![](media/image1.wmf){width="0.8243055555555555in"
height="0.6888888888888889in"}

Procurement Notice

National Aeronautics and

Space Administration

Washington, DC 20546

**PN 04-18**

**October 19, 2006**

**SMALL BUSINESS INNOVATION RESEARCH (SBIR) AND SMALL BUSINESS
TECHNOLOGY TRANSFER (STTR) CONTRACTOR RECERTIFICATION OF PROGRAM
COMPLIANCE**

***BACKGROUND:*** This PN revises the NASA FAR Supplement Parts 1819 and
1852 to require that all research and development contracts awarded
under the SBIR and STTR Programs include the clause at 1852.219-85,
Conditions for Final Payment -- SBIR and STTR Contracts. This clause
provides direction to the contractor regarding completion and submission
of a recertification requirement prior to, and as a condition of, final
payment. In addition, this PN revises the NFS to require use of related
clauses at 1852.219-80, Limitation on Subcontracting--SBIR Phase I
Program, 1852.219-81, Limitation on Subcontracting--SBIR Phase II
Program, and 1852.219-82, Limitation on Subcontracting--STTR Program in
the respective SBIR and STTR contracts to delineate the subcontracting
limitations necessary for contract performance. This PN also revises the
NFS to require use of clauses at 1852.219-83, Limitation of the
Principal Investigator-SBIR Program, and 1852.219-84, Limitation of the
Principal Investigator-STTR Program, to describe the employment
requirements of the principal investigator.

These changes are necessary for use in contracts awarded under the SBIR
and STTR programs to facilitate the Government's ability to hold the
SBIR/STTR contractors accountable for complying with Federal statute,
regulation, and SBIR/STTR program requirements. Specifically, clause NFS
1852.219-85 will require SBIR/STTR contractors to recertify that: they
have not received funding (compensation) from other federal agencies for
essentially equivalent work as performed under their NASA contract; the
contract deliverables provided under the NASA contract have not been
delivered to other federal agencies; subcontracting limitations have
been observed; and principal investigator employment requirements have
been met.

This change is necessary to hold SBIR/STTR contractors accountable to
SBIR/STTR program requirements, to assist the NASA OIG in pursuing cases
where SBIR/STTR contractors have knowingly and willfully violated
SBIR/STTR program requirements, and to hold SBIR/STTR contractors
accountable for criminal and civil violations.

***ACQUISITIONS AFFECTED BY CHANGES:*** This change affects SBIR/STTR
acquisitions.

***ACTION REQUIRED BY CONTRACTING OFFICERS:*** NASA contracting officers
shall ensure the new clauses are incorporated into all SBIR and STTR
solicitations and resultant contracts.

***CLAUSE CHANGES*:**  Sections 1852.219-80, 1852.219-81, 1852.219-82,
1852.219-83, 1852.219-84, and 1852.219-85 are added.

***PARTS AFFECTED*:**  Parts 1819 and 1852.

***REPLACEMENT PAGES*:**  You may use the enclosed pages to replace Part
1819, 52:1 through 52:10, and 52:37 through 52:46, 52:46.1 (added) and
52:46.2 (added) of the NFS.

***TYPE OF RULE AND PUBLICATION DATE*:** The PN was published as a final
rule in the Federal Register (71 FR 61687 - 61689) on October 19, 2006.

***HEADQUARTERS CONTACT*:**  Marilyn J. Seppi, NASA, Office of
Procurement, Contract Management Division, (202) 358-0447, e-mail:
Marilyn.Seppi-1@nasa.gov.

 

 

James A. Balinskas

Director, Contract Management Division

Enclosures

 

**DISTRIBUTION LIST:**

**  PN List** 

PART 1819

**SMALL BUSINESS PROGRAMS**

# TABLE OF CONTENTS

1819.001 Definitions.

**SUBPART 1819.2 POLICIES**

1819.201 General policy.

**SUBPART 1819.3 DETERMINATION OF SMALL BUSINESS STATUS**

**FOR SMALL BUSINESS PROGRAMS**

1819.302 Protesting a small business representation.

**SUBPART 1819.5 SET-ASIDES FOR SMALL** **BUSINESS**

1819.502 Setting aside acquisitions.

1819.502-70 Non-initiation of set-asides.

1819.502-3 Partial set-asides.

1819.502-370 NASA reporting requirements.

1819.505 Rejecting Small Business Administration recommendations.

**SUBPART 1819.6 CERTIFICATES OF** **COMPETENCY AND**

**DETERMINATIONS OF RESPONSIBILITY**

1819.602 Procedures.

1819.602-1 Referral.

1819.602-3 Resolving differences between the agency and the Small
Business

Administration.

1819.602-370 NASA procedures.

**SUBPART 1819.7 THE SMALL BUSINESS SUBCONTRACTING PROGRAM**

1819.705-2 Determining the need for a subcontracting plan.

1819.705-4 Reviewing the subcontracting plan.

1819.705-470 Acquisition-specific subcontracting goals.

1819.708 Contract clauses.

1819.708-70 NASA solicitation provision and contract clause.

**SUBPART 1819.8 CONTRACTING WITH THE** **SMALL BUSINESS**

**ADMINISTRATION** **(THE** **8(a) PROGRAM)**

1819.804 Evaluation, offering, and acceptance.

1819.804-1 Agency evaluation.

**SUBPART   1819.10 SMALL BUSINESS COMPETITIVENESS**

**DEMONSTRATION PROGRAM**

1819.1005 Applicability.

**SUBPART 1819.70 NASA 8 PERCENT GOAL**

1819.7000 General.

1819.7002 Contracting officer responsibility.

1819.7003 Contract clause.

**SUBPART 1819.71 NASA RURAL AREA SMALL BUSINESS PLAN**

1819.7101 Definition.

1819.7102 General.

1819.7103 Solicitation provision and contract clause.

**SUBPART 1819.72 NASA MENTOR-PROTÉGÉ PROGRAM**

1819.7201 Scope of subpart.

1819.7202 Definitions.

1819.7203 Non-affiliation.

1819.7204 Transportability of features from the Department of Defense

(DOD) Mentor-Protégé program to NASA contractors.

1819.7205 General policy.

1819.7206 Incentives for prime contractor participation.

1819.7207 Measurement of Program success.

1819.7208 Mentor firms.

1819.7209 Protégé firms.

1819.7210 Selection of protégé firms.

1819.7211 Application process for mentor firms to participate in the
Program.

1819.7212 OSDBU review and approval process of agreement.

1819.7213 Agreement contents.

1819.7214 Developmental assistance.

1819.7215 Obligation.

1819.7216 Internal controls.

1819.7217 Reports.

1819.7218 Program review.

1819.7219 Solicitation provision and contract clauses.

**SUBPART 1819.73 SMALL BUSINESS INNOVATION RESEARCH (SBIR) AND**

**SMALL BUSINESS TECHNOLOGY TRANSFER (STTR)**

**PROGRAMS**

1819.7301 Scope of subpart.

1819.7302 NASA contract clauses.

## PART 1819

**SMALL BUSINESS PROGRAMS**

**1819.001 Definitions.**

**"High-Tech"** as used in this part means research and/or development
efforts that are within or advance the state-of-the-art in a technology
discipline and are performed primarily by professional engineers,
scientists, and highly skilled and trained technicians or specialists.

**Subpart 1819.2\--Policies**

**1819.201 General policy.**

(a)**(i)** NASA is committed to providing to small, veteran-owned small
business, service-disabled veteran-owned small business, HUBZone, small
disadvantaged, and women-owned small business concerns, maximum
practicable opportunities to participate in Agency acquisitions at the
prime contract level. The participation of NASA prime contractors in
providing subcontracting opportunities to such entities is also an
essential part of the Agency\'s commitment. The participation of these
entities is particularly emphasized in high-technology areas where they
have not traditionally dominated.

**(ii)** NASA annually negotiates Agency small, service-disabled
veteran-owned small business, HUBZone, small disadvantaged, and
women-owned small business prime and subcontracting goals with the Small
Business Administration pursuant to section 15(g) of the Small Business
Act (15 U.S.C. 644). In addition, NASA has the following statutory goals
based on the total value of prime and subcontract awards:

**(A)** Under Public Laws 101-144, 101-507, and 102-389, an annual goal
of at least 8 percent for prime and subcontract awards to small
disadvantaged business (SDB) concerns, Historically Black Colleges and
Universities (HBCUs), minority institutions (MIs), and women-owned small
businesses (WOSBs) (see 1819.7000); and

**(B)** Under 10 U.S.C. 2323, an annual goal of 5 percent for prime and
subcontract awards to SDBs, HBCUs, and WOSBs.

\(c\) The Assistant Administrator for Small and Disadvantaged Business
Utilization (Code K) is the Agency official responsible for carrying out
the duties in FAR 19.201(c)**.**

(d)**(i)** The center director shall designate a qualified individual in
the contracting office as a small business specialist to provide a
central point of contact to which small business concerns may direct
inquiries concerning small business matters and participation in NASA
acquisitions. The small business specialist shall also perform other
functions specifically set forth in this section 1819.201 or that the
procurement officer may prescribe, with the concurrence of the Assistant
Administrator for Small and Disadvantaged Business Utilization, for
implementing the Small Business Program. When the center director
considers that the volume of acquisitions or the functions relating to
acquisitions at the center do not warrant a full-time small business
specialist, these duties may be assigned to procurement personnel on a
part-time basis.

**(ii)** Small business specialists appointed under paragraph (d)(i) of
this section shall perform the following duties, as the procurement
officer determines appropriate to the installation:

**(A)** Maintain a program designed to locate capable small business
sources, including those located in labor surplus areas, for current and
future acquisitions.

**(B)**  Coordinate inquiries and requests for advice from small
business concerns on acquisition matters.

**(C)**  Before issuance of solicitations or contract modifications for
additional supplies or services, determine that small business concerns
will receive adequate consideration, including making recommendations
for initiation of set-asides (see FAR 19.5 and 19.8) and for taking
action in accordance with FAR 19.506(b) and 1819.502-70. Participate and
provide input early in the acquisition planning phase of proposed
acquisitions, including procurement strategy meetings.

**(D)** If small business concerns cannot be given an opportunity to
compete because adequate specifications or drawings are not available,
work with appropriate technical and contracting personnel to ensure that
necessary specifications or drawings for current or future acquisitions
will be available.

**(E)**  Review acquisitions for possible breakout of items suitable for
acquisition from small business concerns.

**(F)**  Advise small business concerns regarding financial assistance
available under laws and regulations, assist such concerns in applying
for such assistance, and ensure that small business concerns\' requests
for financial assistance are not treated as a handicap in securing the
award of contracts.

**(G)**  Participate in responsibility determinations (see FAR 9.103)
when small business concerns are involved.

**(H)**  Participate in the evaluation of prime contractors\' small
business subcontracting programs (see FAR 19.705-4).

**(I)**  Review and make appropriate recommendations to the contracting
officer on any proposal to furnish Government-owned facilities to a
contractor if such action may hurt the Small Business Program.

**(J)**  Ensure that participation of small business concerns is
accurately reported.

**(K)** Make available to SBA copies of solicitations when requested.

**(L)** Act as liaison between contracting officers and SBA area offices
and representatives in connection with set-asides, certificates of
competency, and any other matters in which the Small Business Program
may be involved.

**(M)** In cooperation with contracting officers and technical
personnel, seek and develop information on the technical competence of
small business concerns for research and development contracts.
Regularly bring to the attention of contracting officers and technical
personnel descriptive data, brochures, and other information regarding
small business concerns that are apparently competent to perform
research and development work in fields in which NASA is interested.

**(N)**  When a small business concern\'s offer has been rejected for
nonresponsiveness or nonresponsibility, assist that concern, upon its
request, in understanding such requirements for future awards.

**(O)** Advise center personnel, as necessary, on new Governmentwide and
Agency-approved small business programs and initiatives.

(f)(1) The NASA Ombudsman, the Director of the Contract Management
Division, is the designated official for determining whether the use of
the SDB mechanism in FAR Subpart 19.11 has resulted in an undue burden
on non-SDB firms in the Department of Commerce designated NAICS Major
Groups, or is otherwise inappropriate.

**Subpart** **1819.3\--Determination of Small Business Status for Small
Business Programs**

**1819.302** **Protesting** **a** **small** **business**
**representation.**

(d)(1) The contracting officer shall not make awards of small business
set-aside acquisitions before the expiration of the period for receipt
of a size standard protest.

**Subpart 1819.5\--Set-Asides for Small Business**

**1819.502** **Setting** **aside** **acquisitions.**

**1819.502-70 Non-initiation of set-asides.**

\(a\) All cases involving the non-initiation of a set-aside, whether
resulting from a joint decision of the small business specialist and the
contracting officer or a decision by the contracting officer alone,
require referral to the SBA representative (if one is assigned and
available) for review.

\(b\) If the small business specialist recommends that an individual
acquisition or a class of acquisitions, or a portion thereof, be set
aside, the contracting officer shall promptly either concur in or
disapprove the recommendation, stating in writing the reasons for
disapproval.

\(c\) When an SBA representative is assigned and available and the
contracting officer disapproves the small business specialist\'s
recommendation, the contracting officer shall promptly refer the case to
the SBA representative for review. The small business specialist shall
take no further appeal action. The SBA representative must either concur
with the decision or appeal the case to the procurement officer under
FAR 19.505. If the procurement officer approves the contracting
officer's decision and the SBA appeals under FAR 19.505(c), the
procurement officer shall forward the required written justification,
including a history of discussions between the center and the SBA and
rationale for the decision, to the Headquarters Office of Procurement,
Program Operations Division.

\(d\) The contracting officer shall prepare, sign, and retain in the
contract file a memorandum of nonconcurrence in a recommended set-aside
action.

**1819.502-3 Partial set-asides.**

**1819.502-370 NASA Reporting Requirements.**

The contracting officer shall separately report, in accordance with
Subpart 1804.6, awards of the non-set-aside portions of small business
set-aside acquisitions.

**1819.505 Rejecting Small Business Administration recommendations**.

See 1819.502-70.

**Subpart** **1819.6\--Certificates of Competency and Determinations of
Responsibility**

**1819.602 Procedures.**

**1819.602-1 Referral.**

\(a\) On proposed awards exceeding the simplified acquisition threshold,
the contracting officer should consider requesting a preaward survey
(see FAR 9.106) before determining that a responsive small business firm
is not responsible. The scope of the preaward survey request should be
limited to those elements of responsibility that are questioned.

\(2\) The contracting officer shall forward a copy of the referral to
SBA through the procurement officer to the Headquarters Office of Small
and Disadvantaged Business Utilization (Code K).

**1819.602-3 Resolving** **differences** **between** **the** **agency**
**and** **the Small Business** **Administration.**

**1819.602-370 NASA Procedures.**

\(a\) When agreement cannot be reached between the contracting officer
and the SBA Area Office, the contracting officer shall forward to the
Headquarters Office of Procurement (Code HS) on an expedited basis, a
complete case file with a request that the case be considered for appeal
to SBA Headquarters. The contracting officer shall include the data
already furnished to SBA, SBA\'s rationale for proposing to issue a COC,
and the contracting officer\'s comments. The contracting officer shall
suspend acquisition action until informed by Code HS of the final
decision in the case.

\(b\) If the Office of Procurement concludes that the referral to SBA
should be withdrawn and a contract awarded without benefit of a COC,
Code HS shall inform the contracting officer.

\(c\) If the Office of Procurement agrees with the contracting
officer\'s recommended appeal action, the Assistant Administrator for
Procurement shall forward the appeal through the Office of Small and
Disadvantaged Business Utilization (Code K) to SBA Headquarters.

**Subpart 1819.7\--The Small Business Subcontracting Program**

**1819.705-2 Determining the need for a subcontracting plan.**

\(d\) Solicitations for competitive negotiated acquisitions shall
require proposed subcontracting plans with initial proposals (see
1819.708(b)(1)). For sole source negotiated acquisitions, the contractor
shall be required to submit a proposed subcontracting plan with the
proposal.

**1819.705-4 Reviewing the subcontracting plan.**

**1819.705-470 Acquisition-specific subcontracting goals.**

Section 1819.201 addresses Agencywide goals at the combined prime and
subcontract levels. Appropriate subcontracting goals for an individual
acquisition, however, are to be independently determined on the basis of
the specific circumstances of the acquisition, consistent with FAR
19.705-4 and 1819.7002(b), and not on the basis of an Agencywide or
center goal. Acquisition-specific subcontracting goals should reflect
maximum practicable opportunities for all categories of small business
concerns to participate in NASA programs, consistent with efficient
performance. The methods outlined in NASA Policy Directive (NPD) 5000.2,
Uniform Methodology for Determination of Small Disadvantaged
Subcontracting Goals, may also be useful in establishing reasonable
subcontracting goals for small, veteran-owned small business,
service-disabled veteran-owned small business, HUBZone, and women-owned
small business concerns.

**1819.708 Contract clauses.**

\(b\) (1) The contracting officer shall use the clause at FAR 52.219-9
with its Alternate II when contracting by negotiation.

**1819.708-70** **NASA solicitation provision** **and contract clause.**

\(a\) The contracting officer shall insert the provision at 1852.219-73,
Small Business Subcontracting Plan, in invitations for bids containing
the clause at FAR 52.219-9 with its Alternate I. Insert in the last
sentence the number of calendar days after request that the offeror must
submit a complete plan.

\(b\) The contracting officer shall insert the clause at 1852.219-75,
Small Business Subcontracting Reporting, in solicitations and contracts
containing the clause at FAR 52.219-9, except for contracts covered by
an approved commercial plan.

**Subpart 1819.8\--Contracting with the Small Business Administration**

**(The 8(a) Program)**

**1819.804** **Evaluation, offering, and** **acceptance.**

**1819.804-1 Agency evaluation.**

The small business specialist shall review and evaluate all acquisition
requirements to determine their suitability for offering to SBA for 8(a)
acceptance and make a recommendation to the contracting officer
concerning award to SBA.

**Subpart** **1819.10\--Small Business Competitiveness Demonstration
Program**

**1819.1005 Applicability.**

\(b\) The targeted industry categories for NASA and their North American
Industry Classification System (NAICS) codes are:

  -------------- --------------------------------------------------------
  **NAICS Code** **Industry Category**

  334111         Electronic Computer Manufacturing

  334418         Printed Circuit Assembly (Electronic Assembly)
                 Manufacturing

  334613         Magnetic and Optical Recording Media Manufacturing

  334119         Other Computer Peripheral Equipment Manufacturing

  33422          Radio and Television Broadcasting and Wireless
                 Communication Equipment Manufacturing

  336415         Guided Missile and Space Vehicle Propulsion Unit and
                 Propulsion Unit Parts Manufacturing

  336419         Other Guided Missile and Space Vehicle Parts and
                 Auxiliary Equipment Manufacturing

  334511         Search, Detection, Navigation, Guidance, Aeronautical,
                 and Nautical Systems and Instrument Manufacturing

  333314         Optical Instrument and Lens Manufacturing

  541511         Custom Computer Programming Services

  541512         Computer Systems Design Services

  51421          Data Processing Services

  541519         Other Computer Related Services
  -------------- --------------------------------------------------------

**Subpart** **1819.70\--NASA 8 Percent Goal**

**1819.7000 General.**

Public Laws 101-144, 101-507, and 102-389 require the NASA Administrator
to ensure, to the fullest extent possible, that at least 8 percent of
Federal funding for prime and subcontracts awarded in support of
authorized programs, including the space station by the time operational
status is obtained, be made available to small disadvantaged business
concerns, Historically Black Colleges and Universities, minority
institutions, and women-owned small business concerns.

**1819.7002 Contracting officer responsibility.**

\(a\) Contracting officers must seek out as potential sources small
disadvantaged business concerns, women-owned small business concerns,
historically black colleges or universities and minority institutions,
and give full consideration to these entities to satisfy NASA
requirements. The participation of NASA prime contractors is also
essential to meeting the Agency's 8 percent goal.

\(b\) NASA Policy Directive (NPD) 5000.2, Uniform Methodology for
Determination of Small Disadvantaged Subcontracting Goals, contains
guidance on developing realistic goals. It is applicable to acquisitions
expected to exceed \$50 million, including options. The methodology may
be used for lesser value acquisitions.

**1819.7003 Contract clause.**

The contracting officer shall insert the clause at 1852.219-76, NASA 8
Percent Goal, in all solicitations and contracts other than those below
the simplified acquisition threshold or when the contract, together with
all its subcontracts, is to be performed entirely outside of any State,
territory, or possession of the United States, the District of Columbia,
the Commonwealth of Puerto Rico, and the Trust Territory of the Pacific
Islands.

**Subpart** **1819.71\--NASA Rural Area Small Business Plan**

**1819.7101 Definition.**

**\"Rural area\"** means a county with a population of fewer than twenty
thousand individuals.

**1819.7102 General.**

Pursuant to Public Law 100-590, NASA established a Rural Area Business
Enterprise Development Plan, including methods for encouraging prime and
subcontractors to use small business concerns located in rural areas as
subcontractors and suppliers. One method is to encourage the contractor
to use its best efforts to comply with the intent of the statute.

**1819.7103 Solicitation provision and** **contract clause.**

The contracting officer shall insert the clause at 1852.219-74, Use of
Rural Area Small Businesses, in solicitations and contracts that offer
subcontracting possibilities or that are expected to exceed \$500,000
(\$1,000,000 for construction of public facility) unless the contract,
together with all its subcontracts, is to be performed entirely outside
of any State, territory, or possession of

the United States, the District of Columbia, the Commonwealth of Puerto
Rico, and the Trust Territory of the Pacific Islands.

**Subpart** **1819.72\--NASA Mentor-Protégé Program**

**1819.7201 Scope of subpart**.

The NASA Mentor-Protégé Program is designed to incentivize NASA prime
contractors to assist small disadvantaged business (SDB) concerns,
Historically Black Colleges and Universities (HBCUs), minority
institutions (MIs), and women-owned small business (WOSB) concerns, in
enhancing their capabilities to perform NASA contracts and subcontracts,
foster the establishment of long-term business relationships between
these entities and NASA prime contractors, and increase the overall
number of these entities that receive NASA contract and subcontract
awards.

**1819.7202 Definition.**

**"High-Tech"** is defined in 1819.001.

**1819.7203 Non-affiliation.**

For purposes of the Small Business Act, a protégé firm may not be
considered an affiliate of a mentor firm solely on the basis that the
protégé firm is receiving developmental assistance referred to in
1819.7214 from such mentor firm under the Program. In addition, NASA
shall not consider partial ownership, up to 10 percent, of a Department
of Defense (DOD)-sanctioned protégé firm by its DOD mentor to constitute
affiliation.

**1819.7204 Transportability of features from the Department of Defense
(DOD) Mentor- Protégé Program to NASA contractors.**

\(a\) In accordance with the benefits authorized by the DOD
Mentor-Protégé Program (Public Law 101-510, Section 831, as amended by
Public Law 102-190, Section 814), a NASA contractor who is also an
approved DOD mentor can transfer credit features to their NASA
contracts.

\(b\) NASA prime contractors, who are approved DOD mentors, can award
subcontracts noncompetitively under their NASA contracts to the protégés
which they are assisting under the DOD Program (Public Law 101-510,
Section 831(f)(2)).

\(c\) NASA prime contractors may count the costs of developmental
assistance provided to protégés being assisted under the DOD Program
toward meeting the goals in their subcontracting plans under their NASA
prime contracts (Public Law 102-190, Section 814). Limitations which may
reduce the value of this benefit include:

\(1\) Credit toward attaining subcontracting goals is available only to
the extent that the developmental assistance costs have not been
reimbursed to the contractor by DOD as direct or indirect costs; or

\(2\) The credit is available to meet the goals of a NASA subcontracting
plan only to the extent that it has not been applied to a DOD
subcontracting plan. The same unreimbursed developmental assistance
costs cannot be counted toward meeting the subcontracting goals of more
than one prime contract. These costs would accrue from credit for the
multiples attributed to assistance provided by Small Business
Development Centers, Historically Black Colleges and Universities and
minority institutions.

\(d\) The features identified in paragraphs (a), (b) and (c) of this
section point out the portability of features from the DOD
Mentor-Protégé Program to NASA prime contractors. NASA mentors will be
held to show \"good faith\" by providing actual developmental assistance
beyond transferring credit from activity in the DOD Program to NASA
subcontracting plans.

**1819.7205 General policy.**

\(a\) Eligible large business prime contractors, not included on the
\"List of Parties Excluded from Federal Procurement and Nonprocurement
Programs\", who have at least one active subcontracting plan, and who
are approved as mentor firms may enter into agreements with eligible
entities (as defined in 1819.7209) as protégés to provide appropriate
developmental assistance to enhance the capabilities of protégés to
perform as subcontractors and suppliers. Eligible small business prime
contractors, not included on the \"List of Parties Excluded from Federal
Procurement and Nonprocurement Programs\", and that are capable of
providing developmental assistance to protégés, may also be approved as
mentors. An active mentor-protégé arrangement requires the protégé to be
a subcontractor under the mentor\'s prime contract with NASA.

\(b\) The Mentor-Protégé program may be used in cost reimbursement type
contracts and contracts that include an award fee incentive. Costs
incurred by a mentor to provide the developmental assistance described
in 1819.7214 are allowable. Except for cost-plus-award-fee contracts,
such proposed costs shall not be included in the cost base used to
develop a fee objective or to negotiate fee. On contracts with an award
fee incentive, a contractor's Mentor-Protégé efforts shall be evaluated
under the award fee evaluations.

**1819.7206 Incentives for prime contractor participation.**

\(a\) Proposed mentor-protégé efforts, except for the extent of
participation of protégés as subcontractors, shall be evaluated under
the Mission Suitability factor . The participation of SDB protégés as
subcontractors shall be evaluated separately as a Mission Suitability
subfactor (see FAR 15.304(c)(4) and 19.1202). The participation of other
categories of protégés as subcontractors may be evaluated separately as
part of the evaluation of proposed subcontracted efforts.

\(b\) Under contracts with award fee incentives, approved mentor firms
shall be eligible to earn award fee associated with their performance as
a mentor by performance evaluation period. For purposes of earning award
fee, the mentor firm\'s performance shall be evaluated against the
criteria described in the clause at 1852.219-79, Mentor Requirements and
Evaluation. This award fee evaluation shall not include assessment of
the contractor's achievement of FAR 52.219-9 subcontracting plan SDB
goals or proposed monetary targets for SDB subcontracting (see FAR
19.1203).

**1819.7207 Measurement of Program success.**

The overall success of the NASA Mentor-Protégé Program encompassing all
participating mentors and protégés will be measured by the extent to
which it results in:

\(a\) An increase in the number, dollar value and percentage of
subcontracts awarded to protégés by mentor firms under NASA contracts
since the date of entry into the Program;

\(b\) An increase in the number and dollar value of contract and
subcontract awards to protégé firms since the time of their entry into
the Program (under NASA contracts, contracts awarded by other Federal
agencies and under commercial contracts);

\(c\) An increase in the number and dollar value of subcontracts awarded
to a protégé firm by its mentor firm; and

\(d\) An increase in subcontracting with protégé firms in industry
categories where they have not traditionally participated within the
mentor firm\'s activity.

**1819.7208 Mentor firms.**

\(a\) *Eligibility:*

\(1\) Contractors eligible for receipt of government contracts;

\(2\) Large prime contractors performing under contracts with at least
one negotiated subcontracting plan as required by FAR 19.7; and

\(3\) Small business prime contractors that can provide developmental
assistance to enhance the capabilities of protégés to perform as
subcontractors and suppliers.

\(b\) Mentors will be encouraged to identify and select as protégés:

\(1\) A broad base of firms including those defined as emerging firms
(e.g., a protégé whose size is no greater than 50 percent of the size
standard applicable to the NAICS code assigned to a contracting
opportunity);

\(2\) Firms in addition to those with whom they have established
business relationships; and

\(3\) High-tech firms.

**1819.7209 Protégé firms.**

\(a\) For selection as a protégé, a firm must be:

\(1\) An SDB in the NAICS Major Groups as determined by the Department
of Commerce (see FAR 19.201(b)), HBCU, MI, or WOSB;

\(2\) Certified as small in the NAICS code for the services or supplies
to be provided by the protégé under its subcontract to the mentor; and

\(3\) Eligible for receipt of government contracts.

\(b\) Except for SDBs, a protégé firm may self-certify to a mentor firm
that it meets the requirements set forth in paragraph (a) of this
section. Mentors may rely in good faith on written representations by
potential protégés that they meet the specified eligibility
requirements. SDB status eligibility and documentation requirements are
determined according to FAR 19.304.

\(c\) Protégés may have multiple mentors. Protégés participating in
mentor-protégé programs in addition to the NASA Program should maintain
a system for preparing separate reports of mentoring activity for each
agency\'s program.

**1819.7210 Selection of protégé firms.**

\(a\) Mentor firms will be solely responsible for selecting protégé
firms. The mentor is encouraged to identify and select the types of
protégé firms listed in 1819.7208(b).

\(b\) Mentor firms may have more than one protégé.

\(c\) The selection of protégé firms by mentor firms may not be
protested, except for a protest regarding the size or eligibility status
of an entity selected by a mentor to be a protégé. Such protests shall
be handled in accordance with FAR 19.703(b). The contracting officer
shall notify the Headquarters Office of Small and Disadvantaged Business
Utilization (OSDBU) (Code K) of the protest.

**1819.7211 Application process for mentor firms to participate in the
Program.**

\(a\) Prime contractors interested in becoming a mentor firm must submit
a request to the NASA OSDBU to be approved under the Program. The
application will be evaluated on the extent to which the company plans
to provide developmental assistance. The information required in
paragraph (b) of this section must be submitted to be considered for
approval as a mentor firm.

\(b\) A proposed mentor must submit the following information to the
NASA OSDBU:

\(1\) A statement that the mentor firm is currently performing under at
least one active approved subcontracting plan (small business exempted)
and that they are eligible, as of the date of application, for the award
of Federal contracts;

\(2\) The cognizant NASA contract number(s), type of contract, period of
performance (including options), title of technical program effort, name
of NASA Program Manager (including contact information) and name of the
NASA field center where support is provided;

\(3\) The number of proposed mentor-protégé arrangements;

\(4\) Data on all current NASA contracts and subcontracts to include the
contract/subcontract number(s), period of performance, awarding NASA
installation or contractor and contract/subcontract value(s) including
options;

\(5\) Data on total number and dollar value of subcontracts awarded
under NASA prime contracts within the past 2 years and the number and
dollar value of such subcontracts awarded to entities defined as
protégés.

\(6\) Information on the proposed types of developmental assistance. For
each proposed mentor-protégé relationship include information on the
company\'s ability to provide developmental assistance to the identified
protégé firm and how that assistance will potentially increase
subcontracting opportunities for the protégé firm, including
subcontracting opportunities in industry categories where these entities
are not dominant in the company\'s current subcontractor base; and

\(7\) A Letter of Intent signed by both parties. At a minimum, the
Letter of Intent must include the stated commitment that the parties
intend to enter into a mentor-protégé agreement under the NASA Program,
that they intend to cooperate in the establishment of a suitable
developmental assistance program to meet their respective needs, and
that they agree to comply with the obligations in 1819.7215 and all
other provisions governing the Program.

**1819.7212 OSDBU review and approval process of agreement.**

\(a\) The information specified in 1819.7211(b) is reviewed by the NASA
OSDBU. This review will be completed no later than 30 days after receipt
by the OSDBU. The OSDBU will provide a copy of the submitted information
to the cognizant NASA technical program manager and contracting officer
for a parallel review and concurrence.

\(b\) If OSDBU approves the application, then the mentor \--

\(1\) Negotiates an agreement with the protégé; and

\(2\) Submits an original and two (2) copies of the agreement to the
OSDBU for approval by the NASA Mentor-Protégé program manager, the NASA
technical program manager, and the contracting officer.

\(c\) Upon agreement approval, the mentor may implement a developmental
assistance program.

\(d\) An approved agreement will be incorporated into the mentor\'s
contract with NASA. It should be added to the subcontracting plan in
contracts which contain such a plan.

\(e\) If OSDBU disapproves the application, then the mentor may provide
additional information for reconsideration. The review of any
supplemental material will be completed within 30 days after receipt by
the OSDBU. Upon finding deficiencies that NASA considers correctable,
the OSDBU will notify the mentor and request information to be provided
within 30 days that may correct the deficiencies.

**1819.7213 Agreement contents.**

The contents of the agreement must contain:

\(a\) Names and addresses of mentor and protégé firms and a point of
contact within both firms who will oversee the agreement;

\(b\) Procedures for the mentor firm to notify the protégé firm, OSDBU,
and the contracting officer, in writing, at least 30 days in advance of
the mentor firm\'s intent to voluntarily withdraw from the Program;

\(c\) Procedures for a protégé firm to notify the mentor firm in writing
at least 30 days in advance of the protégé firm\'s intent to voluntarily
terminate the mentor-protégé agreement. The mentor shall notify the
OSDBU and the contracting officer immediately upon receipt of such
notice from the protégé;

\(d\) A description of the type of developmental program that will be
provided by the mentor firm to the protégé firm, to include a
description of the subcontract work, and a schedule for providing
assistance and criteria for evaluation of the protégé's developmental
success;

\(e\) A listing of the number and types of subcontracts to be awarded to
the protégé firm;

\(f\) Program participation term;

\(g\) Termination procedures;

\(h\) Plan for accomplishing work should the agreement be terminated;
and

\(i\) Other terms and conditions, as appropriate.

**1819.7214 Developmental assistance.**

The forms of developmental assistance a mentor can provide to a protégé
include:

\(a\) Management guidance relating to \--

\(1\) Financial management,

\(2\) Organizational management,

\(3\) Overall business management/planning, and

\(4\) Business development;

\(b\) Engineering and other technical assistance;

\(c\) Noncompetitive award of subcontracts under NASA contracts;

\(d\) Progress payments based on costs. The customary progress payment
rate for all NASA contracts with small disadvantaged businesses is 95
percent. This customary progress payment rate for small disadvantaged
businesses may be used by prime contractors;

\(e\) Advance payments. While a mentor can make advance payments to its
protégés who are performing as subcontractors, the mentor will only be
reimbursed by NASA for these costs if advance payments have been
authorized in accordance with 1832.409-170;

\(f\) Loans;

\(g\) Rent-free use of facilities and/or equipment; and

\(h\) Temporary assignment of personnel to the protégé for purpose of
training.

**1819.7215 Obligation**.

\(a\) The mentor or protégé may voluntarily withdraw from the Program as
mutually agreed by both mentor and protégé.

\(b\) Mentor and protégé firms will submit a \"lessons learned\"
evaluation to the NASA OSDBU at the conclusion of each NASA contract
subject to the approved Mentor-Protégé agreement.

**1819.7216 Internal controls.**

\(a\) The NASA OSDBU will manage the Program. Internal controls will be
established by the OSDBU to achieve the stated program objectives (by
serving as checks and balances against undesired actions or
consequences) such as:

\(1\) Reviewing and evaluating mentor applications for realism, validity
and accuracy of provided information;

\(2\) Reviewing any semi-annual progress reports submitted by mentors
and protégés on protégé development to measure protégé progress against
the master plan contained in the approved agreement.

\(3\) Site visits to NASA installation where mentor-protégé activity is
occurring.

\(b\) NASA may terminate mentor-protégé agreements for good cause and
exclude mentor or protégé firms from participating in the NASA program.
These actions shall be approved by the NASA OSDBU. NASA shall terminate
an agreement by delivering to the contractor a Notice specifying the
reason for termination and the effective date. Termination of an
agreement does not constitute a termination of the subcontract between
the mentor and the protégé. A plan for accomplishing the subcontract
effort should the agreement be terminated shall be submitted with the
agreement as required in NFS 1819.7213(h).

**1819.7217 Reports.**

\(a\) Semi-annual reports shall be submitted by the mentor to the NASA
Mentor-Protégé program manager, the NASA OSDBU, to include information
as outlined in 1852.219-79(b).

\(b\) Protégés are encouraged to submit semi-annual reports to the OSDBU
on Program progress pertaining to their mentor-protégé agreement.
However, costs associated with the preparation of these reports are
unallowable costs under Government contracts and will not be reimbursed
by the Government.

\(c\) The NASA technical program manager shall include an assessment of
the prime contractor\'s (mentor\'s) performance in the Mentor-Protégé
Program in a quarterly \'Strengths and Weaknesses\' evaluation report. A
copy of this assessment will be provided to the OSDBU and the
contracting officer.

\(d\) The NASA Mentor-Protégé program manager will submit semi-annual
reports to the cognizant contracting officer regarding the participating
prime contractor\'s performance in the Program for use in the award fee
determination process.

**1819.7218 Program review.**

At the conclusion of each year in the Mentor-Protégé Program, the prime
contractor and protégé, as appropriate, will formally brief the NASA
OSDBU, the technical program manager, and the contracting officer
regarding Program accomplishments pertaining to the approved agreement.
This review will be incorporated into the normal program review, where
applicable. A separate review will be scheduled for other contracts to
be held at the NASA work site location.

**1819.7219 Solicitation provision and contract clauses.**

\(a\) The contracting officer shall insert the clause at 1852.219-77,
NASA Mentor-Protégé Program, in:

\(1\) Cost reimbursement solicitations and contracts, or solicitations
and contracts with award fee incentives, that include the clause at FAR
52.219-9, Small Business Subcontracting Plan;

\(2\) Small business set-asides of the contract types in (a)(1) of this
section with values exceeding \$500,000 (\$1,000,000 for construction)
that offer subcontracting opportunities.

\(b\) The contracting officer shall insert the clause at 1852.219-79,
Mentor Requirements and Evaluation, in contracts where the prime
contractor is a participant in the NASA Mentor-Protégé Program.

**Subpart 1819.73\--Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) Programs**

**1819.7301 Scope of subpart.**

The Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) Programs were established and issued under
the authority of the Small Business Act codified at 15 U.S.C. 631, as
amended, and the Small Business Innovation Development Act of 1982
(Pub.L. 97-219), codified with amendments at 15 USC 638. The Small
Business Act requires that the Small Business Administration (SBA) issue
SBIR and STTR Program Policy Directives for the general conduct of the
SBIR/STTR Programs within the Federal Government. The statutory purpose
of the SBIR Program is to strengthen the role of innovative small
business concerns (SBCs) in federally-funded research or research and
development (R/R&D). Specific program purposes are to: stimulate
technological innovation; use small business to meet Federal R/R&D
needs; foster and encourage participation by socially and economically
disadvantaged SBCs, and by SBCs that are 51 percent owned and controlled
by women, in technological innovation; and increase private sector
commercialization of innovations derived from Federal R/R&D, thereby
increasing competition, productivity and economic growth. Federal
agencies participating in the SBIR/STTR Programs (SBIR/STTR agencies)
are obligated to follow the guidance provided by the SBA Policy
Directive. NASA is required to ensure its policies, regulations, and
guidance on the SBIR/STTR Programs are consistent with SBA's Policy
Directive. Contracting officers are required to insert the applicable
clauses identified in 1819.7302 in all SBIR and STTR contracts.

**1819.7302 NASA contract clauses.**

\(a\) Contracting officers shall insert the clause at 1852.219-80,
Limitation on Subcontracting -- SBIR Phase I Program, in all Phase I
contracts awarded under the Small Business Innovation Research (SBIR)
Program established pursuant to Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).

\(b\) Contracting officers shall insert the clause at 1852.219-81,
Limitation on Subcontracting -- SBIR Phase II Program, in all Phase II
contracts awarded under the Small Business Innovation Research (SBIR)
Program established pursuant to Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).

\(c\) Contracting officers shall insert the clause at 1852.219-82,
Limitation on Subcontracting -- STTR Program, in all contracts awarded
under the Small Business Technology Transfer (STTR) Program established
pursuant to Pub.L. 97-219 (the Small Business Innovation Development Act
of 1982).

\(d\) Contracting officers shall insert the clause at 1852.219-83,
Limitation of the Principal Investigator -- SBIR Program, in all
contracts awarded under the Small Business Innovation Research (SBIR)
Program established pursuant to Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).

\(e\) Contracting officers shall insert the clause at 1852.219-84,
Limitation of the Principal Investigator -- STTR Program, in all
contracts awarded under the Small Business Technology Transfer (STTR)
Program established pursuant to Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).

\(f\) Contracting officers shall insert the clause at 1852.219-85,
Conditions for Final Payment - SBIR and STTR Contracts, in all contracts
awarded under the Small Business Technology Transfer (STTR) Program and
in all Phase I and Phase II contracts awarded under the Small Business
Technology Transfer (STTR) Small Business Innovation Research (SBIR)
Program established pursuant to Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).

PART 1852

**SOLICITATION PROVISIONS AND CONTRACT CLAUSES**

**TABLE OF CONTENTS**

1852.000 Scope of part.

**SUBPART 1852.1 INSTRUCTIONS FOR USING PROVISIONS AND**

**CLAUSES**

1852.101 Using Part 52.

1852.103 Identification of provisions and clauses.

1852.103-70 Identification of modified provisions and clauses.

1852.104 Procedures for modifying and completing provisions and
  clauses.

**SUBPART 1852.2 TEXTS OF PROVISIONS AND CLAUSES**

1852.203-70 Display of Inspector General Hotline Posters.

1852.204-75 Security Classification Requirements.

1852.204-76 Security Requirements for Unclassified Information

Technology Resources.

1852.208-81 Restrictions on Printing and Duplicating.

1852.209-70 Product Removal from Qualified Products List.

1852.209-71 Limitation of Future Contracting.

1852.209-72 Composition of the Contractor.

1852.211-70 Packaging, Handling, and Transportation.

1852.213-70 Offeror Representations and Certifications--Other Than

Commercial Items.

1852.213-71 Evaluation---Other Than Commercial Items.

1852.214-70 Caution to Offerors Furnishing Descriptive Literature.

1852.214-71 Grouping for Aggregate Award.

1852.214-72 Full Quantities.

1852.215-77 Preproposal/Pre-bid Conference.

1852.215-78 Make or Buy Program Requirements.

1852.215-79 Price Adjustment for \"Make-or-Buy\" Changes.

1852.215-81 Proposal Page Limitations.

1852.215-84 Ombudsman.

1852.216-73 Estimated Cost and Cost Sharing.

1852.216-74 Estimated Cost and Fixed Fee.

1852.216-75 Payment of Fixed Fee.

1852.216-76 Award Fee for Service Contracts.

1852.216-77 Award Fee for End Item Contracts.

1852.216-78 Firm Fixed Price.

1852.216-80 Task Ordering Procedure.

1852.216-81 Estimated Cost.

1852.216-83 Fixed Price Incentive.

1852.216-84 Estimated Cost and Incentive Fee.

1852.216-85 Estimated Cost and Award Fee.

1852.216-87 Submission of Vouchers for Payment.

1852.216-88 Performance Incentive.

1852.216-89 Assignment and Release Forms.

1852.217-70 Property Administration and Reporting.

1852.217-71 Phased Procurement Using Down-Selection Procedures.

1852.217-72 Phased Procurement Using Progressive Competition Down-

Selection Procedures.

1852.219-73 Small Business Subcontracting Plan.

1852.219-74 Use of Rural Area Small Businesses.

1852.219-75 Small Business Subcontracting Reporting.

1852.219-76 NASA 8 Percent Goal.

1852.219-77 NASA Mentor-Protégé Program.

1852.219-79 Mentor Requirements and Evaluation.

1852.219-80 Limitation on Subcontracting -- SBIR Phase I Program.

1852.219-81 Limitation on Subcontracting -- SBIR Phase II Program.

1852.219-82 Limitation on Subcontracting -- STTR Program.

1852.219-83 Limitation of the Principal Investigator -- SBIR Program.

1852.219-84 Limitation of the Principal Investigator -- STTR Program.

1852.219-85 Conditions for Final Payment -- SBIR and STTR Contracts.

1852.223-70 Safety and Health.

1852.223-71 Frequency Authorization.

1852.223-72 Safety and Health (Short Form).

1852.223-73 Safety and Health Plan.

1852.223-74 Drug- and Alcohol-Free Workforce.

1852.223-75 Major Breach of Safety or Security.

1852.223-76 Federal Automotive Statistical Tool Reporting.

1852.225-8 Duty-Free Entry of Space Articles.

1852.225-70 Export Licenses.

1852.227-11 Patent Rights\--Retention by the Contractor (Short Form).

1852.227-14 Rights in Data\--General.

1852.227-17 Rights in Data\--Special Works.

1852.227-19 Commercial Computer Software\--Restricted Rights.

1852.227-70 New Technology.

1852.227-71 Requests for Waiver of Rights to Inventions.

1852.227-72 Designation of New Technology Representative and Patent

>   Representative.

1852.227-84 Patent Rights Clauses.

1852.227-85 Invention Reporting and Rights\--Foreign.

1852.227-86 Commercial Computer Software\--Licensing.

1852.227-87 Transfer of Technical Data Under Space Station

  International Agreements.

1852.228-70 Aircraft Ground and Flight Risk.

1852.228-71 Aircraft Flight Risks.

1852.228-72 Cross-Waiver of Liability for Space Shuttle Services.

1852.228-73 Bid Bond.

1852.228-75 Minimum Insurance Coverage.

1852.228-76 Cross-Waiver of Liability for Space Station Activities.

1852.228-78 Cross-Waiver of Liability for NASA Expendable Launch Vehicle
Launches.

1852.228-80 Insurance --- Immunity From Tort Liability.

1852.228-81 Insurance --- Partial Immunity From Tort Liability.

1852.228-82 Insurance --- Total Immunity From Tort Liability.

1852.231-70 Precontract Costs.

1852.231-71 Determination of Compensation Reasonableness.

1852.232-70 NASA Modification of FAR 52.232-12.

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

1852.232-79 Payment for On-Site Preparatory Costs.

1852.232-81 Contract Funding.

1852.232-82 Submission of Requests for Progress Payments.

1852.233-70 Protests to NASA.

1852.235-70 Center for AeroSpace Information Technical Reports.

1852.235-71 Key Personnel and Facilities.

1852.235-72 Instructions for Responding to NASA Research Announcements.

1852.235-73 Final Scientific and Technical Reports.

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

1852.236-71 Additive or Deductive Items.

1852.236-72 Bids with Unit Prices.

1852.236-73 Hurricane Plan.

1852.236-74 Magnitude of Requirement.

1852.236-75 Partnering for Construction Contracts.

1852.237-70 Emergency Evacuation Procedures.

1852.237-71 Pension Portability.

1852.237-72 Access to Sensitive Information.

1852.237-73 Release of Sensitive Information.

1852.239-70 Alternate Delivery Points.

1852.241-70 Renewal of Contract.

1852.242-70 Technical Direction.

1852.242-71 Travel Outside of the United States.

1852.242-72 Observance of Legal Holidays.

1852.242-73 NASA Contractor Financial Management Reporting.

1852.242-74 Notice of Earned Value Management System.

1852.242-75 Earned Value Management System.

1852.242-76 Modified Cost Performance Report.

1852.242-77 Modified Cost Performance Report Plans.

1852.242-78 Emergency Medical Services and Evacuation.

1852.243-70 Engineering Change Proposals.

1852.243-71 Shared Savings.

1852.243-72 Equitable Adjustments.

1852.244-70 Geographic Participation in the Aerospace Program.

1852.245-70 Contractor Requests for Government-Owned Equipment.

1852.245-71 Installation-Accountable Government Property.

1852.245-72 Liability for Government Property Furnished for Repair or

>   Other Services.

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

1852.245-74 Contractor Accountable On-Site Government Property.

1852.245-75 Title to Equipment.

1852.245-76 List of Government-Furnished Property.

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

1852.245-79 Use of Government-Owned Property.

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

1852.246-70 Mission Critical Space System Personnel Reliability  

Program.

1852.246-71 Government Contract Quality Assurance.

1852.246-72 Material Inspection and Receiving Report.

1852.246-73 Human Space Flight Item.

1852.247-71 Protection of the Florida Manatee.

1852.247-72 Advance Notice of Shipment.

1852.247-73 Bills of Lading.

1852.249-72 Termination (Utilities).

**SUBPART 1852.3 PROVISION AND CLAUSE MATRIX**

1852.300 Scope of Subpart.

1852.301 Solicitation Provisions and Contract Clauses (Matrix).

**PART 1852**

**SOLICITATION PROVISIONS AND CONTRACT CLAUSES**

**1852.000 Scope of part.**

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

**Subpart 1852.1\--Instructions for Using Provisions and Clauses**

**1852.101 Using Part 52.**

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

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

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

**1852.103 Identification of provisions and clauses.**

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

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

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

**(A)** *I.2 **BID ENVELOPES (GSFC 52.214-90) (AUGUST 1987)*** This
example is applicable when identifying the title of provisions and
clauses in solicitations and contracts using the uniform contract format
(UCF). The first number (\"I.2\") designates the UCF section and the
sequential clause within that section. \"GSFC 52.214-90\" specifies the
clause number.

**(B)** ***GSFC 52.214-90\--Bid Envelopes (AUGUST 1987)*** This example
is applicable in all instances in which the provision or clause citation
is not associated with the UCF number.

\(c\) Contracting officers shall not number provisions and clauses
developed for individual acquisitions only. For example, \"F.3 Delivery
Procedures for Special Hardware\" cites the third clause in Section F of
a contract using the UCF, but has no clause number or date identified
with it, indicating that the clause was developed for the particular
contract it appears in.

**1852.103-70 Identification of modified provisions and clauses.**

When a FAR clause or provision is included in a solicitation or contract
and the NFS prescribes a modification, the title line shall identify the
modification as shown below. This format shall be used both for
incorporation by reference and when using full text.

\"52.232-28 Electronic Funds Transfer Payment Methods (APR 1989)\--as
modified by NASA FAR Supplement 1832.908(a)\"

**1852.104 Procedures for modifying and completing provisions and
clauses.**

NFS provisions and clauses shall not be modified unless authorized by
the NFS. When authorized, contracting officers must comply with the
procedures in FAR 52.104.

**Subpart 1852.2\--Text of Provisions and Clauses**

**1852.203-70 Display of Inspector General Hotline Posters.**

As prescribed in 1803.7001, insert the following clause:

**DISPLAY OF INSPECTOR GENERAL HOTLINE POSTERS**

**(JUNE 2001)**

\(a\) The Contractor shall display prominently in common work areas
within business segments performing work under this contract, Inspector
General Hotline Posters available under paragraph (b) of this clause.

\(b\) Inspector General Hotline Posters may be obtained from NASA Office
of Inspector General, Code W, Washington, DC, 20546-0001, (202)
358-1220.

**(End of clause)**

**1852.204-75 Security Classification Requirements.**

As prescribed in 1804.404-70, insert the following clause:

**SECURITY** **CLASSIFICATION REQUIREMENTS**

**(SEPTEMBER 1989)**

Performance under this contract will involve access to and/or generation
of classified information, work in a security area, or both, up to the
level of [                           ]{.underline} \[insert the
applicable security clearance level\]. See Federal Acquisition
Regulation clause 52.204-2 in this contract and DD Form 254, Contract
Security Classification Specification, Attachment [     ]{.underline}
\[Insert the attachment number of the DD Form 254\].

**(End of clause)**

**1852.204-76 Security Requirements for Unclassified Information
Technology Resources.**

As prescribed in 1804.470-4, insert a clause substantially as follows:

SECURITY REQUIREMENTS FOR UNCLASSIFIED

INFORMATION TECHNOLOGY RESOURCES

(NOVEMBER 2004)

\(a\) The Contractor shall be responsible for Information Technology
security for all systems connected to a NASA network or operated by the
Contractor for NASA, regardless of location. This clause is applicable
to all or any part of the contract that includes information technology
resources or services in which the Contractor must have physical or
electronic access to NASA's sensitive information contained in
unclassified systems that directly support the mission of the Agency.
This includes information technology, hardware, software, and the
management, operation, maintenance, programming, and system
administration of computer systems, networks, and telecommunications
systems. Examples of tasks that require security provisions include:

\(1\) Computer control of spacecraft, satellites, or aircraft or their
payloads;

\(2\) Acquisition, transmission or analysis of data owned by NASA with
significant replacement cost should the contractor's copy be corrupted;
and

\(3\) Access to NASA networks or computers at a level beyond that
granted the general public, e.g. bypassing a firewall.

\(b\) The Contractor shall provide, implement, and maintain an IT
Security Plan. This plan shall describe the processes and procedures
that will be followed to ensure appropriate security of IT resources
that are developed, processed, or used under this contract. The plan
shall describe those parts of the contract to which this clause applies.
The Contractor's IT Security Plan shall be compliant with Federal laws
that include, but are not limited to, the Computer Security Act of 1987
(40 U.S.C. 1441 et seq.) and the Government Information Security Reform
Act of 2000. The plan shall meet IT security requirements in accordance
with Federal and NASA policies and procedures that include, but are not
limited to:

\(1\) OMB Circular A-130, Management of Federal Information Resources,
Appendix III,

Security of Federal Automated Information Resources;

\(2\) NASA Procedures and Guidelines (NPR) 2810.1, Security of
Information Technology; and

\(3\) Chapter 3 of NPR 1620.1, NASA Security Procedural Requirements.

\(c\) Within \_\_\_\_days after contract award, the contractor shall
submit for NASA approval an IT Security Plan. This plan must be
consistent with and further detail the approach contained in the
offeror\'s proposal or sealed bid that resulted in the award of this
contract and in compliance with the requirements stated in this clause.
The plan, as approved by the Contracting Officer, shall be incorporated
into the contract as a compliance document.

(d)(1) Contractor personnel requiring privileged access or limited
privileged access to systems operated by the Contractor for NASA or
interconnected to a NASA network shall be screened at an appropriate
level in accordance with NPR 2810.1, Section 4.5; NPR 1620.1, Chapter 3;
and paragraph (d)(2) of this clause. Those Contractor personnel with
non-privileged access do not require personnel screening. NASA shall
provide screening using standard personnel screening National Agency
Check (NAC) forms listed in paragraph (d)(3) of this clause, unless
contractor screening in accordance with paragraph (d)(4) is approved.
The Contractor shall submit the required forms to the NASA Center Chief
of Security (CCS) within fourteen (14) days after contract award or
assignment of an individual to a position requiring screening. The forms
may be obtained from the CCS. At the option of the government, interim
access may be granted pending completion of the NAC.

\(2\) Guidance for selecting the appropriate level of screening is based
on the risk of adverse impact to NASA missions. NASA defines three
levels of risk for which screening is required (IT-1 has the highest
level of risk):

\(i\) **IT-1** \-- Individuals having privileged access or limited
privileged access to systems whose misuse can cause very serious adverse
impact to NASA missions. These systems include, for example, those that
can transmit commands directly modifying the behavior of spacecraft,
satellites or aircraft.

\(ii\) **IT-2 \--** Individuals having privileged access or limited
privileged access to systems whose misuse can cause serious adverse
impact to NASA missions. These systems include, for example, those that
can transmit commands directly modifying the behavior of payloads on
spacecraft, satellites or aircraft; and those that contain the primary
copy of "level 1" data whose cost to replace exceeds one million
dollars.

\(iii\) **IT-3 \--** Individuals having privileged access or limited
privileged access to systems whose misuse can cause significant adverse
impact to NASA missions. These systems include, for example, those that
interconnect with a NASA network in a way that exceeds access by the
general public, such as bypassing firewalls; and systems operated by the
contractor for NASA whose function or data has substantial cost to
replace, even if these systems are not interconnected with a NASA
network.

\(3\) Screening for individuals shall employ forms appropriate for the
level of risk as follows:

\(i\) IT-1: Fingerprint Card (FC) 258 and Standard Form (SF) 85P,
Questionnaire for Public Trust Positions;

> \(ii\) IT-2: FC 258 and SF 85, Questionnaire for Non-Sensitive
> Positions; and

::: Definition-Term
\(iii\) IT-3: NASA Form 531, Name Check, and FC 258.
:::

::: Definition-Term
\(4\) The Contracting Officer may allow the Contractor to conduct its
own screening of individuals requiring privileged access or limited
privileged access provided the Contractor can demonstrate that the
procedures used by the Contractor are equivalent to NASA\'s personnel
screening procedures. As used here, equivalent includes a check for
criminal history, as would be conducted by NASA, and completion of a
questionnaire covering the same information as would be required by
NASA.
:::

\(5\) Screening of contractor personnel may be waived by the Contracting
Officer for those individuals who have proof of \--

::: Definition-Term
\(i\) Current or recent national security clearances (within last three
years);
:::

::: Definition-Term
\(ii\) Screening conducted by NASA within last three years; or
:::

::: Definition-Term
\(iii\) Screening conducted by the Contractor, within last three years,
that is equivalent to the NASA personnel screening procedures as
approved by the Contracting Officer under paragraph (d)(4) of this
clause.
:::

\(e\) The Contractor shall ensure that its employees, in performance of
the contract, receive annual IT security training in NASA IT Security
policies, procedures, computer ethics, and best practices in accordance
with NPR 2810.1, Section 4.3 requirements. The contractor may use
web-based training available from NASA to meet this requirement.

\(f\) The Contractor shall afford NASA, including the Office of
Inspector General, access to the Contractor's and subcontractors'
facilities, installations, operations, documentation, databases and
personnel used in performance of the contract. Access shall be provided
to the extent required to carry out a program of IT inspection,
investigation and audit to safeguard against threats and hazards to the
integrity, availability and confidentiality of NASA data or to the
function of computer systems operated on behalf of NASA, and to preserve
evidence of computer crime.

\(g\) The Contractor shall incorporate the substance of this clause in
all subcontracts that meet the conditions in paragraph (a) of this
clause.

**(End of clause)**

**1852.208-81 Restrictions on Printing and Duplicating.**

As prescribed in 1808.870, insert the following clause:

**RESTRICTIONS ON PRINTING AND DUPLICATING**

**(NOVEMBER 2004)**

\(a\) The Contractor may duplicate or copy any documentation required by
this contract in accordance with the provisions of the Government
Printing and Binding Regulations, No. 26, S. Pub 101-9, U.S. Government
Printing Office, Washington, DC, 20402, published by the Joint Committee
on Printing, U.S. Congress.

\(b\) The Contractor shall not perform, or procure from any commercial
source, any printing in connection with the performance of work under
this contract. The term \"printing\" includes the processes of
composition, platemaking, presswork, duplicating, silk screen processes,
binding, microform, and the end items of such processes and equipment.

\(c\) The Contractor is authorized to duplicate or copy production units
provided the requirement does not exceed 5,000 production units of any
one page or 25,000 units in the aggregate of multiple pages. Such pages
may not exceed a maximum image size of 10-3/4 by 14-1/4 inches. A
\"production unit\" is one sheet, size 8-1/2 x 11 inches (215 x 280 mm),
one side only, and one color ink.

\(d\) This clause does not preclude writing, editing, preparation of
manuscript copy, or preparation of related illustrative material as a
part of this contract, or administrative duplicating/copying (for
example, necessary forms and instructional materials used by the
Contractor to respond to the terms of the contract).

\(e\) Costs associated with printing, duplicating, or copying in excess
of the limits in paragraph (c) of this clause are unallowable without
prior written approval of the Contracting Officer. If the Contractor has
reason to believe that any activity required in fulfillment of the
contract will necessitate any printing or substantial duplicating or
copying, it immediately shall provide written notice to the Contracting
Officer and request approval prior to proceeding with the activity.
Requests will be processed by the Contracting Officer in accordance with
the provisions of the Government Printing and Binding Regulations, NFS
1808.802, and NPR 1490.5, NASA Procedural Requirements for Printing,
Duplicating, and Copying Management.

\(f\) The Contractor shall include in each subcontract which may involve
a requirement for any printing, duplicating, and copying in excess of
the limits specified in paragraph (c) of this clause, a provision
substantially the same as this clause, including this paragraph (f).

**(End of clause)**

**1852.209-70 Product Removal from Qualified Products List.**

As prescribed in 1809.206-71, insert the following clause:

**PRODUCT REMOVAL FROM QUALIFIED PRODUCTS LIST**

**(DECEMBER 1988)**

If, during the performance of this contract, the product being furnished
is removed from the Qualified Products List for any reason, the
Government may terminate the contract for Default pursuant to the
default clause of the contract.

**(End of clause)**

**1852.209-71 Limitation of Future Contracting.**

As prescribed in 1809.507-2, the contracting officer may insert a clause
substantially as follows in solicitations and contracts, in compliance
with FAR 9.507-2:

**LIMITATION OF FUTURE CONTRACTING**

**(DECEMBER 1988)**

\(a\) The Contracting Officer has determined that this acquisition may
give rise to a potential organizational conflict of interest.
Accordingly, the attention of prospective offerors is invited to FAR
Subpart 9.5\--Organizational Conflicts of Interest.

\(b\) The nature of this conflict is \[describe the conflict\].

\(c\) The restrictions upon future contracting are as follows:

\(1\) If the Contractor, under the terms of this contract, or through
the performance of tasks pursuant to this contract, is required to
develop specifications or statements of work that are to be incorporated
into a solicitation, the Contractor shall be ineligible to perform the
work described in that solicitation as a prime or first-tier
subcontractor under an ensuing NASA contract. This restriction shall
remain in effect for a reasonable time, as agreed to by the Contracting
Officer and the Contractor, sufficient to avoid unfair competitive
advantage or potential bias (this time shall in no case be less than the
duration of the initial production contract). NASA shall not
unilaterally require the Contractor to prepare such specifications or
statements of work under this contract.

\(2\) To the extent that the work under this contract requires access to
proprietary, business confidential, or financial data of other
companies, and as long as these data remain proprietary or confidential,
the Contractor shall protect these data from unauthorized use and
disclosure and agrees not to use them to compete with those other
companies.

**(End of clause)**

**1852.209-72 Composition of the Contractor.**

As prescribed in 1809.670, insert the following clause:

**COMPOSITION OF THE CONTRACTOR**

**(DECEMBER 1988)**

If the Contractor is comprised of more than one legal entity, each
entity shall be jointly and severally liable under this contract.

**(End of clause)**

**1852.211-70 Packaging, Handling, and Transportation**

As prescribed in 1811.404-70, insert the following clause:

**PACKAGING, HANDLING, AND TRANSPORTATION**

**(SEPTEMBER 2005)**

\(a\) The Contractor shall comply with NASA Procedural Requirements
(NPR) 6000.1, \"Requirements for Packaging, Handling, and Transportation
for Aeronautical and Space Systems, Equipment, and Associated
Components\", as may be supplemented by the statement of work or
specifications of this contract, for all items designated as Class I,
II, or III.

\(b\) The Contractor\'s packaging, handling, and transportation
procedures may be used, in whole or in part, subject to the written
approval of the Contracting Officer, provided (1) the Contractor\'s
procedures are not in conflict with any requirements of this contract,
and (2) the requirements of this contract shall take precedence in the
event of any conflict with the Contractor\'s procedures.

\(c\) The Contractor must place the requirements of this clause in all
subcontracts for items that will become components of deliverable Class
I, II, or III items.

**(End of clause)**

\(b\) The NASA Administrator is required by statute to establish
annually a goal to make available to small disadvantaged business
concerns, Historically Black Colleges and Universities, minority
institutions, and women-owned small business concerns, at least 8
percent of NASA's procurement dollars under prime contracts or
subcontracts awarded in support of authorized programs, including the
space station by the time operational status is obtained.

\(c\) The contractor hereby agrees to assist NASA in achieving this goal
by using its best efforts to award subcontracts to such entities to the
fullest extent consistent with efficient contract performance.

\(d\) Contractors acting in good faith may rely on written
representations by their subcontractors regarding their status as small
disadvantaged business concerns, Historically Black Colleges and
Universities, minority institutions, and women-owned small business
concerns.

**(End of clause)**

**1852.219-77 NASA Mentor-Protégé Program.**

As prescribed in 1819.7219(a), insert the following clause:

**NASA MENTOR-PROTÉGÉ PROGRAM**

**(MAY 1999)**

\(a\) Prime contractors, including certain small businesses, are
encouraged to participate in the NASA Mentor-Protégé Program for the
purpose of providing developmental assistance to eligible protégé
entities to enhance their capabilities and increase their participation
in NASA contracts.

\(b\) The Program consists of:

\(1\) Mentor firms, which are large prime contractors with at least one
active subcontracting plan or eligible small businesses;

\(2\) Protégés, which are subcontractors to the prime contractor,
include small disadvantaged business concerns, women-owned small
business concerns, Historically Black Colleges and Universities, and
minority institutions meeting the qualifications specified in NASA FAR
Supplement (NFS) 1819.7209.

\(3\) Mentor-protégé agreements, approved by the NASA Office of Small
and Disadvantaged Business Utilization (OSDBU);

\(4\) In contracts with award fee incentives, potential for payment of
additional fee for voluntary participation and successful performance in
the Mentor-Protégé Program.

\(c\) Mentor participation in the Program, described in NFS 1819.72,
means providing technical, managerial and financial assistance to aid
protégés in developing requisite high-tech expertise and business
systems to compete for and successfully perform NASA contracts and
subcontracts.

\(d\) Contractors interested in participating in the program are
encouraged to contact the NASA OSDBU, Washington, DC 20546, (202)
358-2088, for further information.

**(End of clause)**

**1852.219-79 Mentor Requirements and Evaluation.**

As prescribed in 1819.7219(b), insert the following clause:

**MENTOR REQUIREMENTS AND EVALUATION**

**(MARCH 1999)**

\(a\) The purpose of the NASA Mentor-Protégé Program is for a NASA prime
contractor to provide developmental assistance to certain subcontractors
qualifying as protégés. Eligible protégés include small disadvantaged
business concerns, women-owned small business concerns, Historically
Black Colleges and Universities, and minority institutions meeting the
qualifications specified in NASA FAR Supplement (NFS) 1819.7209.

\(b\) NASA will evaluate the contractor\'s performance on the following
factors. If this contract includes an award fee incentive, this
assessment will be accomplished as part of the fee evaluation process.

\(1\) Specific actions taken by the contractor, during the evaluation
period, to increase the participation of protégés as subcontractors and
suppliers;

\(2\) Specific actions taken by the contractor during this evaluation
period to develop the technical and corporate administrative expertise
of a protégé as defined in the agreement;

\(3\) To what extent the protégé has met the developmental objectives in
the agreement; and

\(4\) To what extent the firm\'s participation in the Mentor-Protégé
Program resulted in the protégé receiving competitive contract(s) and
subcontract(s) from private firms and agencies other than the mentor.

\(c\) Semi-annual reports shall be submitted by the mentor to the NASA
Mentor-Protégé program manager, NASA Headquarters OSDBU, to include
information as outlined in paragraph (b).

\(d\) The mentor will notify the OSDBU and the contracting officer, in
writing, at least 30 days in advance of the mentor firm\'s intent to
voluntarily withdraw from the program or upon receipt of a protégé's
notice to withdraw from the Program;

\(e\) Mentor and protégé firms will submit a \"lessons learned\"
evaluation to the NASA OSDBU at the conclusion of the contract. At the
end of each year in the Mentor-Protégé Program, the mentor and protégé,
as appropriate, will formally brief the NASA Mentor-Protégé program
manager, the technical program manager, and the contracting officer
during a formal program review regarding Program accomplishments as
pertains to the approved agreement.

\(f\) NASA may terminate mentor-protégé agreements for good cause and
exclude mentor or protégé firms from participating in the NASA program.
These actions shall be approved by the NASA OSDBU. NASA shall terminate
an agreement by delivering to the contractor a Notice specifying the
reason for termination and the effective date. Termination of an
agreement does not constitute a termination of the subcontract between
the mentor and the protégé. A plan for accomplishing the subcontract
effort should the agreement be terminated shall be submitted with the
agreement as required in NFS 1819.7213(h).

**(End of clause)**

**1852.219-80 Limitation on Subcontracting -- SBIR Phase I Program.**

As prescribed in 1819.7302(a), insert the following clause:

**LIMITATION ON SUBCONTRACTING -- SBIR PHASE I PROGRAM**

**(OCTOBER 2006)**

The Contractor shall perform a minimum of two-thirds of the research
and/or analytical effort (total contract price less profit) conducted
under this contract. Any deviation from this requirement must be
approved in advance and in writing by the Contracting Officer.

**(End of clause)**

**1852.219-81 Limitation on Subcontracting -- SBIR Phase II Program.**

As prescribed in 1819.7302(b), insert the following clause:

> **LIMITATION ON SUBCONTRACTING -- SBIR PHASE II PROGRAM**

**(OCTOBER 2006)**

The Contractor shall perform a minimum of one-half of the research
and/or analytical effort (total contract price less profit) conducted
under this contract. Any deviation from this requirement must be
approved in advance and in writing by the Contracting Officer. Since the
selection of R&D contractors is substantially based on the best
scientific and technological sources, it is important that the
Contractor not subcontract technical or scientific work without the
Contracting Officer\'s advance approval.

**(End of clause)**

**1852.219-82 Limitation on Subcontracting -- STTR Program.**

As prescribed in 1819.7302(c), insert the following clause:

**LIMITATION ON SUBCONTRACTING -- STTR PROGRAM**

**(OCTOBER 2006)**

The Contractor shall perform a minimum of 40 percent of the work under
this contract (total contract price including cost sharing, if any, less
profit if any). A minimum of 30 percent of the work under this contract
shall be performed by the research institution. Since the selection of
R&D contractors is substantially based on the best scientific and
technological sources, it is important that the Contractor not
subcontract technical or scientific work without the Contracting
Officer\'s advance approval.

**(End of clause)**

**1852.219-83 Limitation of the Principal Investigator -- SBIR
Program.**

As prescribed in 1819.7302(d), insert the following clause:

**LIMITATION OF THE PRINCIPAL INVESTIGATOR -- SBIR PROGRAM**

**(OCTOBER 2006)**

The primary employment of the principal investigator (PI) shall be with
the small business concern (SBC)/Contractor during the conduct of this
contract. Primary employment means that more than one-half of the
principal investigator\'s time is spent in the employ of the
SBC/Contractor. This precludes full-time employment with another
organization. Deviations from these requirements must be approved in
advance and in writing by the Contracting Officer and are not subject to
a change in the firm-fixed price of the contract. The PI for this
contract is [(insert name)]{.underline}.

**(End of clause)**

**1852.219-84 Limitation of the Principal Investigator -- STTR
Program.**

As prescribed in 1819.7302(e), insert the following clause:

**LIMITATION OF THE PRINCIPAL INVESTIGATOR -- STTR PROGRAM**

**(OCTOBER 2006)**

\(a\) The primary employment of the principal investigator (PI)
identified in paragraph (b) of this clause is with the small business
concern (SBC)/Contractor or the research institution (RI). Primary
employment means that more than one-half of the principal
investigator\'s time is spent in the employ of the SBC/Contractor or RI.

\(b\) The PI is considered to be key personnel in the performance of
this contract. The SBC/Contractor, whether or not the employer of the
PI, shall exercise primary management direction and control over the PI
and be overall responsible for the PI's performance under this contract.
Deviations from these requirements must be approved in advance and in
writing by the Contracting Officer and are not subject to a change in
the firm-fixed price of the contract. The PI for this contract is
[(insert name)]{.underline}.

**(End of clause)**

**1852.219-85 Conditions for Final Payment -- SBIR and STTR Contracts.**

As prescribed in 1819.7302 (f), insert the following clause:

**CONDITIONS FOR FINAL PAYMENT - SBIR AND STTR CONTRACTS**

**(OCTOBER 2006)**

As a condition for final payment under this contract, the Contractor
shall provide the following certifications as part of its final payment
invoice request:

During performance of this contract \--

1\. Essentially equivalent work performed under this contract has not
been proposed for funding to another Federal agency;

2\. No other Federal funding award has been received for essentially
equivalent work performed under this contract;

3\. Deliverable items submitted under this contract have not been
submitted as deliverable items under another Federal funding award;

4\. [For SBIR contracts:]{.underline} The subcontracting limitation set
forth in this contract was not exceeded except as approved in writing by
the Contracting Officer on [(insert date of approval or modification
number.)]{.underline};

5\. [For STTR contracts:]{.underline} The subcontracting limitation set
forth in this contract was not exceeded;

6\. [For SBIR contracts]{.underline}: The primary employment of the
principal investigator (PI) identified in this SBIR contract was with
the Contractor, except as approved in writing by the Contracting Officer
on ([insert date of approval or modification number.]{.underline}); and

7\. [For STTR contracts]{.underline}: The primary employment of the
principal investigator (PI) identified in this STTR contract was the
SBC/Contractor or the research institution (RI). The PI identified in
the STTR contract was considered key in the performance of this
contract. The SBC/Contractor whether or not the employer of the PI, did
exercise primary management direction and control over the PI and was
overall responsible for the PI's performance under this contract. Any
substitutions of this individual were approved in writing by the
Contracting Officer on ([insert date of approval or modification
number.]{.underline}).

I understand that the willful provision of false information or
concealing a material fact in this representation is a criminal offense
under Title 18 USC, Section 1001, False Statements, as well as Title 18
USC, Section 287, False Claims.

**(End of clause)**

**1852.223-70** **Safety** **and** **Health.**

As prescribed in 1823.7001(a), insert the following clause:

**SAFETY AND HEALTH**

**(APRIL 2002)**

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

\(b\) The Contractor shall take all reasonable safety and occupational
health measures in performing this contract. The Contractor shall comply
with all Federal, State, and local laws applicable to safety and
occupational health and with the safety and occupational health
standards, specifications, reporting requirements, and any other
relevant requirements of this contract.

\(c\) The Contractor shall take, or cause to be taken, any other safety,
and occupational health measures the Contracting Officer may reasonably
direct. To the extent that the Contractor may be entitled to an
equitable adjustment for those measures under the terms and conditions
of this contract, the equitable adjustment shall be determined pursuant
to the procedures of the changes clause of this contract; provided, that
no adjustment shall be made under this Safety and Health clause for any
change for which an equitable adjustment is expressly provided under any
other clause of the contract.

\(d\) The Contractor shall immediately notify and promptly report to the
Contracting Officer or a designee any accident, incident, or exposure
resulting in fatality, lost-time occupational injury, occupational
disease, contamination of property beyond any stated acceptable limits
set forth in the contract Schedule; or property loss of \$25,000 or
more, or Close Call (a situation or occurrence with no injury, no damage
or only minor damage (less than \$1,000) but possesses the potential to
cause any type mishap, or any injury, damage, or negative mission
impact) that may be of immediate interest to NASA, arising out of work
performed under this contract. The Contractor is not required to include
in any report an expression of opinion as to the fault or negligence of
any employee. In addition, service contractors (excluding construction
contracts) shall provide quarterly reports specifying lost-time
frequency rate, number of lost-time injuries, exposure, and
accident/incident dollar losses as specified in the contract Schedule.

\(e\) The Contractor shall investigate all work-related incidents,
accidents, and Close Calls, to the extent necessary to determine their
causes and furnish the Contracting Officer a report, in such form as the
Contracting Officer may require, of the investigative findings and
proposed or completed corrective actions.

(f)(1) The Contracting Officer may notify the Contractor in writing of
any noncompliance with this clause and specify corrective actions to be
taken. When the Contracting Officer becomes aware of noncompliance that
may pose a serious or imminent danger to safety and health of the
public, astronauts and pilots, the NASA workforce (including contractor
employees working on NASA contracts), or high value mission critical
equipment or property, the Contracting Officer shall notify the
Contractor orally, with written confirmation. The Contractor shall
promptly take and report any necessary corrective action.

\(2\) If the Contractor fails or refuses to institute prompt corrective
action in accordance with subparagraph (f)(1) of this clause, the
Contracting Officer may invoke the stop-work order clause in this
contract or any other remedy available to the Government in the event of
such failure or refusal.

\(g\) The Contractor (or subcontractor or supplier) shall insert the
substance of this clause, including this paragraph (g) and any
applicable Schedule provisions and clauses, with appropriate changes of
designations of the parties, in all solicitations and subcontracts of
every tier, when one or more of the following conditions exist:

\(1\) The work will be conducted completely or partly on premises owned
or controlled by the Government.

\(2\) The work includes construction, alteration, or repair of
facilities in excess of the simplified acquisition threshold.

\(3\) The work, regardless of place of performance, involves hazards
that could endanger the public, astronauts and pilots, the NASA
workforce (including Contractor employees working on NASA contracts), or
high value equipment or property, and the hazards are not adequately
addressed by Occupational Safety and Health Administration (OSHA) or
Department of Transportation (DOT) regulations (if applicable).

\(4\) When the Contractor (or subcontractor or supplier) determines that
the assessed risk and consequences of a failure to properly manage and
control the hazard(s) warrants use of the clause.

\(h\) The Contractor (or subcontractor or supplier) may exclude the
provisions of paragraph (g) from its solicitation(s) and subcontract(s)
of every tier when it determines that the clause is not necessary
because the application of the OSHA and DOT (if applicable) regulations
constitute adequate safety and occupational health protection. When a
determination is made to exclude the provisions of paragraph (g) from a
solicitation and subcontract, the Contractor must notify and provide the
basis for the determination to the Contracting Officer. In subcontracts
of every tier above the micro-purchase threshold for which paragraph (g)
does not apply, the Contractor (or subcontractor or supplier) shall
insert the substance of paragraphs (a), (b), (c), and (f) of this
clause).

\(i\) Authorized Government representatives of the Contracting Officer
shall have access to and the right to examine the sites or areas where
work under this contract is being performed in order to determine the
adequacy of the Contractor\'s safety and occupational health measures
under this clause.

\(j\) The contractor shall continually update the safety and health plan
when necessary. In particular**,** the Contractor shall furnish a list
of all hazardous operations to be performed, and a list of other major
or key operations required or planned in the performance of the
contract, even though not deemed hazardous by the Contractor. NASA and
the Contractor shall jointly decide which operations are to be
considered hazardous, with NASA as the final authority. Before hazardous
operations commence, the Contractor shall submit for NASA concurrence
\--

\(1\) Written hazardous operating procedures for all hazardous
operations; and/or

\(2\) Qualification standards for personnel involved in hazardous
operations.

**(End of clause)**

**1852.223-71** **Frequency** **Authorization.**

As prescribed in 1823.7101, insert the following clause:

**FREQUENCY AUTHORIZATION**

**(DECEMBER 1988)**

\(a\) Authorization of radio frequencies required in support of this
contract shall be obtained by the Contractor or subcontractor in need
thereof.

\(b\) For any experimental, developmental, or operational equipment for
which the appropriate frequency allocation has not been made, the
Contractor or subcontractor shall provide the technical operating
characteristics of the proposed electromagnetic radiating device to the
Contracting Officer during the initial planning, experimental, or
developmental phase of contractual performance. Procedures furnished by
the Contracting Officer shall be followed in obtaining radio frequency
authorization.

\(c\) This clause, including this paragraph (c), shall be included in
all subcontracts that call for developing, producing, testing, or
operating a device for which a radio frequency authorization is
required.

**(End of clause)**

1852.223-72 Safety and Health (Short Form).

As prescribed in 1823.7001(e), insert the following clause:

SAFETY AND HEALTH (SHORT FORM)

(APRIL 2002)

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

\(b\) The Contractor shall take all reasonable safety and occupational
health measures consistent with standard industry practice in performing
this contract. The Contractor shall comply with all Federal, State, and
local laws applicable to safety and occupational health and with the
safety and occupational health standards, specifications, reporting
requirements, and any other relevant requirements of this contract.

\(c\) The Contractor shall take, or cause to be taken, any other safety,
and occupational health measures the Contracting Officer may reasonably
direct. To the extent that the Contractor may be entitled to an
equitable adjustment for those measures under the terms and conditions
of this contract, the equitable adjustment shall be determined pursuant
to the procedures of the Changes clause of this contract; provided, that
no adjustment shall be made under this Safety and Health clause for any
change for which an equitable adjustment is expressly provided under any
other clause of the contract.

\(d\) The Contracting Officer may notify the Contractor in writing of
any noncompliance with this clause and specify corrective actions to be
taken. In situations where the Contracting Officer becomes aware of
noncompliance that may pose a serious or imminent danger to safety and
health of the public, astronauts and pilots, the NASA workforce
(including Contractor employees working on NASA contracts), or high
value mission critical equipment or property, the Contracting Officer
shall notify the Contractor orally, with written confirmation. The
Contractor shall promptly take and report any necessary corrective
action. The Government may pursue appropriate remedies in the event the
Contractor fails to promptly take the necessary corrective action.

\(e\) The Contractor (or subcontractor or supplier) shall insert the
substance of this clause, including this paragraph (e) and any
applicable Schedule provisions, with appropriate changes of designations
of the parties, in subcontracts of every tier that exceed the
micro-purchase threshold.

**(End of clause)**

**1852.223-73  Safety and Health Plan.**

As prescribed in 1823.7001(c), insert the following provision:

**SAFETY AND HEALTH PLAN**

**(NOVEMBER 2004)**

\(a\) The offeror shall submit a detailed safety and occupational health
plan as part of its proposal

(see NPR 8715.3, NASA Safety Manual, Appendices). The plan shall include
a detailed discussion of the policies, procedures, and techniques that
will be used to ensure the safety and occupational health of Contractor
employees and to ensure the safety of all working conditions throughout
the performance of the contract.

\(b\) When applicable, the plan shall address the policies, procedures,
and techniques that will be used to ensure the safety and occupational
health of the public, astronauts and pilots, the NASA workforce
(including Contractor employees working on NASA contracts), and
high-value equipment and property.

\(c\) The plan shall similarly address subcontractor employee safety and
occupational health for those proposed subcontracts that contain one or
more of the following conditions:

\(1\) The work will be conducted completely or partly on premises owned
or controlled by the

government.

\(2\) The work includes construction, alteration, or repair of
facilities in excess of the

simplified acquisition threshold.

\(3\) The work, regardless of place of performance, involves hazards
that could endanger the

public, astronauts and pilots, the NASA workforce (including Contractor
employees working on NASA contracts), or high value equipment or
property, and the hazards are not adequately addressed by Occupational
Safety and Health Administration (OSHA) or Department of Transportation
(DOT) regulations (if applicable).

\(4\) When the assessed risk and consequences of a failure to properly
manage and control the

hazards warrants use of the clause.

\(d\) This plan, as approved by the Contracting Officer, will be
included in any resulting contract.

(End of provision)

**ALTERNATE I**

**(NOVEMBER 2004)**

As prescribed in 1823.7001(c), delete the first sentence in paragraph
(a) of the basic provision and substitute the following:

The apparent low bidder, upon request by the Contracting Officer, shall
submit a detailed safety and occupational health plan (see NPR 8715.3,
NASA Safety Manual, Appendices). The plan shall be submitted within the
time specified by the Contracting Officer. Failure to submit an
acceptable plan shall make the bidder ineligible for the award of a
contract.

**1852.223-74 Drug- and alcohol-free workforce.**

As prescribed in 1823.570-2, insert the following clause:

**DRUG- AND ALCOHOL-FREE WORKFORCE**

**(MARCH 1996)**

\(a\) **Definitions.** As used in this clause the terms **\"employee,\"
\"controlled substance,\"** **\"employee in a sensitive position,\"**
and **"use, in violation of applicable law or Federal regulation, of
alcohol"** are as defined in 48 CFR 1823.570-2.

(b)(1) The Contractor shall institute and maintain a program for
achieving a drug-and alcohol-free workforce. As a minimum, the program
shall provide for preemployment, reasonable suspicion, random,
post-accident, and periodic recurring (follow-up) testing of contractor

employees in sensitive positions for use, in violation of applicable law
or Federal regulation, of alcohol or a controlled substance. The
Contractor may establish its testing or rehabilitation program in
cooperation with other contractors or organizations.

\(2\) This clause neither prohibits nor requires the Contractor to test
employees in a foreign country. If the Contractor chooses to conduct
such testing, this clause does not authorize the Contractor to violate
foreign law in conducting such testing.

\(3\) The Contractor\'s program shall test for the use of marijuana and
cocaine. The Contractor\'s program may test for the use of other
controlled substances.

\(4\) The Contractor\'s program shall conform to the \"Mandatory
Guidelines for Federal Workplace Drug Testing Programs\" published by
the Department of Health and Human Services (59 FR 29908, June 9, 1994)
and the procedures in 49 CFR part 40, \"Procedures for Transportation
Workplace Drug Testing Programs,\" in which references to \"DOT\" shall
be read as \"NASA\", and the split sample method of collection shall be
used.

(c)(1) The Contractor\'s program shall provide, where appropriate, for
the suspension, disqualification, or dismissal of any employee in a
sensitive position in any instance where a test conducted and confirmed
under the Contractor\'s program indicates that such individual has used,
in violation of applicable law or Federal regulation, alcohol or a
controlled substance.

\(2\) The Contractor\'s program shall further prohibit any such
individual from working in a sensitive position on a NASA contract,
unless such individual has completed a program of rehabilitation
described in paragraph (d) of this clause.

\(3\) The Contractor\'s program shall further prohibit any such
individual from working in any sensitive position on a NASA contract if
the individual is determined under the Contractor\'s program to have
used, in violation of applicable law or Federal regulation, alcohol or a
controlled substance and the individual meets any of the following
criteria:

\(i\) The individual had undertaken or completed a rehabilitation
program described in paragraph (d) of this clause prior to such use;

\(ii\) Following such determination, the individual refuses to undertake
such a rehabilitation program;

\(iii\) Following such determination, the individual fails to complete
such a rehabilitation program; or

\(iv\) The individual used a controlled substance or alcohol while on
duty.

\(d\) The Contractor shall institute and maintain an appropriate
rehabilitation program which shall, as a minimum, provide for the
identification and opportunity for treatment of employees whose duties
include responsibility for safety-sensitive, security, or National
security functions who are in need of assistance in resolving problems
with the use of alcohol or controlled substances.

\(e\) The requirements of this clause shall take precedence over any
state or local Government laws, rules, regulations, ordinances,
standards, or orders that are inconsistent with the requirements of this
clause.

\(f\) For any collective bargaining agreement, the Contractor will
negotiate the terms of its program with employee representatives, as
appropriate, under labor relations laws or negotiated agreements. Such
negotiation, however, cannot change the requirements of this clause.
Employees covered under collective bargaining agreements will not be
subject to the requirements of this clause until those agreements have
been modified, as necessary; provided, however, that if one year after
commencement of negotiation the parties have failed to reach agreement,
an impasse will be determined to have been reached and the Contractor
will unilaterally implement the requirements of this clause.

\(g\) The Contractor shall insert a clause containing all the terms of
this clause, including this paragraph (g), in all subcontracts in which
work is performed by an employee in a sensitive position, except
subcontracts for commercial items (see FAR Parts 2 and 12).

**(End of clause)**

**1852.223-75 Major Breach of Safety or Security.**

As prescribed in 1823.7001(d), insert the following clause:

**MAJOR BREACH OF SAFETY OR SECURITY**

**(FEBRUARY 2002)**

(a) Safety is the freedom from those conditions that can cause death,
    injury, occupational

> illness, damage to or loss of equipment or property, or damage to the
> environment. Safety is essential to NASA and is a material part of
> this contract. NASA's safety priority is to protect: (1) the public;
> (2) astronauts and pilots; (3) the NASA workforce (including
> contractor employees working on NASA contracts); and (4) high-value
> equipment and property. A major breach of safety may constitute a
> breach of contract that entitles the Government to exercise any of its
> rights and remedies applicable to material parts of this contract,
> including termination for default. A major breach of safety must be
> related directly to the work on the contract. A major breach of safety
> is an act or omission of the Contractor that consists of an accident,
> incident, or exposure resulting in a fatality or mission failure; or
> in damage to equipment or property equal to or greater than \$1
> million; or in any \"willful\" or \"repeat\" violation cited by the
> Occupational Safety and Health Administration (OSHA) or by a state
> agency operating under an OSHA approved plan.

\(b\) Security is the condition of safeguarding against espionage,
sabotage, crime (including computer crime), or attack. A major breach of
security may constitute a breach of contract that entitles the
Government to exercise any of its rights and remedies applicable to
material parts of this contract, including termination for default. A
major breach of security may occur on or off Government installations,
but must be related directly to the work on the contract. A major breach
of security is an act or omission by the Contractor that results in
compromise of classified information, illegal technology transfer,
workplace violence resulting in criminal conviction, sabotage,
compromise or denial of information technology services, equipment or
property damage from vandalism greater than \$250,000, or theft greater
than \$250,000.

\(c\) In the event of a major breach of safety or security, the
Contractor shall report the breach to the Contracting Officer. If
directed by the Contracting Officer, the Contractor shall conduct its
own investigation and report the results to the Government. The
Contractor shall cooperate with the Government investigation, if
conducted.

**(End of clause)**

**ALTERNATE I**

**(FEBRUARY 2006)**

As prescribed in 1823.7001(d)(2), substitute the following paragraphs
(a) and (b) for paragraphs (a) and (b) of the basic clause:

  (a) Safety is the freedom from those conditions that can cause death,
injury, occupational illness, damage to or loss of equipment or
property, or damage to the environment. Safety is

essential to NASA and is a material part of this contract. NASA's safety
priority is to protect: (1) the public; (2) astronauts and pilots; (3)
the NASA workforce (including contractor employees working on NASA
contracts); and (4) high-value equipment and property. A major breach of
safety may constitute a breach of contract that entitles the Government
to exercise any of its rights and remedies applicable to material parts
of this contract, including termination. A major breach of safety must
be related directly to the work on the contract. A major breach of
safety is an act or omission of the Contractor that consists of an
accident, incident, or exposure resulting in a fatality or mission
failure; or in damage to equipment or property equal to or greater than
\$1 million; or in any \"willful\" or \"repeat\" violation cited by the
Occupational Safety and Health Administration (OSHA) or by a state
agency operating under an OSHA approved plan.

  (b) Security is the condition of safeguarding against espionage,
sabotage, crime (including computer crime), or attack. A major breach of
security may constitute a breach of contract that entitles the
Government to exercise any of its rights and remedies applicable to
material parts of this contract, including termination. A major breach
of security may occur on or off Government installations, but must be
related directly to the work on the contract. A major breach of security
is an act or omission by the Contractor that results in compromise of
classified information, illegal technology transfer, workplace violence
resulting in criminal conviction, sabotage, compromise or denial of
information technology services, equipment or property damage from
vandalism greater than \$250,000, or theft greater than \$250,000.

**1852.223-76 Federal Automotive Statistical Tool Reporting.**

As prescribed at 1823.271 and 1851.205, insert the following clause:

**FEDERAL AUTOMOTIVE STATISTICAL TOOL REPORTING**

**(JULY 2003)**

If authorized to operate Government-owned or --leased vehicles,
including interagency fleet management system (IFMS) vehicles or related
services in performance of this contract, the Contractor shall report
the data describing vehicle usage required by the Federal Automotive
Statistical Tool (FAST) by October 15 of each year. FAST is accessed
through http://fastweb.inel.gov/.

**(End of clause)**

**1852.225-8** **Duty-Free Entry of Space Articles.**

As prescribed in 1825.1101(e), add the following paragraph (k) to the
basic clause at FAR 52.225-8:

\(k\) The following supplies will be given duty-free entry:

\[Insert the supplies that are to be accorded duty-free entry.\]

**(End of addition)**

**1852.225-70 Export Licenses.**

As prescribed in 1825.1103-70(b), insert the following clause:

**EXPORT LICENSES**

**(FEBRUARY 2000)**

\(a\) The Contractor shall comply with all U.S. export control laws and
regulations, including the International Traffic in Arms Regulations
(ITAR), 22 CFR Parts 120 through 130, and the Export Administration
Regulations (EAR), 15 CFR Parts 730 through 799, in the performance of
this contract. In the absence of available license
exemptions/exceptions, the Contractor shall be responsible for obtaining
the appropriate licenses or other approvals, if required, for exports of
hardware, technical data, and software, or for the provision of
technical assistance.

\(b\) The Contractor shall be responsible for obtaining export licenses,
if required, before utilizing foreign persons in the performance of this
contract, including instances where the work is to be performed on-site
at \[*insert name of NASA installation*\], where the foreign person will
have access to export-controlled technical data or software.

\(c\) The Contractor shall be responsible for all regulatory record
keeping requirements associated with the use of licenses and license
exemptions/exceptions.

\(d\) The Contractor shall be responsible for ensuring that the
provisions of this clause apply to its subcontractors.

**(End of clause)**

**ALTERNATE I**

**(FEBRUARY 2000)**

As prescribed in 1825.1103-70(b), add the following paragraph (e) as
Alternate I to the clause:

\(e\) The Contractor may request, in writing, that the Contracting
Officer authorize it to export ITAR-controlled technical data (including
software) pursuant to the exemption at 22 CFR 125.4(b)(3). The
Contracting Officer or designated representative may authorize or direct
the use of the exemption where the data does not disclose details of the
design, development, production, or manufacture of any defense article.