PART 1835

**RESEARCH AND DEVELOPMENT CONTRACTING**

**TABLE OF CONTENTS**

1835.003 Policy.

1835.010 Scientific and technical reports.

1835.011 Data.

1835.015 Contracts for research with educational institutions and
nonprofit

organizations.

1835.016 Broad agency announcements.

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

1835.016-71 NASA Research Announcements.

1835.016-72 Foreign participation in NRA proposals.

1835.070 NASA contract clauses and solicitation provision.

1835.071 NASA Research and Development (R&D) Contract Reporting.

**PART 1835**

**RESEARCH AND DEVELOPMENT CONTRACTING**

**1835.003 Policy.**

See **[NPR 5800.1](http://ec.msfc.nasa.gov/hq/grcover.htm),** Grant and
Cooperative Agreement Handbook, for policy regarding the use of grants
and cooperative agreements.

**1835.010 Scientific and technical reports.**

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

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

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

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

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

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

1835.011 Data.

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

**1835.015** **Contracts** **for** **research** **with** **educational**
**institutions** **and** **nonprofit** **organizations.**

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

**1835.016 Broad agency announcements.**

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

**(A)** Announcements of Opportunity (see
[**1872**](http://www.hq.nasa.gov/office/procurement/regs/1872.htm)).

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

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

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

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

**(A)** All applicable [**NPR
7120.5**](http://nodis.hq.nasa.gov/Library/Directives/NASA-WIDE/Procedures/Program_Formulation/N_PG_7120_5A.html)
required documentation (see
[**1804.7301(b)(2)(i)**](http://www.hq.nasa.gov/office/procurement/regs/1804.htm#P477_36073))
is current and has been approved (e.g., Formulation Authorization
Document, Program Commitment Agreement, Program Plan, or Project Plan);
or

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

\(c\) BAAs may not preclude the participation of any offer­or capable of
satisfying the Government\'s needs unless a justification for other than
full and open competition is approved under [**FAR
6.304**](http://www.arnet.gov/far/current/html/Subpart_6_3.html#1046620).

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

\(a\) *Policy*.

> \(1\) NASA seeks the broadest participation in response to broad
> agency announcements, including foreign proposals or proposals
> including foreign participation. NASA's policy is to conduct research
> with foreign entities on a cooperative, no-exchange-of-funds basis
> (see [**NPD
> 1360.2**](http://nodis.hq.nasa.gov/Library/Directives/NASA-WIDE/Policies/Organization_and_Administration/N_PD_1360_2.html),
> Initiation and Development of International Cooperation in Space and
> Aeronautics Programs). NASA does not normally fund foreign research
> proposals or foreign research efforts that are part of U.S. research
> proposals. Rather, cooperative research efforts are implemented via
> international agreements between NASA and the spon­soring foreign
> agency or funding/sponsoring institution under which the parties agree
> to each bear the cost of discharging their respective
> responsibilities.

\(2\) In accordance with the National Space Transportation Policy, use
of a non-U.S. manufactured launch vehicle is permitted only on a
no-exchange-of-funds basis.

\(3\) NASA funding may not be used for subcontracted foreign research
efforts. The direct purchase of supplies and/or services, which do not
constitute research, from non-U.S. sources by U.S. award recipients is
permitted.

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

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

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

\(i\) Determine whether the proposal merits further consideration;

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

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

\(3\) Notification to Code I required by paragraphs (b)(1) and
(b)(2)(ii) of this section, shall address the items contained in
[**1872.504(c)**](http://www.hq.nasa.gov/office/procurement/regs/1872.htm#1872.504),
and shall be coordinated through the Office of Procurement, Code HS.

**1835.016-71 NASA Research Announcements.**

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

\(b\) *Issuance.*

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

\(2\) The selection official shall assure that the NRA is synopsized
prior to issuance in accordance with [**FAR
5.201**](http://www.arnet.gov/far/current/html/Subpart_5_2.html#1046480).
The synopsis shall be brief, and the technical section describing the
area of interest should not exceed 50 words.

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

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

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

\(c\) *Content and format.* All NRAs shall conform to NPR 5810.1,
"Standard Format for NASA Research Announcements (NRAs) and other
Announcements for Grants and Cooperative Agreements".

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

\(1\) Proposals shall be protected as pro­vided in [**FAR
15.608**](http://www.arnet.gov/far/current/html/Subpart_15_6.html#1046563),
[**FAR
15.609**](http://www.arnet.gov/far/current/html/Subpart_15_6.html#1046566),
and
[**1815.609-70.**](http://www.hq.nasa.gov/office/procurement/regs/1815.htm#1815.609-70)

> [(2) Late propos­als and modifications shall be treated in accordance
> with
> 1815.208.](http://www.hq.nasa.gov/office/procurement/regs/1815.htm#1815.609-70)

\(3\) The selection decision shall be made following peer or scientific
review of a proposal. Peer or scientific review shall involve evaluation
by an in-house special­ist, a specialist outside NASA, or both.
Evaluation by specialists outside NASA shall be conducted subject to the
conditions in
[**1815.207**](http://www.hq.nasa.gov/office/procurement/regs/1815.htm#1815.207).
After receipt of a proposal and before selection, scientific or
engineering personnel shall communicate with an offeror only for the
purpose of clarifica­tion (as defined in [**FAR
15.306**](http://www.arnet.gov/far/current/html/Subpart_15_3.html#1046531)),
or to understand the meaning of some aspect of the proposal that is not
clear, or to obtain confirmation or substantiation of a proposed
approach, solution, or cost esti­mate.

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

\(5\) Part of a proposal may be selected unless the offeror requests
other­wise. In addition, changes to a selected proposal may be sought if
(i) the ideas or other aspects of the proposal on which selection is
based are contained in the proposal as originally submitted, and are not
intro­duced by the changes; and (ii) the changes sought would not involve
a material alter­ation to the requirements stated in the NRA. Changes
that would affect a proposal\'s selection shall not be sought. When
changes are desired, the selecting official may request revi­sions from
the offeror or request the contracting officer to implement them during
negotiations with the successful offeror(s). The changes shall not
transfer information from one offeror\'s proposal to another offeror
(see [**FAR
15.306(e)**](http://www.arnet.gov/far/current/html/Subpart_15_3.html#1046531).
When collaboration between offerors would improve proposed research
programs, collaboration may be suggested to the offerors.

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

(i) A brief description of the solicitation, including a statement of
program objectives, the evaluation and review processes that were
followed, and a summary of the results of the evaluation and review of
proposals;

\(ii\) A listing of all selected proposals including proposal number,
proposing principal investigator, proposing institution, and title
(indicate partial selections when known);

(iii)  A brief rationale for the selection based upon the expert
evaluation of proposals by a peer panel in accordance with the
evaluation criteria defined in the NRA, and incorporating programmatic
factors; and

(iv)  A brief description of the post-panel decision making process used
to arrive at the selection. In particular, the selection of proposals
identified by the peer review as having a lower evaluation result than
those not selected must be explained.

\(7\) The selecting official shall notify each offeror whose proposal
was not select­ed for award and explain generally why the proposal was
not selected. If requested, the selecting official shall arrange a
debriefing under [**FAR
15.5**](http://www.arnet.gov/far/current/html/Subpart_15_5.html#1046478),
with the participation of a contracting officer.

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

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

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

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

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

\(v\) A procurement request;

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

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

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

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

\(i\) The proposal has been selected for negotiation;

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

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

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

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

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

\(3\) Request the offeror to complete and return certifications and
representations and Standard Form 33, Solicitation, Offer, and Award, or
other appropriate forms. If [**FAR
52.219-9**](http://www.arnet.gov/far/current/html/52_217_221.html#1126018),
Small Business Subcontracting Plan, is required for the resultant
contract, request the offeror to provide a subcontracting plan;

\(4\) Conduct negotiations in accordance with [**FAR Subparts
15.3**](http://www.arnet.gov/far/current/html/Subpart_15_3.html#1046478)
and
[**15.4**](http://www.arnet.gov/far/current/html/Subpart_15_4.html#1087798),
as appli­cable;

\(5\) Award a contract; and

\(6\) Comply with [**FAR Subparts
4.6**](http://www.arnet.gov/far/current/html/Subpart_4_6.html#1039025)
and
[**5.3**](http://www.arnet.gov/far/current/html/Subpart_5_3.html#1046481)
on contract reporting and synopses of contract awards.

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

1835.016-72 Foreign participation in NRA proposals.

Foreign proposals or U.S. proposals with foreign participation shall be
treated in accordance with 1835.016-70. Additional guidelines applicable
to foreign proposers are contained in the provision at
[**1852.235-72**](http://www.hq.nasa.gov/office/procurement/regs/5228-41.htm#1852.235-72),
Instructions for Responding to NASA Research Announcements.

**1835.070** **NASA** **contract** **clauses and** **solic­itation
provision.**

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

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

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

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

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

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

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

\(3\) Except when Alternate II applies in accordance with paragraph
(d)(2) of this section, the contracting officer shall insert the clause
with its Alternate III in all SBIR and STTR contracts.

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

**1835.071 NASA Research and Development (R&D) Contract Reporting.**

The E-Government Act of 2002 (Public Law No. 107-347) mandated the
development and maintenance of a repository that integrates information
on R&D funded by the federal government. In support of that requirement,
contracting officers shall insert in the description field on the text
tab in the Contract Management Module (CMM) a 300-500 word summary of
the statement of work for each contract award and new work award that is
funded predominantly with R&D funds.