The complete NASA Proposal Package (Boilerplate) can be downloaded from

**<http://www.lanl.gov/csse/>nasa_forms**

Forms dated prior to **4/99** are out-of-date and should not be used.

**Proposal packages must be submitted to CSSE at least 1 week prior to**

**NASA deadline.**

# 1. THE NASA PROPOSAL PACKAGE (BOILERPLATE) (as of 4/99)

The complete NASA proposal package consists of a set of boilerplate
forms, a submittal letter, the statement of work, and specific NASA
required information and forms found in the Announcement of Opportunity
Appendices. The complete proposal package may be downloaded from the
CSSE web site or by calling CSSE at 7-1624.

**PROPOSAL LETTERS** There are three submittal letters to choose from.
Letter 1 is to be used when Los Alamos is the Principal Investigator and
will be submitting the final proposal to NASA. Letter 2 is to be used
when Los Alamos is not the Principal Investigator and will be submitting
the Los Alamos portion of work and Los Alamos funding profile to the
Principal Investigator at another institution. Letter 3 is used after
the proposal has been accepted to request NASA send the Los Alamos
portion of funds separately to Los Alamos via DOE/Albuquerque.

**PROPOSAL STATEMENT OF WORK (SOW)** A statement of the work to be
accomplished in this proposal is required. In the event Los Alamos is
not the Principal Investigator, only the Los Alamos portion of work is
to be defined. Proposal instructions and requirements are included in
Appendix C of the NASA Announcement of Opportunity. If NASA does not
provide this information, or there is no other guidance available, use
form WFOFA-3/CSSE-3 and see *Step 3* later in this document.

**BOILERPLATE (REQUIRED)** **FORMS** **(WFOFA/CSSE-1, -2, -3, -4, -5,
yellow sheets, Funding Profile)** The Los Alamos National Laboratory and
Department of Energy require specific information on all Work For
Others-Other Federal Agency (WFOFA) proposals. This information is
captured in a set of forms developed specifically for NASA proposals.
The forms comprising the NASA Boilerplate are:

> WFOFA-1/CSSE-1 Proposal Approval Form
>
> WFOFA-2/CSSE-2 Executive Summary (OSTP) Form
>
> WFOFA-3/CSSE-3 Proposal Cover Sheet (required if NASA cover sheet not
> required)
>
> WFOFA-4/CSSE-4 Determinations and Certification Form
>
> WFOFA-5/CSSE-5 ES&H Documentation for Proposals Form
>
> Non-DOE Proposal Financial Estimate Worksheet (yellow sheets)

Funding Profile and Cost Estimate Form

The last two forms are prepared by the group or organization
BUS-Division Representative (budget analyst).

These forms (except for the financial forms) may be downloaded
individually or have been combined in a single file for your
convenience. The "NASA Boilerplate" contains all the WFOFA-x/CSSE-x
forms plus all 3 submittal letters in one file.

[WFOFA/CSSE **Acrobat fillable PDF Proposal Package Forms**]{.underline}
(Requires Acrobat software.) (dated **4/99**)

**or**

[WFOFA/CSSE **Microsoft Word Proposal Package Forms**]{.underline}
(Requires MS Word software.) (dated **4/99**)

> WFOFA-1/CSSE-1 Proposal Approval Form (required)
>
> WFOFA-2/CSSE-2 Executive Summary (OSTP) Form (required)
>
> WFOFA-3/CSSE-3 Proposal Cover Sheet (required unless NASA mandates a
> specific form)
>
> WFOFA-4/CSSE-4 Determinations and Certification Form (required)
>
> WFOFA-5/CSSE-5 ES&H Documentation for Proposals Form (required)
>
> NASA Boilerplate All WFOFA-x/CSSE-x forms plus submittal letters in
> one file
>
> Non-DOE Proposal Financial Estimate Worksheet (yellow sheets; required
> \[prepared by your BUS-Division Representative\])

Funding Profile and Cost Estimate Form (required \[prepared by your
BUS-Division Representative\])

**ADDITIONAL FORMS**

The following forms may be included in your Proposal Package, if
applicable.

> WFOFA-6 Classification Guidance and Security Considerations
> Certification
>
> NASA endorsement letter

# 2. INSTRUCTIONS

**Instructions:** Begin at the Center for Space Science and Exploration
(CSSE) homepage and go to "NASA Proposal Package Link." Open the
*Instructions* *and Steps* document for general information about
preparing your Proposal and specific steps before entering Proposal
information. Each **Step** has a corresponding **Action** and an
**Information** section. Call the Center for Space Science and
Exploration at 7-1624, for help if needed. Ensure the completed Proposal
Package has no grammatical, spelling, or typographical errors. It is the
policy of CSSE to submit excellent quality proposals.

**Note to Project Leaders: Please notify CSSE of your intent to submit a
proposal as soon as possible.** This allows the staff to schedule
appropriately. Consider the following important factors when preparing
your Proposal.

> • The technical/programmatic integrity and quality of the Proposal are
> primarily the responsibility of the Project Leader. The Proposal must
> sufficiently address unique Laboratory capabilities; technical content
> and approach; ES&H issues, as applicable; project start and end dates;
> deliverables in the form of services or products; reports; data;
> presentations; studies; and requested funding such that the *sponsor*
> can defend the Proposal. There should be a strong causal relation
> among proposed technical performance; deliverables, schedule, and
> milestones; manpower; and requested funding.
>
> • Determination of the Laboratory\'s uniqueness is of increasing
> importance to avoid the perception of competition with the private
> sector. Bases for demonstrating uniqueness include, but are not
> limited to:
>
> \- use of capital facilities not available in the private sector or
> elsewhere, e.g., the Advanced Computing Laboratory, the Center for
> Human Genome Studies, or firing sites;
>
> \- extensive expertise and experience in specific technical areas;
>
> \- management experience with multidisciplinary research and
> development programs or original research; and,
>
> \- a proven capability to accomplish objectives of the program in a
> timely manner, e.g., rapid prototyping at considerable savings to the
> Government in terms of cost, technical risk, or protection of
> sensitive information.
>
> • If ES&H, National Environmental Policy Act (NEPA), aviation
> operations, security, or classification issues are involved, steps
> should be taken early in the preparation of the Proposal to determine
> the requirements, obtain the necessary guidance, estimate the schedule
> and budget for required approvals, and complete the appropriate
> paperwork. By doing these steps early and in parallel, you may avoid
> delays.
>
> • **Plan sufficient time for internal review and approval (ESH-20 and
> the ESH-3 ID-Process, BUS-3) and DOE/LAAO\'s part in the NEPA review
> (where applicable). Proposed starting dates should be realistic. Work
> on NEPA Categorical Exclusion (CX-B) activities cannot commence prior
> to LAAO\'s completion of a CX-B determination.**
>
> • NASA and several other Federal agencies have special proposal
> requirements, e.g., content, forms, proposal templates, etc. A
> complete package includes WFOFA/CSSE forms -1, -2, -3[^1], -4, and -5;
> one of the transmittal letters; the Funding Profile and Cost Estimate
> Summary; the \"yellow sheets\": Non-DOE Proposal Financial Estimate
> Worksheet(s) (contact your Division BUS representative for these two
> items); and other forms as specified by NASA. If you use an agency\'s
> proposal format, ensure that all items in *Step 4a* of the
> instructions, Proposal Statement of Work, are addressed.

**Revised Proposals:** When delays in any deliverable/milestone
identified in a funded WFOFA Proposal will exceed one month, the Project
Leader will negotiate a revised schedule with the sponsor (telephone
calls are acceptable) and make the agreement a matter of record in a
brief memorandum to the sponsor, DOE/AL/LPD, and CSSE. When the task,
cost, and fiscal years do not change in this process, filing of this
memorandum will be treated by all parties as equivalent to a formal
Proposal change.

If it becomes necessary to change the amount of funding requested, the
proposed tasks, or the schedule and deliverables/milestones, DOE/AL may
require that a revised Proposal Package be prepared or they may accept
the submission of just the revised portions of the Proposal. DOE/AL has
stated that they will look at each case on an individual basis and make
a determination. Issues such as changes in ES&H and security concerns
will impact this determination. For all proposal revisions, check with
CSSE at 7-1624.

**Notification of Acceptance/Rejection:** The PI is to inform CSSE on
the acceptance or rejection of the proposal by the sponsor by sending a
copy of the notice, if possible, or by e-mail notice to csse@lanl.gov.

# 3. STEPS

The following suggested sequence of actions is offered to help
accomplish efficient and effective preparation, review, and approval of
your Proposal Package.

+-------+-------------+-----------------------------------------------+
| ***St | *           | ######### Information                         |
| ep*** | **Action*** |                                               |
+-------+-------------+-----------------------------------------------+
| **    | ###### Cal  | Be prepared to answer the following           |
| *Step | l BUS-3 at  | questions:                                    |
| 1***  |             |                                               |
|       | 7-6090 to   | • Is this a new or continuing Proposal?       |
|       | request a   | (Continuing proposals don't need a whole new  |
|       | Proposal    | number, only a new FY designator.)            |
|       | number. If  |                                               |
|       | unable to   | • If this is a continuing Proposal, what is   |
|       | reach       | the program code?                             |
|       | someone at  |                                               |
|       | that        | • Who is the sponsor?                         |
|       | number,     |                                               |
|       | call\       | • What is the title of the Proposal?          |
|       | 7-8598 or   |                                               |
|       |             | • Who is the Project Leader/Principal         |
|       | *5-2997.*   | Investigator? The NASA Program Manager is     |
|       |             | David J. McComas                              |
|       |             |                                               |
|       |             | • Is the work classified or unclassified?     |
|       |             |                                               |
|       |             | • What is the total amount of requested       |
|       |             | funding? If this is a multi-year Proposal,    |
|       |             | what are the total amounts requested for each |
|       |             | FY?                                           |
+-------+-------------+-----------------------------------------------+
| **    | *Complete   | The Agency contact is the technical contact   |
| *Step | the         | with whom the Project Leader will be in close |
| 2***  | appropriate | communication. The Agency Mailing address is  |
|       | (NASA) Work | the address to whom the proposal will be      |
|       | for Other   | mailed. This is not typically the address of  |
|       | Federal     | the technical contact; oftentimes it is the   |
|       | Agencies    | address of the organization collecting        |
|       | Proposal    | proposals for the AO.                         |
|       | Approval    |                                               |
|       | Form.*      |                                               |
+-------+-------------+-----------------------------------------------+
| **    | *Complete   | This form has been included to assess which   |
| *Step | Executive   | Laboratory Technical Core Competency that     |
| 3***  | Summary,    | your Proposal develops or maintains, provides |
|       | WFOFA-2     | summary information to CSSE, and facilitates  |
|       | (8/98).*    | our response to a yearly call for             |
|       |             | programmatic information on federally-funded  |
|       | *(Internal  | R&D from the National Science and Technology  |
|       | Use Only)*  | Council (NSTC). The NSTC call responds to a   |
|       |             | Presidential initiative administered by the   |
|       |             | White House Office of Science and Technology  |
|       |             | Policy (OSTP). This initiative establishes a  |
|       |             | strong coupling between nine national goals   |
|       |             | or categories (see WFOFA-2) and the           |
|       |             | President\'s science budget.                  |
+-------+-------------+-----------------------------------------------+
| ##### | *Complete   | Provide all information requested **unless    |
| ## St | Proposal    | specific guidance is provided by NASA in the  |
| ep 4a | Statement   | Announcement of Opportunity (AO) Appendix     |
|       | of Work,*   | A**. The technical/programmatic integrity and |
|       |             | quality of the Proposal are primarily the     |
|       | *W          | responsibility of the Principal Investigator. |
|       | FOFA/CSSE-3 | The Proposal should be well written without   |
|       | (4/99).*    | grammatical, spelling, or typographical       |
|       |             | errors. A complete Proposal must address      |
|       | *This       | unique Laboratory capabilities, technical     |
|       | template is | content and approach, ES&H issues (as         |
|       | not         | applicable), deliverables in the form of      |
|       | required by | products and milestones, manpower, and costs. |
|       | merely      | There should be a strong causal relation      |
|       | given as a  | among proposed technical performance;         |
|       | guideline   | deliverables, schedule, and milestones; and   |
|       | to what     | requested funding.                            |
|       | information |                                               |
|       | is included | **Section I. Executive Summary** - Briefly    |
|       | in a        | describe the proposed work.                   |
|       | proposal.*  |                                               |
|       |             | **Section II.** **Technical Description** -   |
|       | *Work with  | Describe technical objectives, benefits to    |
|       | your BUS    | sponsor, unique Laboratory capabilities, and  |
|       | Division    | any relevant previous work done at the        |
|       | Rep         | Laboratory. A strong, concise uniqueness      |
|       | resentative | statement is critical to DOE/AL endorsement   |
|       | to complete | (see Note to Project Leaders in               |
|       | the Funding | Instructions).                                |
|       | Profile and |                                               |
|       | Cost        | **Section III.** **Proposed Scope of Work**   |
|       | Estimate    | -- Provide description of overall approach.   |
|       | Form*       | Include tasks, task descriptions, and         |
|       |             | deliverables.                                 |
|       |             |                                               |
|       |             | **Section IV.** **Schedule/Milestones** -     |
|       |             | List major project milestones. A              |
|       |             | schedule/milestone chart(s) broken out by     |
|       |             | tasks is desirable, but not mandatory (unless |
|       |             | required by sponsor).                         |
|       |             |                                               |
|       |             | **Section V. Financial Requirements** --      |
|       |             | Include DOE departmental overhead (3%), even  |
|       |             | if requesting waiver. Include continuity      |
|       |             | funds if Proposal is multi-year. For          |
|       |             | construction projects, the sponsor is         |
|       |             | responsible for obtaining necessary           |
|       |             | Congressional approval.                       |
|       |             |                                               |
|       |             | **Section VI. Reporting** -- Address sponsor  |
|       |             | reporting requirements (e.g., monthly         |
|       |             | progress letters).                            |
|       |             |                                               |
|       |             | **Section VII. Management and Personnel** --  |
|       |             | Indicate Project Leader; the NASA Program     |
|       |             | Manager is David J. McComas. For large,       |
|       |             | multi-organizational or teaming proposals,    |
|       |             | identify other key participants by            |
|       |             | organization and responsibilities. If you are |
|       |             | teaming in support of another organization\'s |
|       |             | proposal, also complete an Endorsement letter |
|       |             | (see instructions in *Step 5*). Contact CSSE, |
|       |             | 7-1624, to obtain a copy of this letter.      |
|       |             |                                               |
|       |             | **Section VIII. Property Management** --      |
|       |             | Include property, buildings, equipment, and   |
|       |             | waste disposition costs in Proposal budget,   |
|       |             | and property disposition at project           |
|       |             | termination. Instructions for disposition of  |
|       |             | equipment acquired with sponsor funding are   |
|       |             | provided on the form. Instructions for        |
|       |             | disposition of equipment acquired with        |
|       |             | sponsor funding are to be provided by the     |
|       |             | sponsor in the funding document.              |
|       |             |                                               |
|       |             | **Section IX.** **ES&H Issues** -- Insert     |
|       |             | issues from WFOFA/CSSE-4 and -5               |
|       |             | "Determination & Certification Form" and      |
|       |             | "ES&H Documentation for Proposals" forms to   |
|       |             | determine if Proposal requires ES&H           |
|       |             | compliance actions. You are not required to   |
|       |             | complete ES&H actions before submission of    |
|       |             | Proposal, but you must include estimates of   |
|       |             | schedule and cost of ES&H compliance. Type    |
|       |             | "Not applicable" if appropriate.              |
|       |             |                                               |
|       |             | **Section X.** **Classification and           |
|       |             | Security** -- Select appropriate statement    |
|       |             | and delete others. If classified information  |
|       |             | will be generated at Los Alamos, please note  |
|       |             | the requirement for classification guidance.  |
|       |             |                                               |
|       |             | **Section XI. Related Work/Technical          |
|       |             | References** -- Add curricula vitae,          |
|       |             | references, and specific information relevant |
|       |             | to this Proposal. If supporting a teaming     |
|       |             | Proposal, cite and attach lead                |
|       |             | organization\'s Proposal to sponsor.          |
+-------+-------------+-----------------------------------------------+
| **    | *I          | When a NASA proposal is written in            |
| *Step | nstructions | collaboration with researchers from other     |
| 4b*** | for         | institutions, there are certain requirements  |
|       | submitting  | Los Alamos and DOE must meet:                 |
|       | a proposal  |                                               |
|       | in support  | 1.  If a Laboratory Co-Investigator intends   |
|       | of another  |     to collaborate with a Principal           |
|       | in          |     Investigator from an external             |
|       | stitution's |     institution, that Co-Investigator must    |
|       | proposal.*  |     prepare a stand-alone contribution to the |
|       |             |     PIs proposal. This Los Alamos             |
|       |             |     contribution must complete the usual      |
|       |             |     Laboratory Proposal submission process    |
|       |             |     before that contribution is officially    |
|       |             |     transmitted to the external institution.  |
|       |             |                                               |
|       |             | 2.  The basic components of any Los Alamos    |
|       |             |     proposal to another Federal agency are a  |
|       |             |     statement of work (SOW) and a budget. The |
|       |             |     Laboratory requests that the Laboratory   |
|       |             |     budget be included as a separate item in  |
|       |             |     the overall proposal package submitted to |
|       |             |     NASA by the external PI. The reason for   |
|       |             |     this is that, if the proposal is funded,  |
|       |             |     the Los Alamos portion of the funds are   |
|       |             |     to be transmitted directly from NASA to   |
|       |             |     DOE and thence to Los Alamos by a Federal |
|       |             |     inter-agency funding transfer. **Funding  |
|       |             |     should not go first to the PIs            |
|       |             |     institution, nor should Los Alamos become |
|       |             |     a subcontractor of the PIs institution.** |
+-------+-------------+-----------------------------------------------+
| **    | *Complete   | This DOE/AL form summarizes all DOE Order     |
| *Step | Det         | 481.1 pertinent information regarding your    |
| 5***  | erminations | Proposal and is sent to DOE/AL with a copy of |
|       | and         | the sponsor transmittal letter and the        |
|       | Ce          | Proposal Statement of Work after all internal |
|       | rtification | approvals and certifications have been        |
|       | Form,*      | obtained. The form requires signature from    |
|       |             | the CSSE Director or Administrator for NASA   |
|       | *W          | programs.                                     |
|       | FOFA/CSSE-4 |                                               |
|       | (4/99).*    | ######## Important Notes                      |
|       |             |                                               |
|       |             | **Sec. 1, A-D.** Satisfactory justification   |
|       |             | to support these \"yes\" answers must be      |
|       |             | provided on the supplemental sheet provided.  |
|       |             | Please note that we have supplied some        |
|       |             | boilerplate text to be supplemented by        |
|       |             | additional information individual to your     |
|       |             | project.                                      |
|       |             |                                               |
|       |             | **Sec. 2, B.** If applicable, contact the     |
|       |             | Institutional Review Board (7-7251), who has  |
|       |             | been delegated in-house review authority for  |
|       |             | projects involving human subjects. They can   |
|       |             | assist in determining if involvement is of a  |
|       |             | sensitive nature.                             |
|       |             |                                               |
|       |             | **Sec. 2, C.** If animal subjects are         |
|       |             | involved, whether on-site or off-site,        |
|       |             | contact the Institutional Animal Care and Use |
|       |             | Committee (7-3448). They can assist in        |
|       |             | determining if involvement is of a sensitive  |
|       |             | nature, and they will take responsibility for |
|       |             | DOE HQ notifications.                         |
|       |             |                                               |
|       |             | **Sec. 2, D.** All WFOFA projects involving   |
|       |             | space nuclear reactors, noncommercial power   |
|       |             | reactors, and radioisotope power (excluding   |
|       |             | NRC, fusion, weapons-related activities,      |
|       |             | naval propulsion reactors, and experimental   |
|       |             | reactors) require approval from the Office of |
|       |             | the Assistant Secretary for Nuclear Energy.   |
|       |             | DOE/AL will obtain this approval.             |
|       |             |                                               |
|       |             | **Sec. 2, E.** DOE HQ (NN-20) must be         |
|       |             | notified of all proposed WFOFA projects       |
|       |             | involving nuclear proliferation detection     |
|       |             | technology. If applicable, add David J.       |
|       |             | Simons, NIS-RD, MS D460 to the Proposal       |
|       |             | sponsor letter distribution; NIS will notify  |
|       |             | NN-20.                                        |
|       |             |                                               |
|       |             | **Sec. 2, F.** It is the Laboratory\'s        |
|       |             | responsibility to notify DOE HQ (DP-15) of    |
|       |             | foreign travel. If applicable, add Andrew C.  |
|       |             | Millunzi, DOE/DP-15 to sponsor letter         |
|       |             | distribution.                                 |
|       |             |                                               |
|       |             | **Sec. 3, A.** Security Classification - If   |
|       |             | project is classified, certify that WFOFA-6   |
|       |             | Classification Guidance and Security          |
|       |             | Considerations Certification has been         |
|       |             | completed.                                    |
|       |             |                                               |
|       |             | **Sec. 3, B.** ES&H Compliance - Certify that |
|       |             | WFOFA/CSSE-5, ES&H Documentation for          |
|       |             | Proposals form has been completed. Refer to   |
|       |             | Step 6.                                       |
|       |             |                                               |
|       |             | **Sec. 3, C.** NEPA - Indicate NEPA           |
|       |             | determination. If Categorical Exclusion B is  |
|       |             | recommended, insert LAN tracking number (or   |
|       |             | "Pending" if unknown at the time) and CX-B    |
|       |             | plus the Federal Register reference number,   |
|       |             | e.g., B-3.1C. (otherwise leave blank) (ESH-20 |
|       |             | personnel will supply this information to     |
|       |             | you.) Refer to Step 6.                        |
|       |             |                                               |
|       |             | **Sec. 3, E.** Aviation Operations - Refer to |
|       |             | Step 6.                                       |
+-------+-------------+-----------------------------------------------+
| **    | *Complete   | **A completed ES&H Documentation for          |
| *Step | ES&H        | Proposals form is required for all WFOFA      |
| 6***  | Do          | Proposals. Contact your Facility Manager or   |
|       | cumentation | ESH Team Leader for assistance and guidance.  |
|       | for         | We suggest that you begin this process as     |
|       | Proposals,* | early as possible to avoid delays in funding  |
|       |             | authorization.** "Yes\" answers require       |
|       | *W          | additional action, as noted. In all cases,    |
|       | FOFA/CSSE-5 | the Project Leader and Facility Manager/ESH   |
|       | (4/99).*    | Team Leader must sign off on this form before |
|       |             | the Proposal Package will be approved by CSSE |
|       |             | and forwarded to NASA and to DOE/AL.          |
|       |             |                                               |
|       |             | **Aviation Operations** - If aviation         |
|       |             | operations are involved, DOE requires         |
|       |             | notification at the time the Proposal is      |
|       |             | submitted. Aviation operations include any    |
|       |             | operation of aircraft, airports, or heliports |
|       |             | or any services that support aviation         |
|       |             | activities. Additional paperwork will be      |
|       |             | required before commencing aviation           |
|       |             | operations. Contact Operational Safety        |
|       |             | (ESH-5) at 7-4644 for assistance and          |
|       |             | guidance. If aviation safety is an issue, the |
|       |             | DOE Transportation Safeguards Division will   |
|       |             | be contacted by ESH-5 to determine if a risk  |
|       |             | assessment is required.                       |
|       |             |                                               |
|       |             | **NEPA** - DOE approval of a WFOFA project    |
|       |             | and the associated authorization to start     |
|       |             | work is a Federal decision resulting in the   |
|       |             | execution of actions as described in the      |
|       |             | applicable WFOFA project proposal; therefore, |
|       |             | DOE NEPA regulations apply to each WFOFA      |
|       |             | project. For each WFOFA project, DOE/LAAO     |
|       |             | determines the appropriate level of NEPA      |
|       |             | review, i.e., existing approved NEPA Review & |
|       |             | Determination, Categorical Exclusion (CX),    |
|       |             | and Other/NEPA Determination Pending,         |
|       |             | including environmental assessment (EA) or    |
|       |             | environmental impact statement (EIS). Your    |
|       |             | Division Facility Manager/ESH Team Leader     |
|       |             | will contact ESH-20 for assistance and        |
|       |             | guidance in selecting one category as a       |
|       |             | preliminary designation, and for other        |
|       |             | information. Existing NEPA umbrella           |
|       |             | documentation or documented categorical       |
|       |             | exclusions will cover some WFOFA activities.  |
|       |             | A Categorical Exclusion A (CX-A)              |
|       |             | recommendation can be made by the Division    |
|       |             | Facility Manager/ESH Team Leader and requires |
|       |             | no further documentation. Most theoretical    |
|       |             | work, computer-based modeling and simulation, |
|       |             | assessments, studies, preliminary designs     |
|       |             | (but not for construction projects), etc.,    |
|       |             | will likely fall into this category or be     |
|       |             | covered under ongoing work/prior NEPA.        |
|       |             | Laboratory and field work, prototypes,        |
|       |             | experiments, technology demonstrations, etc., |
|       |             | fall under Categorical Exclusion B (CX-B).    |
|       |             | ESH-20 will make this determination. Major    |
|       |             | new starts with the potential for significant |
|       |             | environmental impact and new facility         |
|       |             | construction projects (e.g., a nuclear        |
|       |             | facility) may require an EA and/or an EIS.    |
|       |             |                                               |
|       |             | **Important**: Note the requirement to        |
|       |             | designate an individual to receive a copy of  |
|       |             | the completed CX-B determination from         |
|       |             | DOE/LAAO and to take responsibility for       |
|       |             | ensuring that all NEPA-related activities do  |
|       |             | not start until NEPA determinations are       |
|       |             | completed. DOE/AL has agreed to release funds |
|       |             | to Los Alamos prior to completion of NEPA     |
|       |             | determinations; however, it is incumbent upon |
|       |             | the Laboratory to ensure that work on         |
|       |             | NEPA-related activities will not begin until  |
|       |             | receipt of the determination from DOE/LAAO.   |
|       |             | For NASA Programs, the CSSE Director or       |
|       |             | alternates should be inserted in the space    |
|       |             | for this requirement.                         |
+-------+-------------+-----------------------------------------------+
| **    | *Work with  | This form is essential to ensure the release  |
| *Step | your BUS    | of funds. **Note**: Budgeted cost estimates,  |
| 7***  | Division    | including continuity funding, must be         |
|       | Rep         | consistent throughout the Proposal Package    |
|       | resentative | and match the numbers on the Non-DOE          |
|       | to complete | Financial Estimate Worksheet.                 |
|       | the yellow  |                                               |
|       | Non-DOE     |                                               |
|       | Financial   |                                               |
|       | Estimate    |                                               |
|       | Worksheet   |                                               |
|       | and Funding |                                               |
|       | Profile and |                                               |
|       | Cost        |                                               |
|       | Estimate    |                                               |
|       | forms*      |                                               |
+-------+-------------+-----------------------------------------------+
| **    | *Complete   | The Classification Guidance and Security      |
| *Step | Cla         | Considerations Certification must be          |
| 8***  | ssification | completed if classified documents or material |
|       | Guidance    | will be used or generated at the Laboratory   |
|       | and         | during the project. (Note: This requirement   |
|       | Security    | does not apply to intelligence related or     |
|       | Con         | special access programs, which are handled    |
|       | siderations | through different mechanisms and channels.)   |
|       | Cert        |                                               |
|       | ification,* | **•** If classified information will be       |
|       |             | generated during the proposed work, guidance  |
|       | *WFOF       | must be provided by the sponsor and verified  |
|       | A-6(8/98);* | as adequate by the Classification Office,     |
|       |             | S-7, under Item 1, Classification Guidance    |
|       | *Required   | Certification. The Project Leader should      |
|       | only if     | ensure that S-7 has a copy of the guidance    |
|       | proposal is | [before]{.underline} the package is sent      |
|       | c           | through for sign-off. If appropriate guidance |
|       | lassified.* | does not exist for the program, check with    |
|       |             | S-7 as early as possible to see what          |
|       |             | provisions can be made for approved interim   |
|       |             | guidance.                                     |
|       |             |                                               |
|       |             | • If classified documents or material will be |
|       |             | used during the work (whether received from   |
|       |             | the sponsor or generated at the Laboratory),  |
|       |             | the Information Security Office, S-6, must    |
|       |             | approve physical security aspects under Item  |
|       |             | 2, Security Review and Facility Data and      |
|       |             | Approval Record (FDAR) Certification.         |
+-------+-------------+-----------------------------------------------+
| **    | *Compose    | *DOE/AL has delegated to the Laboratory the   |
| *Step | transmittal | authority to send Proposals directly to our   |
| 9***  | letter to   | sponsors, and to send copies (in parallel) to |
|       | the         | DOE/AL for its endorsement.* Three            |
|       | sponsor.*   | transmittal letters have been provided in     |
|       |             | this Proposal Package. Select one of the      |
|       |             | options listed below and use the template     |
|       |             | form provided.                                |
|       |             |                                               |
|       |             | 1.  Sponsor letter (for proposal              |
|       |             |     consideration when Los Alamos is the      |
|       |             |     Principal Investigator) - This is the     |
|       |             |     template you will use in most cases. It   |
|       |             |     transmits new Proposals to NASA for their |
|       |             |     funding consideration and requests that   |
|       |             |     they forward their funding documents to   |
|       |             |     DOE/AL.                                   |
|       |             |                                               |
|       |             | 2.  Sponsor letter (for proposal in support   |
|       |             |     of another organization's proposal) -     |
|       |             |     This template is used in cases where Los  |
|       |             |     Alamos is a Co-Investigator to another    |
|       |             |     organization.                             |
|       |             |                                               |
|       |             | 3.  Sponsor letter (NASA funding request) -   |
|       |             |     This template is used when a proposal has |
|       |             |     been approved by NASA. It provides the    |
|       |             |     guidance to NASA on sending the Los       |
|       |             |     Alamos portion of funds. Again, Proposals |
|       |             |     must be submitted officially to the       |
|       |             |     sponsors and to DOE/AL before DOE can     |
|       |             |     accept funding.                           |
|       |             |                                               |
|       |             | The NASA Program Administrator signature is   |
|       |             | required on the letters (as indicated on      |
|       |             | template). Include the date on each page, and |
|       |             | insert the Proposal number on the *Refer to*  |
|       |             | line. CSSE mails the transmittal letter and   |
|       |             | the Proposal (WFOFA/CSSE-3) directly to the   |
|       |             | sponsor with a copy to DOE-AL. The sponsor    |
|       |             | may then process the Proposal and prepare     |
|       |             | funding documents in anticipation of and      |
|       |             | prior to the DOE endorsement. CSSE will send  |
|       |             | the Administrative Instructions together with |
|       |             | the Proposal to NASA.                         |
+-------+-------------+-----------------------------------------------+
| **    | *Complete   | WFOFA/CSSE-1, the Proposal Approval form is   |
| *Step | appropriate | the front sheet on the Proposal Package and   |
| 10*** | Work for    | requires the Project Leader/ Principal        |
|       | Other       | Investigator, Line Manager, BUS-3, and        |
|       | Federal     | Program Manager signatures.                   |
|       | Agencies    |                                               |
|       | Proposal    |                                               |
|       | Approval    |                                               |
|       | form,*      |                                               |
|       |             |                                               |
|       | *W          |                                               |
|       | FOFA/CSSE-1 |                                               |
|       | (4/99).*    |                                               |
+-------+-------------+-----------------------------------------------+
| **    | *Route the  | After the Project Leader and line manager     |
| *Step | entire      | signatures have been obtained, forward the    |
| 11*** | Proposal    | entire Proposal Package to CSSE/NASA Program  |
|       | Package for | Office for their review. CSSE will obtain     |
|       | internal    | BUS-3 approval. BUS-3 will discuss with your  |
|       | review and  | BUS Division Representative any necessary     |
|       | approval,   | revisions to the financial information. Upon  |
|       | as          | completion of BUS-3\'s review, the Proposal   |
|       | a           | is then returned to the NASA Program Office   |
|       | pplicable.* | for final approval.                           |
|       |             |                                               |
|       | ***Submit   | If time is limited, send the electronic files |
|       | electronic  | of the completed boilerplate forms (with as   |
|       | files via   | many signatures as possible) and a final      |
|       | e-mail to   | draft of the technical proposal to CSSE at    |
|       | <css        | [[css                                         |
|       | e@lanl.gov> | e@lanl.gov]{.underline}](mailto:csse@lnl.gov) |
|       | for all     | as soon as they are complete. This will allow |
|       | NASA        | for partial review of the package while the   |
|       | Proposal    | PI finalizes the technical aspects of the     |
|       | P           | proposal.                                     |
|       | ackages!*** |                                               |
|       |             | CSSE will request revisions if the Proposal   |
|       |             | is determined to be of poor quality (in terms |
|       |             | of proposed performance, schedule, and/or     |
|       |             | cost concerns), does not meet Laboratory      |
|       |             | quality standards, or is not consistent with  |
|       |             | the Laboratory\'s mission (e.g., would place  |
|       |             | us in direct competition with private sector; |
|       |             | is not consistent with strategic goals; would |
|       |             | create a future burden; does not meet ES&H    |
|       |             | goals; etc.). CSSE staff will work with the   |
|       |             | PI and their support staff to correct any of  |
|       |             | these situations.                             |
|       |             |                                               |
|       |             | Once final approvals have been obtained, CSSE |
|       |             | will copy and distribute the package as found |
|       |             | on the transmittal letter, including sending  |
|       |             | the original Proposal, together with DOE      |
|       |             | Administrative Instructions, to NASA.         |
+-------+-------------+-----------------------------------------------+
|       |             | The DOE/Al must endorse any Los Alamos        |
|       |             | proposal to NASA. However, the DOE            |
|       |             | endorsement process proceeds in parallel with |
|       |             | submission to NASA; in other words, once      |
|       |             | Laboratory approval of a proposal is given,   |
|       |             | that proposal may be sent directly to NASA or |
|       |             | to an external PI while DOE pursues its own   |
|       |             | endorsement.                                  |
+-------+-------------+-----------------------------------------------+
|       |             | When NASA requires the signature of an        |
|       |             | "authorized representative of the             |
|       |             | organization" on a proposal, the CSSE         |
|       |             | Director or Administrator provides that       |
|       |             | signature.                                    |
+-------+-------------+-----------------------------------------------+
|       |             | If an external collaborator has questions     |
|       |             | concerning technical issues, they should      |
|       |             | contact the Laboratory Co-Investigator. If an |
|       |             | external collaborator has administrative      |
|       |             | questions or the details of the approval      |
|       |             | process, they should contact CSSE at 7‑1624.  |
+-------+-------------+-----------------------------------------------+

**Reference Materials:** The following reference documents may be
obtained from CSSE\
(7-1624), the DoD Program Office (5-1913), or the Budgeting Group, BUS-3
(5-9228).

> • DOE Order 481.1, Work for Others (Non-Department of Energy Funded
> Work).[^2]
>
> • DOE Order 2110.1A, Pricing of Departmental Materials and Services,
> and Interim Guidance Pending Revision of 2110.1A.
>
> • DOE Work for Other Federal Agencies brochure.
>
> • DOE/AL Administrative Instructions to Other Federal Agencies for
> Submission of Interagency Agreements to AL for Reimbursable Work.[^3]
>
> • DOE/AL Supplemental Directive 5650.2B Update.
>
> • Los Alamos National Laboratory Administrative Guidelines.
>
> • T. Gibbs and R. Selden, \"Responding to Broad Agency Announcement
> (BAA),\" FIN-15:92-215, 5/15/92.
>
> • DOE Notice N 4300.3, Broad Agency Announcements.
>
> • ASDP Notice #29, Non-Department of Energy funded Work for Others
> Involving Aviation Operations.
>
> • B. G. Twining, DOE/AL, \"National Environmental Policy Act (NEPA)
> Categorical Exclusion Determinations - AL Projects Processed During
> the Period October 17, 1992 - October 31, 1992,\" 11/20/92.
>
> • Work for Others National Environmental Policy Act Compliance, April
> 1993.
>
> • B. G. Twining, DOE/AL, \"National Environmental Policy Act (NEPA)
> Determination for General Agency Action at Albuquerque Operations
> Office (AL) Sites,\" 5/14/93.
>
> • W. L. Kirchner, \"Waiver of DOE Added Factor and Depreciation for
> DoD Programs,\" LD/DoD-93-137, 9/22/93.
>
> • J. R. Anderson, DOE/AL, implementation of streamlining process at
> Laboratories, 4/19/95.
>
> • L. B. Warner, \"Streamlining the WFO Proposal Process,\"
> BUS-WFO/PD:95-151, 6/5/95.
>
> • J. C. Freeman, \"WFO Business/Analysis/Administrative Point of
> Contact,\" BUS-2:96-075, 12/15/95

**Attachment 1**

**INTERIM GUIDANCE PENDING REVISION OF DOE ORDER 2110.1A**

**(only relevant sections included here)**

Section 8. General Pricing Policy

c\. [Exceptions to General Pricing Policy]{.underline}. As a general
rule, exceptions to the Department\'s pricing policy are limited to the
waiver of Departmental added factor and depreciation. However, under
extremely unique and rare conditions or circumstances, the Chief
Financial Officer may waive additional costs as deemed appropriate and
approved by the Head of Field Element and the Program Secretarial
Officer responsible for funding the costs that are waived. A waiver of
Departmental added factor includes both components, i.e., the
Departmental Overhead Rate [and]{.underline} Field Office Overhead
Rates, if applicable. The circumstances under which Departmental added
factor and depreciation can be waived are set forth in paragraphs (1)
and **(2) below.** Heads of Field Elements or designee may approve
requests for waiver of Departmental added factor and depreciation for
all materials and services provided by their offices in which the amount
waived for a single customer (i.e., financing entity) totals \$500,000
or less within 1 fiscal year. Waiver requests in which added factor and
depreciation exceed \$500,000 per customer within 1 fiscal year require
Chief Financial Officer approval. The Chief Financial Officer shall
approve requests for waiver of Departmental added factor and
depreciation for all materials and services provided by Headquarters. To
be eligible for waiver of added factor and depreciation, a specifically
identified, currently funded DOE program must derive a direct benefit as
a result of the work. This benefit must be either characterized by a
concise description of the knowledge gained as a result of the work or
demonstrated by a cost-benefit analysis. (Paragraph 10 contains
procedures for requesting, documenting, and reporting exceptions.)

\(1\) Pursuant to Office of Management and Budget (OMB) Circular A-25,
the Departmental added factor and depreciation charges may be waived for
non-Federal entities if one of the following conditions applies:

\(a\) The furnishing of the material or service is an appropriate
courtesy to a foreign country or international organization, or
comparable fees are set on a reciprocal basis with a foreign country; or

\(b\) The recipient of the material or service is a state or local
government or a nonprofit organization.

\(2\) Pursuant to 42 U.S.C. 2051 and 2053 of the AEC Act of 1954, prices
and charges for research and development activities, studies, and
training performed for non-Federal entities and OFAs (other than
cosponsored work discussed in paragraph 8.d.(1)) may be established to
exclude the Departmental added factor and depreciation charges if a
specifically identified, currently funded DOE program will derive a
direct benefit either characterized by a concise description of the
knowledge gained as a result of the work or demonstrated by a
cost-benefit analysis, [and]{.underline} such activities relate to one
of the categories listed below:

\(a\) nuclear processes;

\(b\) the theory and production of atomic energy, including processes,
materials, and devices related to such production;

\(c\) utilization of special nuclear material and radioactive material
for medical, biological, agricultural, health, or military purposes;

\(d\) utilization of special nuclear material, atomic energy, and
radioactive material and processes entailed in the utilization or
production of atomic energy or such material for all other purposes,
including industrial or commercial uses, the generation of usable
energy, and the demonstration of advances in the commercial or
industrial application of atomic energy;

\(e\) the protection of health and the promotion of safety during these
research and production activities; or

\(f\) the preservation and enhancement of a viable environment by
developing more efficient methods to meet the Nation\'s energy needs.

[^1]: Use this form if a NASA cover sheet is not required

[^2]: New order dated 9/30/96

[^3]: Revised instructions dated 10/29/96