposal. Give 
similar biographical information on other senior professional 
personnel who will be directly associated with the project. Give the 
names and titles of any other scientists and technical personnel 
associated substantially with the project in an advisory capacity. 
Universities should list the approximate number of students or other 
assistants, together with information as to their level of academic 
attainment. Any special industry-university cooperative arrangements 
should be described.
    h. Facilities and Equipment. (1) Describe available facilities 
and major items of equipment especially adapted or suited to the 
proposed project, and any additional major equipment that will be 
required. Identify any Government-owned facilities, industrial plant 
equipment, or special tooling that are proposed for use.
    (2) Before requesting a major item of capital equipment, the 
proposer should determine if sharing or loan of equipment already 
within the organization is a feasible alternative. Where such 
arrangements cannot be made, the proposal should so state. The need 
for items that typically can be used for research and non-research 
purposes should be explained.
    i. Proposed Costs. (1) Proposals should contain cost and 
technical parts in one volume: do not use separate ``confidential'' 
salary pages. As applicable, include separate cost estimates for 
salaries and wages; fringe benefits; equipment; expendable materials 
and supplies; services; domestic and foreign travel; ADP expenses; 
publication or page charges; consultants; subcontracts; other 
miscellaneous identifiable direct costs; and indirect costs. List 
salaries and wages in appropriate organizational categories (e.g., 
principal investigator, other scientific and engineering 
professionals, graduate students, research assistants, and 
technicians and other non-professional personnel). Estimate all 
manpower data in terms of man-months or fractions of full-time.
    (2) Explanatory notes should accompany the cost proposal to 
provide identification and estimated cost of major capital equipment 
items to be acquired; purpose and estimated number and lengths of 
trips planned; basis for indirect cost computation (including date 
of most recent negotiation and cognizant agency); and clarification 
of other items in the cost proposal that are not self-evident. List 
estimated expenses as yearly requirements by major work phases. 
(Standard Form 1411 may be used).
    (3) Allowable costs are governed by FAR Part 31 and the NASA FAR 
Supplement Part 1831 (and OMB Circulars A-21 for educational 
institutions and A-122 for nonprofit organizations).
    j. Security. Proposals should not contain security classified 
material. If the research requires access to or may generate 
security classified information, the submitter will be required to 
comply with Government security regulations.
    k. Current Support. For other current projects being conducted 
by the principal investigator, provide title of project, sponsoring 
agency, and ending date.
    l. Special Matters. (1) Include any required statements of 
environmental impact of the research, human subject or animal care 
provisions, conflict of interest, or on such other topics as may be 
required by the nature of the effort and current statutes, executive 
orders, or other current Government-wide guidelines.
    (2) Proposers should include a brief description of the 
organization, its facilities, and previous work experience in the 
field of the proposal. Identify the cognizant Government audit 
agency, inspection agency, and administrative contracting officer, 
when applicable.

8. Renewal Proposals

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

9. Length

    Unless otherwise specified in the NRA, effort should be made to 
keep proposals as brief as possible, concentrating on substantive 
material. Few proposals need exceed 15-20 pages. Necessary detailed 
information, such as reprints, should be included as attachments. A 
complete set of attachments is necessary for each copy of the 
proposal. As proposals are not returned, avoid use of ``one-of-a-
kind'' attachments: their availability may be mentioned in the 
proposal.
10. Joint Proposals

    a. Where multiple organizations are involved, the proposal may 
be submitted by only one of them. It should clearly describe the 
role to be played by the other organizations and indicate the legal 
and managerial arrangements contemplated. In other instances, 
simultaneous submission of related proposals from each organization 
might be appropriate, in which case parallel awards would be made.
    b. Where a project of a cooperative nature with NASA is 
contemplated, describe the contributions expected from any 
participating NASA investigator and agency facilities or equipment 
which may be required. The proposal must be confined only to that 
which the proposing organization can commit itself. ``Joint'' 
proposals which specify the internal arrangements NASA will actually 
make are not acceptable as a means of establishing an agency 
commitment.

11. Late Proposals

    A proposal or modification received after the date or dates 
specified in an NRA may be considered if the selecting official 
deems it to offer NASA a significant technical advantage or cost 
reduction.

12. Withdrawal

    Proposals may be withdrawn by the proposer at any time. Offerors 
are requested to notify NASA if the proposal is funded by another 
organization or of other changed circumstances which dictate 
termination of evaluation.

13. Evaluation Factors

    a. Unless otherwise specified in the NRA, the principal elements 
(of approximately equal weight) considered in evaluating a proposal 
are its relevance to NASA's objectives, intrinsic merit, and cost.
    b. Evaluation of a proposal's relevance to NASA's objectives 
includes the consideration of the potential contribution of the 
effort to NASA's mission.
    c. Evaluation of its intrinsic merit includes the consideration 
of the following factors, none of which is more important than any 
other:
    (1) Overall scientific or technical merit of the proposal or 
unique and innovative methods, approaches, or concepts demonstrated 
by the proposal.
    (2) Offeror's capabilities, related experience, facilities, 
techniques, or unique combinations of these which are integral 
factors for achieving the proposal objectives.
    (3) The qualifications, capabilities, and experience of the 
proposed principal investigator, team leader, or key personnel 
critical in achieving the proposal objectives.
    (4) Overall standing among similar proposals and/or evaluation 
against the state-of- the-art.
    d. Evaluation of the cost of a proposed effort includes the 
realism and reasonableness of the proposed cost and available funds.

14. Evaluation Techniques

    Selection decisions will be made following peer and/or 
scientific review of the proposals. Several evaluation techniques 
are regularly used within NASA. In all cases proposals are subject 
to scientific review by discipline specialists in the area of the 
proposal. Some proposals are reviewed entirely in-house, others are 
evaluated by a combination of in-house and selected external 
reviewers, while yet others are subject to the full external peer 
review technique (with due regard for conflict-of-interest and 
protection of proposal information), such as by mail or through 
assembled panels. The final decisions are made by a NASA selecting 
official. A proposal which is scientifically and programmatically 
meritorious, but not selected for award during its initial review, 
may be included in subsequent reviews unless the proposer requests 
otherwise. 

[[Page 40538]]


15. Selection for Award

    a. When a proposal is not selected for award, and the proposer 
has indicated that the proposal is not to be held for subsequent 
reviews, the proposer will be notified. NASA will explain generally 
why the proposal was not selected. Proposers desiring additional 
information may contact the selecting official who will arrange a 
debriefing.
    b. When a proposal is selected for award, negotiation and award 
will be handled by the procurement office in the funding 
installation. The proposal is used as the basis for negotiation. The 
contracting officer may request certain business data and may 
forward a model contract and other information which will be of use 
during the contract negotiation.

16. Cancellation of NRA

    NASA reserves the right to make no awards under this NRA and to 
cancel this NRA. NASA assumes no liability for cancelling the NRA or 
for anyone's failure to receive actual notice of cancellation. 
Cancellation may be followed by issuance and synopsis of a revised 
NRA, since amendment of an NRA is normally not permitted.

[FR Doc. 95-19144 Filed 8-8-95; 8:45 am]
BILLING CODE 7510-01-P