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#### NASA's Education Program -- 

#### Contracts and Grants

#### Office Work Instruction

Original Approved by: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Vicki A. Novak

Associate Administrator

Office of Human Resources and Education

**DOCUMENT HISTORY LOG**

+--------+-------+-------------+--------------------------------------+
| **St   | **    | **          | **Description**                      |
| atus** | Docum | Effective** |                                      |
|        | ent** |             |                                      |
| **     |       | **Date**    |                                      |
| (Basel | **    |             |                                      |
| ine/** | Revis |             |                                      |
|        | ion** |             |                                      |
| *      |       |             |                                      |
| *Revis |       |             |                                      |
| ion/** |       |             |                                      |
|        |       |             |                                      |
| *      |       |             |                                      |
| *Cance |       |             |                                      |
| led)** |       |             |                                      |
+--------+-------+-------------+--------------------------------------+
| Ba     |       | December    |                                      |
| seline |       | 10, 1999    |                                      |
+--------+-------+-------------+--------------------------------------+
|        |       |             |                                      |
+--------+-------+-------------+--------------------------------------+
|        |       |             |                                      |
+--------+-------+-------------+--------------------------------------+
|        |       |             |                                      |
+--------+-------+-------------+--------------------------------------+

1\. **Purpose**

The purpose of this HQ OWI is to establish and define the steps to be
followed when the Office of Human Resources and Education, Education
Division solicits and selects partners in NASA Education Program
activities.

The Associate Administrator for the Office of Human Resources and
Education (OHRE) is responsible for maintaining this document. The
controlled version resides on the World Wide Web (WWW) via the ISO 9000
document library at [http://hqiso9000.hq.nasa.gov]{.underline}.

2.  **Scope and Applicability**

2.1 [Scope]{.underline}. This HQ OWI describes the process used by the
NASA Education Program to solicit and select partners in NASA education
activities. These partners can be grantees, contractors, and/or vendors.
The process begins with receipt of proposals, both unsolicited and
solicited. Example solicitation instruments include a Program
Announcements, Cooperative Agreement Notices(CAN), and/or Requests for
Proposals (RFPs). The process includes the following:

-   Receiving, evaluating, and selecting proposals to fund;

-   Preparing procurement package inputs and distributing resource
    authority documents to accomplish awards; and

-   Monitoring the procurement process, evaluating awardee performance,
    and renewing or completing the activity.

> Solicitation initiators from the Education Division, Office of Human
> Resources and Education (Code FE) conduct this process regularly,
> primarily with unsolicited proposals, but with some formal
> solicitations on a periodic or as needed basis.
>
> The solicitation initiator is usually an education program officer,
> but could be a division director, or assistant director. The program
> analyst provides administrative support.

2.2 [Applicability]{.underline}. This work instruction for soliciting
and selecting partners in NASA Education Program activities through the
grants and contract process applies to Code FE.

3\. **Definitions**

1.  [ADFA]{.underline}. Assistant Director for Administration, Code FE,
    OHRE; responsible for overseeing budget process for the NASA
    Education Program.

3.2 [CAN]{.underline}. Cooperative Agreement Notice; type of
solicitation used when the resulting awards will be cooperative
agreements, guaranteeing interaction between NASA and awardee.

3.3 [External education community]{.underline}. Traditional education
community, such as K-12, higher education institutions, and non-profit
organizations involved in education; all are non-NASA.

3.4 [GSFC]{.underline}. NASA Goddard Space Flight Center; functional
responsibility for the processing of HQ grants and contracts resides at
GSFC.

3.5 [HQ]{.underline}. NASA Headquarters.

3.6 [NF506.]{.underline} NASA Form 506, Resources Authority Warrant;
authorizes the transfer of funds from one NASA installation or office to
another.

3.7 [NHQ163]{.underline}. Procurement request; commits funding for a
contract or small purchase.

3.8 [PA]{.underline}. Program Analyst, Code FE; responsible for the
daily operation of the NASA Education Program budget.

3.9 [PO]{.underline}. Program Officer, Code FE; responsible for the
development, management, policy, oversight, and evaluation of programs,
projects, and activities in support of the NASA Education Program;
individual program officers are responsible for specific programmatic
areas such as student, teacher/faculty preparation and enhancement,
curriculum support and dissemination, educational technology, systemic
reform, research and development.

3.10 [Program Announcement.]{.underline} Type of solicitation most often
used by the Education Division; less formal than a CAN or RFP, and
usually tied to a specific NASA Education activity, such as the Graduate
Student Researchers Program.

3.11 [RFP]{.underline}. Request for Proposals; type of solicitation used
when the resulting award will be a contract, requiring the delivery of
goods or services to NASA.

4\. **Reference Documents**

1.  NASA Implementation Plan for
    http://education.nasa.gov/implan/exec.html

2.  NPG 5800.1, NASA Grant and Cooperative Agreement Handbook
    (http://ec.msfc.nasa.gov/hq/grcover.htm)

3.  NASA FAR Supplement (http://www.hq.nasa.gov/office/procurement/
    regs/nfstoc.htm)

![](media/image2.wmf)5. **Flowchart**

![](media/image3.wmf)

![](media/image4.wmf)

6\. **Procedure**

+-----+--------------------+-------------------------------------------+
| # S | # Actionee         | # Action                                  |
| tep |                    |                                           |
+-----+--------------------+-------------------------------------------+
| 6.1 | ADFA               | The Education Division receives proposals |
|     |                    | from the external education community.    |
|     |                    | These proposals can be unsolicited or     |
|     |                    | sent in response to a formal solicitation |
|     |                    | (CAN, RFP, program announcement). Is this |
|     |                    | a solicited or unsolicited proposal? If   |
|     |                    | solicited, go to Step 6.2; in             |
|     |                    | unsolicited, go to Step 6.3.              |
+-----+--------------------+-------------------------------------------+
| 6.2 | PO                 | If solicited, PO responsible for specific |
|     |                    | program solicitation receives proposals   |
|     |                    | and coordinates review according to       |
|     |                    | criteria established in the solicitation. |
|     |                    | Once review is completed, go to Step 6.4. |
+-----+--------------------+-------------------------------------------+
| 6.3 | ADFA, PO           | The ADFA assigns to a PO for action,      |
|     |                    | based on the content of the proposal and  |
|     |                    | the action is tracked through the HATS    |
|     |                    | system. The PO arranges for the           |
|     |                    | proposal(s) to be reviewed for technical  |
|     |                    | merit by external or internal program     |
|     |                    | officers.                                 |
+-----+--------------------+-------------------------------------------+
| 6.4 | PO                 | PO analyzes technical review results in   |
|     |                    | concert with the program solicitation if  |
|     |                    | a solicited proposal, programmatic        |
|     |                    | priorities (as outlined in the NASA       |
|     |                    | Implementation Plan for Education), and   |
|     |                    | the Division's budget. Based on this      |
|     |                    | analysis, PO writes a technical           |
|     |                    | evaluation of the proposal.               |
+-----+--------------------+-------------------------------------------+
| 6.5 | PO                 | Makes a decision on selection. Note: if a |
|     |                    | solicitation, PO will make a              |
|     |                    | recommendation on selection to a          |
|     |                    | selecting official identified in the      |
|     |                    | solicitation.                             |
+-----+--------------------+-------------------------------------------+
| 6.6 | PO, ADFA           | If the proposal is not selected, the PO   |
|     |                    | will prepare, sign, and send rejection    |
|     |                    | letter. The ADFA provides guidance on     |
|     |                    | format and content, including an          |
|     |                    | opportunity for the proposer to obtain    |
|     |                    | feedback if desired. Copies are           |
|     |                    | maintained in the FE chron file and in    |
|     |                    | the PO programmatic files for reference.  |
+-----+--------------------+-------------------------------------------+
| 6.7 | PO, ADFA           | If the proposal is selected, the PO will  |
|     |                    | prepare, sign, and send an acceptance     |
|     |                    | letter. The ADFA provides guidance on     |
|     |                    | format and content.                       |
+-----+--------------------+-------------------------------------------+
| 6.8 | PO                 | The PO determines the procurement         |
|     |                    | documentation requirements based on the   |
|     |                    | type of funding instrument to be used     |
|     |                    | (grant, cooperative agreement, contract,  |
|     |                    | small purchase). Note: the determination  |
|     |                    | of grant vs. contract is made at the time |
|     |                    | a solicitation is developed, in           |
|     |                    | consultation with the Office of           |
|     |                    | Procurement. Unsolicited proposals        |
|     |                    | generally are awarded as grants.          |
+-----+--------------------+-------------------------------------------+
| 6.9 | PO, PA             | If the funding instrument is a grant or   |
|     |                    | cooperative agreement, the PO prepares    |
|     |                    | the procurement package inputs as         |
|     |                    | required by the HQ Grants Office at GSFC. |
|     |                    | These include for example, original       |
|     |                    | proposal and budget, technical            |
|     |                    | evaluation, copy of solicitation or       |
|     |                    | justification for acceptance of           |
|     |                    | unsolicited proposal. Current             |
|     |                    | requirements are found at the GSFC Grants |
|     |                    | Information Homepage                      |
|     |                    | (http://                                  |
|     |                    | genesis.gsfc.nasa.gov/grants/grants.htm). |
|     |                    |                                           |
|     |                    | PO gives package to the PA who prepares   |
|     |                    | the resources authority warrant (NF 506   |
|     |                    | white) to transfer the funds from HQ to   |
|     |                    | GSFC. The PA sends the entire package to  |
|     |                    | the HQ Grants Office at GSFC.             |
+-----+--------------------+-------------------------------------------+
| 6   | PO, PA             | If the funding instrument is a contract   |
| .10 |                    | or small purchase, the PO prepares the    |
|     |                    | procurement package inputs as required by |
|     |                    | the HQ Contracts Office at GSFC. This     |
|     |                    | includes for example, proposal, technical |
|     |                    | review, task assignment, and any          |
|     |                    | additional information as required by the |
|     |                    | contracting officer.                      |
|     |                    |                                           |
|     |                    | This package is given to the PA who       |
|     |                    | prepares the procurement request (NHQ     |
|     |                    | 163) and the resources authority warrant  |
|     |                    | (NF 506 white). The PA sends the entire   |
|     |                    | package to the HQ Contracts Office at     |
|     |                    | GSFC.                                     |
+-----+--------------------+-------------------------------------------+
| 6   | GSFC Grants or     | Makes the award to the proposer and sends |
| .11 | Contracts Office   | copy to PO.                               |
+-----+--------------------+-------------------------------------------+
| 6   | PO                 | The PO receives a copy of the award       |
| .12 |                    | document from the GSFC grants or          |
|     |                    | contracts office, reviews for accuracy    |
|     |                    | (amount of funding, period of             |
|     |                    | performance, institution, etc.). The PO   |
|     |                    | resolves any discrepancies with the award |
|     |                    | documentation with the relevant GSFC      |
|     |                    | office via telephone, email, other        |
|     |                    | correspondence, or meetings.              |
+-----+--------------------+-------------------------------------------+
| 6   | PO                 | Grantees are required, under the terms of |
| .13 |                    | their award, to submit annual performance |
|     |                    | reports 60 days before the anniversary    |
|     |                    | date of the award. Guidance is found in   |
|     |                    | NPG 5800.1, Grant and Cooperative         |
|     |                    | Agreement Handbook. Contractor annual     |
|     |                    | reporting requirements are detailed in    |
|     |                    | the contract.                             |
|     |                    |                                           |
|     |                    | The PO receives and reviews the           |
|     |                    | performance report and compares with      |
|     |                    | programmatic goals and objectives         |
|     |                    | specified in the original proposal and    |
|     |                    | solicitation, if a solicited proposal.    |
|     |                    | After this review, the PO writes a memo   |
|     |                    | evaluating the progress of the            |
|     |                    | grantee/contractor.                       |
+-----+--------------------+-------------------------------------------+
| 6   | PO                 | Using this evaluation and the program's   |
| .14 |                    | budget, the PO makes a decision           |
|     |                    | concerning renewal of the award.          |
+-----+--------------------+-------------------------------------------+
| 6   | PO                 | If the program is to be renewed and is a  |
| .15 |                    | grant, the PO prepares the documentation  |
|     |                    | for renewal as outlined by the GSFC       |
|     |                    | grants or contracts offices,              |
|     |                    | including,for example, the progress       |
|     |                    | report memo of review/renewal, and        |
|     |                    | returns to Step 6.9. Current requirements |
|     |                    | for grants are found at the GSFC Grants   |
|     |                    | Information web site                      |
|     |                    | (http:/                                   |
|     |                    | /genesis.gsfc.nasa.gov/grants/grants.htm) |
|     |                    | and                                       |
|     |                    |                                           |
|     |                    | If the program is a contract, the PO      |
|     |                    | prepares the documentation for renewal as |
|     |                    | provided by the contracting officer,      |
|     |                    | including, for example, a revised task    |
|     |                    | assignment, and returns to Step 6.10.     |
+-----+--------------------+-------------------------------------------+
| 6   | PO, ADFA           | If the program is not to be renewed, the  |
| .16 |                    | PO requests a final report by notifying   |
|     |                    | the awardee (email, phone call, or        |
|     |                    | letter). The ADFA provides guidance on    |
|     |                    | format/content of such notification to    |
|     |                    | the PO.                                   |
|     |                    |                                           |
|     |                    | Guidance on the content of the final      |
|     |                    | report for a grant is found in NPG        |
|     |                    | 5800.1. Contract final reporting          |
|     |                    | requirements are detailed in the          |
|     |                    | contract.                                 |
+-----+--------------------+-------------------------------------------+
| 6   | PO                 | Verifies that final report is received    |
| .17 |                    | and files in program file. If no final    |
|     |                    | report is received from grantee or        |
|     |                    | contractor, GSFC Grants or Contracts      |
|     |                    | offices will pursue through their         |
|     |                    | standard closeout procedures.             |
+-----+--------------------+-------------------------------------------+
| 6   | GSFC Grants and    | Initiate closeout procedures.             |
| .18 | Contracts Offices  |                                           |
+-----+--------------------+-------------------------------------------+

**7.** Quality Records

+-------------+---------+-------+---------+-----------+---------------+
| *Record     | ####### | *Loca | *Media  | *Schedule | *Retention/   |
| Iden        | # Owner | tion* | Elec    | and Item  | Disposition*  |
| tification* |         |       | tronic/ | Nos. NPG  |               |
|             |         |       | Hard    | 1441.1*   |               |
|             |         |       | Copy*   |           |               |
+-------------+---------+-------+---------+-----------+---------------+
| Program     | #####   | Code  | Hard    | Schedule  | Retire to FRC |
| Officer's   | ### Cod | FE    | Copy    | 5, Item   | 2 years after |
| Technical   | e FE PA | Files |         | 37A       | completion of |
| Evaluation  |         |       |         |           | grant;        |
|             |         |       |         |           | destroy when  |
|             |         |       |         |           | 6 years, 3    |
|             |         |       |         |           | months old.   |
+-------------+---------+-------+---------+-----------+---------------+
| Signed      | #####   | Code  | Hard    | Schedule  | Retire to FRC |
| Rejection   | ### Cod | FE    | Copy    | 7, Item   | when 1 year   |
| Letters     | e FE PO | Files |         | 9B2       | old, destroy  |
|             |         |       |         |           | when 5 years  |
|             |         |       |         |           | old.          |
+-------------+---------+-------+---------+-----------+---------------+
| Signed      | #####   | Code  | Hard    | Schedule  | File with     |
| Acceptance  | ### Cod | FE    | Copy    | 7, Item   | related case  |
| Letters     | e FE PO | Files |         | 9B1       | file (grant   |
|             |         |       |         |           | or contract); |
|             |         |       |         |           | destroy       |
|             |         |       |         |           | accordingly.  |
+-------------+---------+-------+---------+-----------+---------------+
| Procurement | #####   | Code  | Hard    | Schedule  | Retire to FRC |
| Package for | ### Cod | FE    | Copy    | 5, Item   | 2 years after |
| Grants/     | e FE PA | Files |         | 37A       | completion of |
| Cooperative |         |       |         |           | grant;        |
| Agreeements |         |       |         |           | destroy when  |
|             |         |       |         |           | 6 years, 3    |
|             |         |       |         |           | months old.   |
+-------------+---------+-------+---------+-----------+---------------+
| Resources   | #####   | Code  | Hard    | Schedule  | Destroy when  |
| Authority   | ### Cod | FE    | Copy    | 7, Item   | no longer     |
| Warrant (NF | e FE PA | Files |         | 21D2      | needed or 2   |
| 506 White)  |         |       |         |           | years after   |
| for Grant/  |         |       |         |           | close of      |
| Cooperative |         |       |         |           | fiscal year,  |
| Agreement   |         |       |         |           | whichever is  |
|             |         |       |         |           | sooner.       |
+-------------+---------+-------+---------+-----------+---------------+
| Procurement | #####   | Code  | Hard    | Schedule  | Retire to FRC |
| Package for | ### Cod | FE    | Copy    | 5, Item   | 2 years after |
| Cont        | e FE PA | Files |         | 37A       | completion of |
| racts/Small |         |       |         |           | grant;        |
| Purchases   |         |       |         |           | destroy when  |
|             |         |       |         |           | 6 years, 3    |
|             |         |       |         |           | months old.   |
+-------------+---------+-------+---------+-----------+---------------+
| Resources   | #####   | Code  | Hard    | Schedule  | Destroy when  |
| Authority   | ### Cod | FE    | Copy    | 7, Item   | no longer     |
| Warrant (NF | e FE PA | Files |         | 21D2      | needed or 2   |
| 506 White)  |         |       |         |           | years after   |
| for         |         |       |         |           | close of      |
| Cont        |         |       |         |           | fiscal year,  |
| racts/Small |         |       |         |           | whichever is  |
| Purchases   |         |       |         |           | sooner.       |
+-------------+---------+-------+---------+-----------+---------------+
| Award       | #####   | Code  | Hard    | Schedule  | Retire to FRC |
| Document    | ### Cod | FE    | Copy    | 5, Item   | 2 years after |
|             | e FE PO | Files |         | 37A       | completion of |
|             |         |       |         |           | grant;        |
|             |         |       |         |           | destroy when  |
|             |         |       |         |           | 6 years, 3    |
|             |         |       |         |           | months old.   |
+-------------+---------+-------+---------+-----------+---------------+
| Progress    | #####   | Code  | Hard    | Schedule  | Retire to FRC |
| Report Memo | ### Cod | FE    | Copy    | 5, Item   | 2 years after |
| of          | e FE PA | Files |         | 37A       | completion of |
| Rev         |         |       |         |           | grant;        |
| iew/Renewal |         |       |         |           | destroy when  |
| (Grant)     |         |       |         |           | 6 years, 3    |
|             |         |       |         |           | months old.   |
+-------------+---------+-------+---------+-----------+---------------+
| Task        | #####   | Code  | Hard    | Schedule  | Destroy upon  |
| Assignment  | ### Cod | FE    | Copy    | 5, Item   | termination,  |
| (Contract)  | e FE PA | Files |         | 1F        | completion of |
|             |         |       |         |           | contract, or  |
|             |         |       |         |           | when no       |
|             |         |       |         |           | longer needed |
|             |         |       |         |           | whichever is  |
|             |         |       |         |           | sooner.       |
+-------------+---------+-------+---------+-----------+---------------+
| Final       | #####   | Code  | Hard    | Schedule  | Destroy when  |
| Report      | ### Cod | FE    | Copy    | 5, Item   | 2 years old.  |
| N           | e FE PO | Files |         | 37C2      |               |
| otification |         |       |         |           |               |
+-------------+---------+-------+---------+-----------+---------------+