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

National Aeronautics and

Space Administration

Washington, DC 20546

##  PN 97-77

### October 1, 2002 

## APPROVAL AUTHORITY FOR CONTRACT ACTIONS PENDING RESOLUTION OF AN AGENCY PROTEST

## AND

## BROAD AGENCY ANNOUNCEMENTS

***BACKGROUND:***

**ITEM I:** This PN revises NASA FAR Supplement (NFS) 1833.103(f) to---

\(1\) Indicate that the Assistant Administrator for Procurement (Code H)
is the approval authority for authorizing both contract award and
contract performance pending resolution of an agency protest; and

\(2\) Require centers to notify Code HS when an agency protest is
received. In addition, NFS 1833.103(c) and 1852.52.233-70 are amended to
indicate that the Assistant Administrator for Procurement, instead of
the currently designated Deputy Assistant Administrator, is the
responsible official for the independent review alternative to an agency
protest.

**ITEM II:** This PN amends the NASA FAR Supplement (NFS) to require,
when relevant, consideration of safety and risk-based acquisition
management in NASA\'s broad agency announcements. This change will
ensure consistency in the way safety and risk based acquisition
management are treated in all NASA acquisitions.

***ACTION REQUIRED BY CONTRACTING OFFICERS***:

**ITEM I:** Contracting officers must notify Code HS, as well as Code
GK, of all agency protests. If centers desire to award a contract or
continue contract performance while the agency protest is resolved,
contracting officers must request, through Code HS, the written approval
of Code H.

**ITEM II:** Broad Agency Announcements issued after October 1, 2002,
requiring the use of the clause at 1852.235-72, Instructions for
Responding to NASA Research Announcements, must include the revised
clause dated October 2002.

***Clause Changes:***

**ITEM I:** This PN revises 1852.233-70 to delete the two references to
"Deputy".

**ITEM II:** This PN revises the clause at 1852.235-72, Instructions for
Responding to NASA Research Announcements, by requiring offerors to
identify and discuss risk factors and issues throughout their proposals
where they are relevant, and their approach to managing those risks.

***PARTS AFFECTED:*** Changes are made in Parts 1833, 1852, and 1872.

***REPLACEMENT PAGES:*** You may use the enclosed pages to replace Part
1833, 52:10.1,

52:10.2, 52:57, 52:58, 52:61-52:66, 52-95, 52-96, 72:5, 72:6, 72:7,
72:8, 72:23, 72:24, 72:25, and 72:26.

***TYPE OF RULE AND PUBLICATION DATE:*** This PN was published as a
final rule in the Federal Register (67 FR 61519 - 61521) on October 1,
2002.

***HEADQUARTERS CONTACTS:* ITEM I:** Tom O'Toole, Code HK, (202)
358-0478, email: thomas.otoole@hq.nasa.gov; **ITEM II:** Paul Brundage,
Code HC, (202) 358-0481, email: paul.brundage@hq.nasa.gov.

R. Scott Thompson

Director, Contract Management Division

**PART 1833**

# PROTESTS, DISPUTES, AND APPEALS

**TABLE OF CONTENTS**

**SUBPART 1833.1 PROTESTS**

1833.103 Protests to the agency.

1833.104 Protests to GAO.

1833.106 Solicitation provision and contract clause.

1833.106-70 Solicitation provision.

**SUBPART 1833.2 DISPUTES AND APPEALS**

1833.209 Suspected fraudulent claims.

1833.210 Contracting officer's authority.

1833.211 Contracting officer's decision.

1833.215 Contract clause.

**PART 1833**

# PROTESTS, DISPUTES, AND APPEALS

**Subpart** **1833.1\--Protests**

**1833.103 Protests to the agency.**

\(c\) An independent review under the provision at 1852.233-70 is
available as an alternative to a protest to the contracting officer, but
not as an appeal of a protest decision. All independent reviews shall be
conducted by the Assistant Administrator for Procurement or designee.
Such reviews are different from the Ombudsman Program described at
1815.7001.

\(d\) NASA shall summarily dismiss and take no further action upon any
protest to the Agency if the substance of the protest is pending in
judicial proceedings or the protester has filed a protest on the same
acquisition with the United States General Accounting Office prior to
receipt of an Agency protest decision.

\(4\) When a potential bidder or offeror submits an Agency protest to
NASA to the contracting officer or alternatively requests an independent
review, the decision of the contracting officer or the independent
review official shall be final and is not subject to any appeal or
reconsideration within NASA.

\(f\) Protests received at NASA offices or locations other than that of
the cognizant contracting officer shall be immediately referred to the
contracting officer for disposition (see 1833.106(a)). The contracting
officer shall advise the Headquarters Offices of Procurement (Code HS)
and the General Counsel (Code GK) of the receipt of the protest and the
planned and actual disposition. This paragraph does not apply when the
protester has requested an independent review under the provision at
1852.233-70.

\(1\) The Assistant Administrator for Procurement (Code HS) is the
approval authority for contract award.

\(3\) The Assistant Administrator for Procurement (Code HS) is the
approval authority for authorizing continued contract performance.

**1833.104**  **Protests** **to** **GAO.**

The Assistant Administrator for Procurement is the sole authority for
deciding whether to defend a protest to GAO or to direct remedial
action. NASA per­son­nel shall take no action to respond to or resolve any
protest filed with GAO other than in accordance with this part and other
guidance provided by NASA Headquarters.

(a)(2) The Headquarters Office of Pro­curement (Code HS) shall notify the
con­tracting officer of protest receipt, and the contracting officer
shall immediately give notice of the protest to all interested parties.
Oral contracting officer notices shall be subsequently confirmed in
writing, and the contracting officer shall also send a copy of the
written confir­mation to Code HS, the Head­quar­ters Office of the General
Coun­sel (Code GK), and the instal­lation Chief Counsel.

(3)(i) The contracting officer shall send four copies of the protest
report, consisting of the protest file, the contracting officer's
state­ment of facts, and a draft memoran­dum of law to Code GK within 20
days after GAO notifi­cation of protest receipt. Also include a copy of
the file index in electronic format. The contracting officer shall
retain a minimum of two copies of the protest file.

\(ii\) When an actual or prospective offeror requests access to a
protest file, the contracting officer shall take the following actions,
except **(*a*)** and **(*b*)** are not required if already accomplished:

**(*a*)** Send a copy of the protest file index to Code GK within 10
days of receipt of the request.

**(*b*)** Send a copy of the protest file to Code GK within 15 days of
receipt of the request.

**(*c*)** With Code GK concurrence, send the protest file and index to
the requesting party to ensure delivery within 20 days after receipt of
the request.

\(iv\) Code GK shall submit the protest file to GAO.

(4)(i) Code GK shall provide copies of the report to the protestor(s),
any intervenors, and the installation Chief Counsel.

(b)(1) The Assistant Administrator for Procurement (Code HS) is the
approval authority for contract award.

(c)(1) The contracting officer shall consult Code HS before terminating
a protested contract.

\(2\) The Assistant Administrator for Procurement (Code HS) is the
approval authority for authorizing contract performance.

\(f\) The Agency may request GAO reconsi­deration of its decision within
10 days of issuance. If reconsideration is appropriate, the installation
Chief Counsel shall forward a draft request for reconsideration, with
any additional supporting documentation, to Code GK within 6 days of
issuance of the GAO decision.

**1833.106 Solicitation provision and contract clause.**

\(a\) The contracting officer shall be the designated recipient of
Agency protests in paragraph (a) of the provision at FAR 52.233-2.

**1833.106-70 Solicitation provision.**

Contracting officers shall insert the provision at 1852.233-70 in all
solicitations.

**Subpart** **1833.2\--Disputes and Appeals**

**1833.209** **Suspected** **fraudulent** **claims.**

The contracting officer shall report sus­pected fraudulent claims to the
Headquar­ters Offices of Inspector General (Code W) and the General
Counsel (Code G).

**1833.210 Contracting officer's authority.**

See NASA Policy Directive 2010.2 on use of Alternative Dispute
Resolution.

**1833.211** **Contracting** **officer's** **decision.**

(a)(4)(v) The Armed Services Board of Contract Appeals is the NASA
Administrator's authorized representa­tive for hearing appeals of
contracting officer final decisions. Accordingly, contract­ing officers
shall cite that fact in the final decision letter, provide the Board's
mailing address (Armed Servic­es Board of Contract Appeals, Skyline Six,
5109 Leesburg Pike, Falls Church, VA 22041-3208), and in­clude a
notification that the Board's oper­at­ing procedures appear in Part 48,
Code of Fed­eral Regulations, Chapter 2, Appendix A.

**1833.215**  **Contract** **clause.**

The contracting officer shall use the clause at FAR 52.233-1, Disputes,
with its Alternate I whenever contin­ued perfor­mance is vital to national
security, the public health and welfare, important agen­cy pro­grams, or
other essential supplies or services whose timely reprocurement from
other sources would be impracticable.

\(6\) *Small Business Size for the Small Business Competitiveness
Demonstration Program and for the Targeted Industry Categories under the
Small Business Competitiveness Demonstration Program.* \[Complete only
if the offeror has represented itself to be a small business concern
under the size standards for this solicitation.\]

\(i\) \[Complete only for solicitations indicated as being set-aside for
emerging small

businesses in one of the four designated industry groups (DIGs).\] The
offeror represents as part of its offer that it \[ \] is, \[ \] is not
an emerging small business.

\(ii\) \[Complete only for solicitations indicated as being for one of
the targeted industry

categories (TICs) or four designated industry groups (DIGs).\] Offeror
represents as follows:

\(A\) Offeror\'s number of employees for the past 12 months (check the
Employees

column if size standard stated in the solicitation is expressed in terms
of number of employees); or

\(B\) Offeror\'s average annual gross revenue for the last 3 fiscal
years (check the Average Annual Gross Number of Revenues column if size
standard stated in the solicitation is expressed in terms of annual
receipts).

(Check one of the following):

+-------------------------------+--------------------------------------+
| ## NUMBER OF EMPLOYEES        | AVERAGE ANNUAL GROSS REVENUES        |
+-------------------------------+--------------------------------------+
| \_\_\_ 50 or fewer            | \_\_\_ \$1 million or less           |
+-------------------------------+--------------------------------------+
| \_\_\_ 51-100                 | \_\_\_ \$1,000,001\--\$2 million     |
+-------------------------------+--------------------------------------+
| \_\_\_ 101-250                | \_\_\_ \$2,000,001\--\$3.5 million   |
+-------------------------------+--------------------------------------+
| \_\_\_ 251-500                | \_\_\_ \$3,500,001\--\$5 million     |
+-------------------------------+--------------------------------------+
| \_\_\_ 501-750                | \_\_\_ \$5,000,001\--\$10 million    |
+-------------------------------+--------------------------------------+
| \_\_\_ 751-1000               | \_\_\_ \$10,000,001\--\$17 million   |
+-------------------------------+--------------------------------------+
| \_\_\_ Over 1000              | \_\_\_ Over \$17 million             |
+-------------------------------+--------------------------------------+

\(7\) *HUBZone small business concern.* \[Complete only if the offeror
represented itself as a small business concern in paragraph (c)(1) of
this provision.\] The offeror represents as part of its offer that\--

\(i\) It \[ \] is, \[ \] is not a HUBZone small business concern listed,
on the date of this

representation, on the List of Qualified HUBZone Small Business Concerns
maintained by the Small Business Administration, and no material change
in ownership and control, principal office, or HUBZone employee
percentage has occurred since it was certified by the Small Business
Administration in accordance with 13 CFR Part 126; and

\(ii\) It \[ \] is, \[ \] is not a joint venture that complies with the
requirements of 13

CFR Part 126, and the representation in paragraph (c)(11)(i) of this
provision is accurate for the HUBZone small business concern or concerns
that are participating in the joint venture. \[The offeror shall enter
the name or names of the HUBZone small business concern or concerns that
are participating in the joint venture:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_.\] Each HUBZone
small business concern participating in the joint venture shall submit a
separate signed copy of the HUBZone representation.

\(8\) (Complete if dollar value of the resultant contract is expected to
exceed \$25,000 and the offeror has represented itself as disadvantaged
in paragraph (c)(4) of this provision.) *\[The offeror shall check the
category in which its ownership falls\]:*

\_\_\_\_ Black American.

\_\_\_\_ Hispanic American.

\_\_\_\_ Native American (American Indians, Eskimos, Aleuts, or Native
Hawaiians).

\_\_\_\_ Asian-Pacific American (persons with origins from Burma,
Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan,
Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust
Territory of the Pacific Islands (Republic of Palau), Republic of the
Marshall Islands, Federated States of Micronesia, the Commonwealth of
the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong, Fiji,
Tonga, Kiribati, Tuvalu, or Nauru).

\_\_\_\_ Subcontinent Asian (Asian-Indian) American (persons with
origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the
Maldives Islands, or Nepal).

\_\_\_\_ Individual/concern, other than one of the preceding.

\(d\) *Representations required to implement provisions of Executive
Order 11246---*

\(1\) *Previous contracts and compliance*. The offeror represents
that\--

\(i\) It \[ \] has, \[ \] has not participated in a previous contract or
subcontract subject

to the Equal Opportunity clause of this solicitation; and

\(ii\) It \[ \] has, \[ \] has not filed all required compliance
reports.

\(2\) *Affirmative Action Compliance.* The offeror represents that\--

\(i\) It \[ \] has developed and has on file, \[ \] has not developed
and does not have on file, at each establishment, affirmative action
programs required by rules and regulations of the Secretary of Labor (41
CFR Parts 60-1 and 60-2), or

\(ii\) It \[ \] has not previously had contracts subject to the written
affirmative action programs requirement of the rules and regulations of
the Secretary of Labor.

\(e\) *Buy American Act\--Certificate.* (Applies only if the clause at
Federal Acquisition Regulation (FAR) 52.225-1, Buy American
Act\--Supplies, is included in this solicitation.)

\(1\) The offeror certifies that each end product, except those listed
in paragraph (e)(2) of this provision, is a domestic end product as
defined in the clause of this solicitation entitled \"Buy American
Act\--Supplies\" and that the offeror has considered components of
unknown origin to have been mined, produced, or manufactured outside the
United States. The offeror shall list as foreign end products those end
products manufactured in the United States that do not qualify as
domestic end products.

\(2\) Foreign End Products:

  ---------------------------------------- --------------------------------------------
  LINE ITEM NO.                            COUNTRY OF ORIGIN

  \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

  \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

  \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_   \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
  ---------------------------------------- --------------------------------------------

\[List as necessary\]

\(3\) The Government will evaluate offers in accordance with the
policies and procedures of FAR Part 25.

(f)(1) *Buy American Act\--North American Free Trade Agreement\--Israeli
Trade Act\--Certificate.* (Applies only if the clause at FAR 52.225-3,
Buy American Act\--North American Free Trade Agreement\--Israeli Trade
Act, is included in this solicitation.)

\(i\) The offeror certifies that each end product, except those listed
in paragraph (f)(1)(ii) or (f)(1)(iii) of this provision, is a domestic
end product as defined in the clause of this

**1852.232-81  Contract Funding.**

As prescribed in 1832.705-270(b), insert the following clause:

**CONTRACT FUNDING**

**(JUNE 1990)**

\(a\) For purposes of payment of cost, exclusive of fee, in accordance
with the Limitation of Funds clause, the total amount allotted by the
Government to this contract is \$ [        ]{.underline}. This allotment
is for \[Insert applicable item number(s), task(s), or work
description\] [         ]{.underline} and covers the following estimated
period of performance: [          ]{.underline}.

\(b\) An additional amount of \$[        ]{.underline} is obligated
under this contract for payment of fee.

**(End of clause)**

**1852.232-82 Submission of Requests for Progress Payments.**

As prescribed in 1832.502-470, insert the following clause:

**SUBMISSION OF REQUESTS FOR PROGRESS PAYMENTS**

**(MARCH 1989)**

The Contractor shall request progress payments in accordance with the
Progress Payments clause by submitting to the Contracting Officer an
original and two copies of Standard Form (SF) 1443, Contractor\'s
Request for Progress Payment, and the contractor\'s invoice (if
applicable). The Contracting Officer\'s office is the designated billing
office for progress payments for purposes of the Prompt Payment clause.

**(End of clause)**

**1852.233-70 Protests to NASA.**

As prescribed in 1833.106-70, insert the following provision:

**PROTESTS TO NASA**

**(OCTOBER 2002)**

Potential bidders or offerors may submit a protest under 48 CFR Part 33
(FAR Part 33) directly to the Contracting Officer. As an alternative to
the Contracting Officer\'s consideration of a protest, a potential
bidder or offeror may submit the protest to the Assistant Administrator
for Procurement, who will serve as or designate the official responsible
for conducting an independent review. Protests requesting an independent
review shall be addressed to Assistant Administrator for Procurement,
NASA Code H, Washington, DC 20546-0001.

**(End of provision)**

**1852.235-70 Center for AeroSpace Information - Final Scientific and
Technical Reports.**

As prescribed in 1835.070(a), insert the following clause:

# CENTER FOR AEROSPACE INFORMATION - FINAL SCIENTIFIC AND TECHNICAL REPORTS

**(JULY 2000)**

\(a\) The Contractor should register with and avail itself of the
services provided by the NASA Center for AeroSpace Information (CASI)
(http://www.sti.nasa.gov) for the conduct of research or research and
development required under this contract. CASI provides a variety of
services and products as a central NASA repository of research
information, which may enhance contract performance. The address is set
out in paragraph (d) of this clause.

\(b\) Should the CASI information or service requested by the Contractor
be unavailable or not in the exact form necessary by the Contractor,
neither CASI nor NASA is obligated to search for or change the format of
the information. A failure to furnish information shall not entitle the
Contractor to an equitable adjustment under the terms and conditions of
this contract.

\(c\) In addition to the final report, as defined at 1827.406-70(a)(3),
submitted to the contracting officer, a reproducible copy and a printed
or reproduced copy of the final report or data shall be concurrently
submitted to:

> Center for AeroSpace Information (CASI)
>
> Attn: Document Processing Section

7121 Standard Drive

Hanover, Maryland 21076-1320

Phone: 301-621-0390

FAX: 301-621-0134

\(d\) The last page of the final report submitted to CASI shall be a
completed Standard Form (SF) 298, Report Documentation Page. In addition
to the copy of the final report, the contractor shall provide, to CASI,
a copy of the letter transmitting the final report to NASA for its
Document Availability Authorization (DAA) review.

\(e\) The contractor shall not release the final report, outside of
NASA, until the DAA review has been completed by NASA and availability
of the report has been determined.

**(End of clause)**

**1852.235-71 Key Personnel and Facilities.**

As prescribed in 1835.070(b), insert the following clause:

**KEY PERSONNEL AND FACILITIES**

**(MARCH 1989)**

\(a\) The personnel and/or facilities listed below (or specified in the
contract Schedule) are considered essential to the work being performed
under this contract. Before removing, replacing, or diverting any of the
listed or specified personnel or facilities, the Contractor shall (1)
notify the Contracting Officer reasonably in advance and (2) submit
justification (including proposed substitutions) in sufficient detail to
permit evaluation of the impact on this contract.

\(b\) The Contractor shall make no diversion without the Contracting
Officer\'s written consent; [provided]{.underline}, that the Contracting
Officer may ratify in writing the proposed change, and that ratification
shall constitute the Contracting Officer\'s consent required by this
clause.

\(c\) The list of personnel and/or facilities (shown below or as
specified in the contract Schedule) may, with the consent of the
contracting parties, be amended from time to time during the course of
the contract to add or delete personnel and/or facilities.

\[List here the personnel and/or facilities considered essential, unless
they are specified in the contract Schedule.\]

**(End of clause)**

**1852.235-72 Instructions for Responding to NASA Research
Announcements.**

As prescribed in 1835.070(c), insert the following provision:

**INSTRUCTIONS FOR RESPONDING TO NASA RESEARCH ANNOUNCEMENTS**

**(OCTOBER 2002)**

\(a\) **General.**

\(1\) Proposals received in response to a NASA Research Announcement
(NRA) will be used only for evaluation pur­poses. NASA does not allow a
proposal, the contents of which are not available without restriction
from another source, or any unique ideas submitted in response to an NRA
to be used as the basis of a solicitation or in negotiation with other
organizations, nor is a pre-award synop­sis published for individual
proposals.

\(2\) A solicited proposal that results in a NASA award becomes part of
the record of that transaction and may be available to the public on
specific request; however, infor­mation or material that NASA and the
awardee mutually agree to be of a privi­leged nature will be held in
confidence to the extent permitted by law, including the Freedom of
Information Act.

\(3\) NRAs contain programmatic information and certain requirements
which apply only to proposals prepared in response to that particular
announcement. These in­structions contain the general proposal
preparation information which applies to responses to all NRAs.

\(4\) A contract, grant, cooperative agree­ment, or other agreement may
be used to accomplish an effort funded in response to an NRA. ­NASA will
determine the appropriate award instrument. Contracts resulting from
NRAs are subject to the Federal Acquisition Regulation and the NASA FAR
Supplement. Any resultant grants or cooperative agreements will be
awarded and administered in accor­dance with the NASA Grant and
Coopera­tive Agreement Handbook (NPG 5800.1).

\(5\) NASA does not have mandatory forms or formats for re­sponses to
NRAs; however, it is requested that proposals conform to the guidelines
in these instructions. NASA may accept proposals without discussion;
hence, proposals should initially be as complete as possible and be
submitted on the proposers\' most favorable terms.

\(6\) To be considered for award, a submission must, at a minimum,
present a specific project within the areas delineated by the NRA;
contain sufficient technical and cost information to permit a meaningful
evalu­ation; be signed by an official autho­rized to legally bind the
submitting organization; not merely offer to perform standard services
or to just provide computer facilities or services; and not
significantly duplicate a more specific current or pending NASA
solicitation.

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

\(c\) The following information is needed to permit consideration in an
objective manner. NRAs will generally specify topics for which
additional information or greater detail is desirable. Each proposal
copy shall contain all submitted material, including a copy of the
transmittal letter if it contains substantive information.

\(1\) **Transmittal Letter or Prefatory** **Materi­al.**

\(i\) The legal name and address of the organization and specific
division or cam­pus identification if part of a larger organi­zation;

\(ii\) A brief, scientifically valid project title intelligible to a
scientifically literate reader and suitable for use in the public press;

\(iii\) Type of organization: e.g., profit, nonprofit, educational,
small business, minority, women-owned, etc.;

\(iv\) Name and telephone number of the principal investigator and
business person­nel who may be contacted during evalua­tion or
negotiation;

\(v\) Identification of other organi­zations that are currently
evaluating a proposal for the same efforts;

\(vi\) Identification of the NRA, by number and title, to which the
proposal is responding;

\(vii\) Dollar amount requested, desired starting date, and duration of
pro­ject;

\(viii\) Date of submission; and

\(ix\) Signature of a responsible official or authorized representative
of the organi­zation, or any other person authorized to legally bind the
organization (unless the signature appears on the proposal itself).

\(2\) **Restriction on Use and Disclosure of** **Proposal Information.**
Information con­tained in proposals is used for evaluation purposes only.
Offerors or quoters should, in order to maximize protection of trade
secrets or other information that is confidential or privileged, place
the following notice on the title page of the proposal and specify the
information subject to the notice by inserting an appropri­ate
identification in the notice. In any event, information contained in
proposals will be protected to the extent permitted by law, but NASA
assumes no liability for use and disclosure of information not made
subject to the notice.

**Notice**

**Restriction on Use and Disclosure** **of Proposal Information**

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

\(3\) **Abstract.** Include a concise (200-300 word if not otherwise
specified in the NRA) abstract describing the objective and the method
of approach.

\(4\) **Project Description.**

\(i\) The main body of the proposal shall be a detailed statement of the
work to be undertaken and should include objectives and expected
significance; relation to the present state of knowledge; and relation
to previous work done on the pro­ject and to related work in progress
else­where. The statement should outline the plan of work, including the
broad design of experiments to be undertaken and a description of
experimental methods and procedures. The project de­scription should
address the evaluation factors in these instructions and any spe­cific
factors in the NRA. Any substantial collaboration with individuals not
referred to in the budget or use of consultants should be described.
Subcontracting significant portions of a research project is
discouraged.

\(ii\) When it is expected that the effort will require more than one
year, ­the proposal should cover the complete project to the extent that
it can be reason­ably anticipated. Principal emphasis should be on the
first year of work, and the description should distin­guish clearly
between the first year\'s work and work planned for subsequent years.

\(5\) **Management Approach.** For large or complex efforts involving
interactions among numerous individuals or other organizations, plans
for distri­bution of responsibilities and ­ar­rangements for ensuring a
coordi­nated effort should be described.

\(6\) **Personnel.** The principal investigator is responsible for
supervision of the work and partici­pates in the conduct of the re­search
regard­less of whether or not compensated under the award. A short
bio­graphical sketch of the prin­cipal investiga­tor, a list of principal
publications and any exceptional qualifi­cations should be includ­ed. Omit
social security number and other personal items which do not merit
consider­ation in evaluation of the proposal. Give similar biographical
information on other senior professional personnel who will be di­rectly
associated with the project. Give the names and titles of any other
scien­tists and technical personnel associated substan­tially with the
project in an advisory capac­ity. Universities should list the
approxi­mate number of students or other assistants, together with
information as to their level of academic attainment. Any special
industry-university cooperative arrange­ments should be described.

\(7\) **Facilities and Equipment.**

\(i\) Describe available facilities and major items of equipment
especially adapt­ed or suited to the proposed project, and any additional
major equipment that will be required. Identify any Government-owned
facilities, industrial plant equip­ment, or special tooling that are
proposed for use. Include evidence of its availability and the cognizant
Government points of contact.

\(ii\) Before requesting a major item of capital equipment, the proposer
should determine if sharing or loan of equipment already within the
organization is a feasible alternative. Where such ar­rangements cannot
be made, the proposal should so state. The need for items that typically
can be used for research and non-research purposes should be explained.

\(8\) **Proposed Costs (U.S. Proposals Only).**

\(i\) Proposals should contain cost and technical parts in one volume:
do not use separate \"confidential\" salary pages. As applicable,
include separate cost estimates for salaries and wages; fringe benefits;
equipment; expendable materials and sup­plies; services; domestic and
foreign travel; ADP expenses; publication or page charges; consultants;
subcontracts; other miscella­neous identifiable direct costs; and
indirect costs. List salaries and wages in appropri­ate organizational
categories (e.g., principal investigator, other scientific and
engineer­ing professionals, graduate students, re­search assistants, and
technicians and other non-professional personnel). Estimate all staffing
data in terms of staff-months or fractions of full-time.

\(ii\) Explanatory notes should accompa­ny the cost proposal to provide
identifica­tion and estimated cost of major capital equipment items to be
acquired; purpose and estimated number and lengths of trips planned;
basis for indirect cost computation (including date of most recent
negotiation and cognizant agency); and clarification of other items in
the cost proposal that are not self-evident. List estimated expenses as
yearly requirements by major work phases.

\(iii\) Allowable costs are governed by FAR Part 31 and the NASA FAR
Supplement Part 1831 (and OMB Circulars A-21 for educational
institutions and A-122 for nonprofit organizations).

\(iv\) Use of NASA funds\--NASA funding may not be used for foreign
research efforts at any level, whether as a collaborator or a
subcontract. 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. Additionally, 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.

\(9\) **Security.** Proposals should not contain security classi­fied
material. If the research requires access to or may generate security
classified informa­tion, the submit­ter will be required to comply with
­Government securi­ty regulations.

\(10\) **Current Support.** For other current projects being con­ducted
by the principal investigator, provide title of project, sponsoring
agency, and ending date.

\(11\) **Special Matters.**

\(i\) Include any required statements of environmental impact of the
research, human subject or animal care provisions, conflict of interest,
or on such other topics as may be required by the nature of the effort
and current statutes, executive or­ders, or other current Government-wide
guidelines.

\(ii\) Identify and discuss risk factors and issues throughout the
proposal where they are relevant, and your approach to managing these
risks.

\(iii\) Proposers should include a brief description of the
organization, its facili­ties, and previous work experience in the field
of the proposal. Identify the cogni­zant Government audit agency,
inspection agency, and administrative contracting officer, when
applicable.

\(d\) **Renewal Proposals.**

\(1\) Renewal proposals for existing awards will be considered in the
same manner as proposals for new endeavors. A renewal proposal should
not repeat all of the information that was in the original proposal. The
renewal proposal should refer to its predecessor, update the parts that
are no longer current, and indicate what elements of the research are
expected to be covered during the period for which support is desired. A
description of any significant findings since the most recent progress
report should be included. The renewal proposal should treat, in
rea­sonable detail, the plans for the next period, contain a cost
estimate, and otherwise ad­here to these instructions.

\(2\) NASA may renew an effort either through amendment of an existing
contract or by a new award.

\(e\) **Length.** Unless otherwise specified in the NRA, effort should
be made to keep propos­als as brief as possible, concentrating on
substantive material. F­­ew proposals need exceed 15-20 pages. Necessary
detailed infor­mation, such as reprints, should be included as
attachments. A complete set of attach­ments is necessary for each copy of
the proposal. As proposals are not returned, avoid use of
\"one-of-a-kind\" attachments.

\(f\) **Joint Proposals.**

\(1\) Where multiple organizations are involved, the proposal may be
submitted by only one of them. It should clearly describe the role to be
played by the other organizations and indicate the legal and managerial
arrangements contem­plated. In other instances, simultaneous submission
of related proposals from each organization might be appropriate, in
which case parallel awards would be made.

\(2\) Where a project of a cooperative nature with NASA is contemplated,
describe the contributions expect­ed from any participating NASA
investiga­tor and agency facilities or equipment which may be required.
The proposal must be confined only to that which the proposing
organization can com­mit itself. \"Joint\" proposals which specify the
internal arrangements NASA will actually make are not acceptable as a
means of establishing an agency commit­ment.

\(g\) **Late Proposals.** Proposals or proposal modifications received
after the latest date specified for receipt may be considered if a
significant reduction in cost to the Government is probable or if there
are significant technical advantages, as compared with proposals
previously received.

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

\(i\) **Evaluation Factors.**

\(1\) Unless otherwise specified in the NRA, the principal elements (of
approximately equal weight) considered in evaluating a proposal are its
relevance to NASA\'s objec­tives, intrinsic merit, and cost.

\(2\) Evaluation of a proposal\'s relevance to NASA\'s objectives
includes the consider­ation of the potential contribution of the effort
to NASA\'s mission.

\(3\) Evaluation of its intrinsic merit includes the consideration of
the following factors of equal importance:

\(i\) Overall scientific or technical merit of the proposal or unique
and innovative methods, approaches, or concepts demon­strated by the
proposal.

\(ii\) Offeror\'s capabilities, related experience, facilities,
techniques, or unique combinations of these which are integral factors
for achieving the proposal objec­tives.

\(iii\) The qualifications, capabilities, and experience of the proposed
principal investigator, team leader, or key personnel critical in
achieving the proposal objectives.

\(iv\) Overall standing among similar proposals and/or evaluation
against the state-of-the-art.

\(4\) Evaluation of the cost of a proposed effort may include the
realism and reasonableness of the proposed cost and available funds.

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

during its initial review, may be included in subsequent reviews unless
the proposer requests other­wise.

\(k\) **Selection for Award.**

\(1\) When a proposal is not selected for award, the proposer will be
noti­fied. NASA will explain generally why the proposal was not selected.
Proposers desir­ing additional information may contact the selecting
official who will arrange a de­briefing.

\(2\) When a proposal is selected for award, negotiation and award will
be handled by the procurement office in the funding installation. The
proposal is used as the basis for negotiation. The con­tracting officer
may re­quest certain busi­ness data and may for­ward a model award
instrument and other informa­tion pertinent to negotiation.

\(l\) **Additional Guidelines Applicable to Foreign Proposals and
Proposals Including Foreign Participation.**

\(1\) NASA welcomes proposals from outside the U.S. However, foreign
entities are generally not eligible for funding from NASA. Therefore,
unless otherwise noted in the NRA, proposals from foreign entities
should not include a cost plan unless the proposal involves
collaboration with a U.S. institution, in which case a cost plan for
only the participation of the U.S. entity must be included. Proposals
from foreign entities and proposals from U.S. entities that include
foreign participation must be endorsed by the respective government
agency or funding/sponsoring institution in the country from which the
foreign entity is proposing. Such endorsement should indicate that the
proposal merits careful consideration by NASA, and if the proposal is
selected, sufficient funds will be made available to undertake the
activity as proposed.

\(2\) All foreign proposals must be typewritten in English and comply
with all other submission requirements stated in the NRA. All foreign
proposals will undergo the same evaluation and selection process as
those originating in the U.S. All proposals must be received before the
established closing date. Those received after the closing date will be
treated in accordance with paragraph (g) of this provision. Sponsoring
foreign government agencies or funding institutions may, in exceptional
situations, forward a proposal without endorsement if endorsement is not
possible before the announced closing date. In such cases, the NASA
sponsoring office should be advised when a decision on endorsement can
be expected.

\(3\) Successful and unsuccessful foreign entities will be contacted
directly by the NASA sponsoring office. Copies of these letters will be
sent to the foreign sponsor. Should a foreign proposal or a U.S.
proposal with foreign participation be selected, NASA\'s Office of
External Relations will arrange with the foreign sponsor for the
proposed participation on a no-exchange-of-funds basis, in which NASA
and the non-U.S. sponsoring agency or funding institution will each bear
the cost of discharging their respective responsibilities.

\(4\) Depending on the nature and extent of the proposed cooperation,
these arrangements may entail:

\(i\) An exchange of letters between NASA and the foreign sponsor**;**
or

\(ii\) A formal Agency-to-Agency Memorandum of Understanding (MOU).

\(m\) **Cancellation of NRA.** NASA reserves the right to make no awards
under this NRA and to cancel this NRA. NASA assumes no liability for
canceling the NRA or for anyone\'s failure to receive actual notice of
cancellation.

**(End of provision)**

\(b\) The program office shall:

\(1\) Synopsize the AO in the Com­merce Business Daily and on the NAIS
prior to release;

\(2\) Determine if there is instru­men­ta­tion or support equipment
available which may be appropriate to the AO with all necessary
background data considered essential for use by a proposer;

\(3\) Determine mailing lists, includ­ing the mailing list maintained by
the Interna­tional Affairs Division, Office of External Rela­tions, for
broad dissemination of the AO; and

\(4\) Assure mandatory provi­sions are contained in the AO.

\(c\) Other methods of dissemination of the AO may also be used, such as
the use of press releases, etc. When possible, the AO should be widely
publicized through publi­cations of appropriate professional societ­ies;
however, NASA policy does not allow payment for the placement of
advertise­ments.

**1872.303 Responsibilities.**

\(a\) The program office originator is responsible for the content of
the AO and coordination with concerned Headquarters offices and field
installations. All person­nel involved in the evaluation of proposals are
responsible for familiarizing themselves and complying with this part
and other applicable regulations. To this end, they are expected to seek
the advice and guidance of appropriate Headquarters program and staff
offices, and Project Installation management.

\(b\) The Program Office is also re­sponsi­ble for coordinating the AO
with the Inter­national Affairs, Educational Affairs, Management Support
Divisions, Office of External Relations, Office of General Counsel,
Office of Safety and Mission Assurance, and Office of Procurement prior
to issuance (see NPD 1360.2, Initiation and Development of International
Cooperation in Space and Aeronautics Programs).

\(c\) Concurrence of the Office of Procurement is required before
issuance of an AO.

**1872.304 Proposal opportunity period.**

\(a\) The AO must accom­modate to the maximum extent practicable
opportunities af­forded by the Shuttle/Spacelab flights. The following
methods may be used to enable an AO to be open for an extended period of
time and/or to cover a series or range of flight possibili­ties or
disciplines:

\(1\) The AO may be issued establish­ing a number of proposal submis­sion
dates. Normally, no more than three proposal submission dates should be
estab­lished. The submittal dates may be spread over the number of months
most compatible with the possible flight opportunities and the
avail­ability of resources necessary to evaluate and fund the proposals.

\(2\) The AO may be issued establish­ing a single proposal submission
date. However, the AO could provide that NASA amend the AO to provide
for subse­quent dates for submission of proposals, if addi­tional
inves­tigations are desired within the AO objec­tives.

\(3\) The AO may provide for an initial submission date with the AO to
remain open for submission of additional proposals up to a final cutoff
date. This final date should be related to the availabil­ity of resources
necessary to evaluate the continu­ous flow of proposals, the time
remaining prior to the flight opportunity(s) contem­plated by the AO, and
payload fund­ing and availability.

\(b\) Generally, a core payload of investi­gations would be selected from
the initial submission of proposals under the above methods of
open-ended AOs. These selec­tions could be final or tentative recog­nizing
the need for further definition. Proposals received by subsequent
submis­sion

dates would be considered in the scope of the original AO but would be
subject to the opportunities and resources remaining available or the
progress being made by prior selected investigations.

\(c\) Any proposal, whether received on the initial submission or
subsequent submis­sion, requires notification to the investiga­tor and the
investigator\'s institu­tion of the proposal disposition. Some of the
proposals will be rejected completely and the investi­gators immediately
notified. The remaining unselected proposals may, if agreeable with the
proposers, be held for later consider­ation and funding and the
investigator so notified. However, if an investigator\'s proposal is
considered at a later date, the investigator must be given an
opportunity to validate the proposal with the investigator\'s
institution and for updat­ing the cost and other data contained in the
original submission prior to a final selec­tion. In summary, NASA may
retain pro­posals, receiving Category I, II, or III classi­fications (see
1872.403-1(e)), for possible later sponsorship until no longer feasible
to consider the proposal. When this final stage is reached, the
investigator must be prompt­ly notified. Proposing investigators not
desiring their proposals be held for later consider­ation should be given
the opportu­nity to so indicate in their original submis­sions.

**1872.305 Guidelines** **for** **announcement of opportunity.**

\(a\) The AO should be tailored to the particular needs of the
contemplated inves­tigations and be complete in itself. Each AO will
identify the originating program office and be numbered consecutively by
calendar year, e.g., OA‑1-95, OA-2-95; OLMSA-1-95; OSS-1-95; etc. The
required format and detailed instructions regarding the contents of the
AO are contained in 1872.705.

\(b\) The General Instructions and Provi­sions (1872.705-1) are necessary
to accom­modate the unique aspects of the AO pro­cess. Therefore, they
must be appended to each AO.

\(c\) At the time of issuance, copies of the AO must be furnished to
Headquarters, Office of Procurement (Code HS) and Office of Gener­al
Counsel (Code GK).

\(d\) Proposers should be informed of significant departures from
scheduled dates for activities related in the AO.

**1872.306 Announcement of opportunity soliciting foreign
participation.**

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 Management Plan Section of
1872.705-2 and must be included in any Guidelines for Proposal
Preparation or otherwise furnished to foreign proposers.

**1872.307 Guidelines for proposal** **preparation.**

While not all of the guidelines outlined in 1872.705-2 will be
applicable in response to every AO, the investigator should be informed
of the relevant infor­mation re­quired. The proposal may be submitted on a
form supplied by the Pro­gram Office. However, the proposal should be
submitted in at least two sections: (a) Investigation and Technical
Plan; and (b) Management and Cost Plan as de­scribed in 1872.705-2.
Investigators shall be required to identify and discuss risk factors and
issues throughout the proposal where they are relevant**,** and describe
their approach to managing these risks.

# Subpart 1872.4\--Evaluation of Proposals

**1872.401 General.**

\(a\) The evaluation process consid­ers the aspects of each proposal by
the following progressive sorting:

\(1\) A review resulting in a categoriza­tion is performed by using one
of the meth­ods or combination of the methods outlined in 1872.403. The
purpose of this initial review is to determine the scientific and/or
technological merit of the proposals in the context of the AO
objectives.

\(2\) Those proposals which are considered to have the greatest
scientific or technological merit are then reviewed in detail for the
engineering, management, and cost aspects, usually by the project office
at the installation re­sponsible for the project.

\(3\) Final reviews are performed by the program office and the steering
committee and are aimed at devel­oping a group of investigations which
rep­resent an integrated payload or a well-balanced program of
investigation which has the best possibility for meeting the AO's
objectives within programmatic constraints.

\(b\) The importance of considering the interrelationship of the several
aspects of the proposals to be reviewed in the pro­cess and the need for
carefully planning their treatment should not be overlooked. An
evaluation plan should be developed before issuance of the AO. It should
cover the recommended staffing for any subcommit­tee or contractor
support, review guidelines as well as the procedural flow and schedule
of the evaluation. While not mandatory, such a plan should be considered
for each AO. A fuller discussion of the evaluation and selection process
is included in the following sections of this subpart.

**1872.402 Criteria for evaluation.**

\(a\) Each AO must indicate those criteria which the evaluators will
apply in evaluat­ing a proposal. The relative impor­tance of each
criterion must also be stated. This information will allow investigators
to make informed judgments in formulating proposals that best meet the
stated objec­tives.

\(b\) Following is a list of general evalua­tion criteria appropriate for
inclu­sion in most AOs:

\(1\) The scientific, applica­tions, and/or technological merit of the
investiga­tion.

\(2\) The relevance of the pro­posed inves­tigation to the AO\'s stated
scien­tific, appli­cations, and/or technological objec­tives.

\(3\) The competence and expe­rience of the investigator and any
investi­gative team.

\(4\) Adequacy of whatever appara­tus may be proposed with particular
regard to its ability to supply the data needed for the investigation.

\(5\) The reputation and interest of the investigator\'s institution, as
mea­sured by the willingness of the institution to provide the support
necessary to ensure that the investigation can be completed
satisfac­torily.

\(6\) Cost and management aspects will be considered in all selections.

\(7\) The proposed approach to managing risk (e.g., level of technology
maturity being applied or developed, technical complexity, performance
specifications and tolerances, delivery schedule, etc.).

\(8\) Other or additional criteria may be used, but the evaluation
criteria must be germane to the accomplishment of the stated objectives.

\(c\) Once the AO is issued, it is essen­tial that the evaluation
criteria be applied in a uniform manner. If it becomes appar­ent, before
the date set for receipt of pro­posals, that the criteria or their
relative impor­tance should be changed, the AO will be amended, and all
known recipients will be informed of the change and given an ade­quate
opportunity to consider it in submis­sion of their proposals. Evaluation
criteria and/or their relative importance will not be changed after the
date set for receipt of proposals.

**1872.403  Methods of evaluation.**

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

**1872.403-1** **Advisory** **subcommittee evaluation process.**

\(a\) Evaluation of scientific and/or tech­nological merit of proposed
investiga­tions is the responsibility of an advisory subcom­mittee of the
Steering Committee. The subcommittee constitutes a peer group qualified
to judge the scientific and technological aspects of all investiga­tion
proposals. One or more subcommittees may be established depending on the
breadth of the technical or scientific disci­plines inher­ent in the AO\'s
objectives. Each subcom­mittee represents a discipline or grouping of
closely related disciplines. To maximize the quality of the subcommittee
evaluation and categorization, the follow­ing conditions of selection and
appointment should be consid­ered.

\(1\) The subcommittee normal­ly should be established on an ad hoc
basis.

\(2\) Qualifications and acknowledgment of the professional abili­ties of
the subcom­mittee members are of primary importance. Institutional
affilia­tions are not sufficient qualifications.

\(3\) The executive secretary of the sub­committee must be a full-time
NASA em­ployee.

\(4\) Subcommittee members should nor­mally be appointed as early as
possible and prior to receipt of proposals.

\(5\) Care must be taken to avoid conflicts of interest. These include
finan­cial inter­ests, institutional affilia­tions, professional biases and
associations, as well as familiar relationships. Conflicts could further
occur as a result of imbalance between Govern­ment and non-Government
appointees or membership from institutions representing a singular
school of thought in discipline areas involving competitive theories in
approach to an investigation.

\(6\) The subcommittee should con­vene as a group in closed sessions for
pro­posal evaluation to protect the proposer\'s propri­etary ideas and to
allow frank discus­sion of the proposer\'s qualifications and the merit
of the proposer\'s ideas. Lead review re­sponsibility for each proposal
may be as­signed to members most qualified in the involved discipline. It
is important that each proposal be considered by the entire
subcommittee.

for investigations are sought, this section should describe the
requirement, if any, for selected investigators to serve on advisory or
working groups. In those instances where the project or program has not
yet been approved, a qualifying statement should be included to indicate
that this AO does not constitute an obligation for the Government to
carry the effort to comple­tion.

**II. NASA's Safety Priority.**

Safety is the freedom from those conditions that can cause death,
injury, occupational illness; damage to or loss of equipment or
property, or damage to the environment. NASA's safety priority is to
protect\--

\(1\) The public;

\(2\) Astronauts and pilots;

> \(3\) The NASA workforce (including contractor employees working on
> NASA contracts); and (4) High-value equipment and property.

**III. AO Objectives.**

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

**IV. Background.**

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

**V. Proposal Opportunity Period.**

This section should provide the pro­pos­al opportunity period(s). The
following meth­ods may be used individually or in conjunc­tion for
establishing the proposal opportu­nity period(s):

\(a\) The AO may be issued establish­ing a single date by which proposals
may be received. However, the AO could provide that the agency may amend
the AO to pro­vide for subsequent dates for submission of proposals, if
additional investigations are desired.

\(b\) The AO may be issued to pro­vide for an initial submission date
with the AO to remain open for submission of addi­tional proposals up to
a final cutoff date. This final date should be related to the
availabil­ity of resources necessary to evalu­ate the continuous flow of
proposals and the time remaining prior to the flight op­portunities
contemplated by the AO.

\(c\) The AO may be issued establish­ing a number of dates by which
proposals may be received. Normally no more than three proposal
submission dates should be estab­lished. The submittal dates may be
spread over the number of months most compatible with the possible
flight opportu­nities and the availability of resources necessary to
evaluate and fund the proposal. If desired, this section should further
in­form the reader that if a proposal receives a Catego­ry I, II, or III
rating but is not selected for immediate support, the proposal may, if
desired by the proposer, be held by NASA for later consideration within
the ground rules set forth in paragraphs l and 2. The section should
inform the reader that if the person wishes the proposal to be so
treated, it should be indicated in the pro­posal. This section should
further indicate that offer­ors whose proposals are to be considered at a
later time will be given the opportunity to revalidate their proposals
with their institu­tion and update cost data.

**VI. Requirements and Constraints.**

\(a\) This section will include techni­cal, programmatic, cost, and
schedule re­quire­ments or constraints, as applicable, and will specify
performance limits such as lifetime, flight environment, safety,
reli­ability, and quality assurance provisions for flight-worthiness. It
will specify the re­quirements and constraints related to the flight crew
and the ground support. It will also in­clude requirements for data
analysis, esti­mated schedule of data shipment to user or observ­er, need
for preliminary or raw data analy­sis and interim reports. It will
specify the planned period (time) for data analysis to be used for
budgeting. It will provide any additional information neces­sary for a
meaningful proposal.

\(b\) When NASA determines that instru­mentation, ground support
equipment, or NASA supporting effort will be required or may be expected
to be required by the contemplated investigations, the AO should
indicate to the potential investigators that they must submit specific
information regarding this requirement to allow an in-depth evaluation
of the technical aspects, cost, management, and other factors by the
Installation Project Office.

**VII. Proposal Submission Information.**

\(a\) **Preproposal Activities\--**In this sec­tion, the AO will indicate
requirements and activities such as the following:

\(1\) Submittal of \"Notice of Intent\" to propose (if desired), date
for submission, and any additional required data to be submitted.
Indicate whether there are information packages which will only be sent
to those who submit \"Notice of Intent.\"

\(2\) Attendance at the preproposal con­ference (if held). Informa­tion
should be provided as to time, place, whether atten­dance will be
restricted in number from each institution, and whether prior notice of
intention to attend is re­quired. If de­sired, a request may be includ­ed
that ques­tions be submitted in writing several days before the
conference in order to prepare replies.

\(3\) The name and address of the scien­tif­ic or technical contact for
ques­tions or inqui­ries.

\(4\) Any other preproposal data consid­ered necessary.

\(b\) **Format of Proposals\--**This sec­tion should provide the
investigator with the information necessary to enable an effec­tive
evaluation of the proposal. The infor­mation is as follows:

\(1\) **Proposal\--**The AO should indi­cate how the proposal should be
submit­ted to facilitate evaluation. The proposal should be submitted in
at least two sections; (i) Investigation and Technical Section; and (ii)
Management and Cost Section.

\(2\) **Signatory\--**The propos­al must be signed by an institutional
official autho­rized to ensure institutional support, spon­sorship of the
investigation, manage­ment, and financial aspects of the proposal.

\(3\) **Quantity\--**The number of copies of the proposal should be
specified. One copy should be clear black and white, and on white paper
of quality suitable for repro­duction.

\(4\) **Submittal Address\--**Propos­als from domestic sources should be
mailed to arrive not later than the time indicated for receipt of
proposals to:

National Aeronautics and Space Adminis­tration

Office of (Program)

Code [          ]{.underline}  AO No. [          ]{.underline} 

Washington, DC 20546

\(5\) **Format\--**To aid in proposal evalua­tion, and to facilitate
comparative analysis, a uniform proposal format will be required for
each AO. The number of pages, page size, and restriction on photo
reduction, etc., may be included. The for­mat contained in Appendix B can
be used as a guide. Proposers may be requested to re­spond to all of the
items or the AO may indicate that only selected items need be addressed.
Using the Appendix format as a guide, specific guidelines may be
prepared for the AO or an appropriate form devel­oped.

\(c\) **Additional Information\--**This sec­tion may be used to request
or furnish data necessary to obtain clear proposals that should not
require further discussions with the proposer by the evaluators. Other
perti­nent data could also be included, such as significant milestones.

\(d\) **Foreign Proposals\--**The proce­dures for submission of proposals
from outside the U.S. are contained in Appendix B, \"Guidelines for
Proposal Preparation.\" This section will describe any additional
require­ments, for example, if information copies of proposals are
required to be fur­nished by the proposer to other organiza­tions at the
same time the proposal is sub­mitted.

\(e\) **Cost Proposals (U.S. Investiga­tors Only)\--**This section
defines any special requirements regarding cost proposals of domestic
investigators. Reference then should be made to the cost proposal
certifi­cations indicated in Appendix B, \"Guidelines for Proposal
Preparation.\"

**VIII.**  **Proposal Evaluation, Selection, and** **Implementation.**

\(a\) **Evaluation and Selection Proce­dure.**

\(1\) This section should notify the pro­posers of the evaluation
process.

\(2\) For example, a statement similar to the following should be
included:

\"Proposals received in response to this AO will be reviewed by a
subcommittee ap­pointed by the (appropriate Program AA). The purpose of
the review is to determine the scientific/technical merit of the
propos­als in the context of this AO and so catego­rize the proposals.
Those proposals which are considered to have the greatest
scientif­ic/technical merit are further reviewed for engineering,
integration, management, and cost aspects by the Project Office at the
installation responsible for the project. On the basis of these reviews,
and the reviews of the responsible Program Office and the Steering
Committee, the (appropriate Pro­gram Associate Administrator) will
appoint/select the investigators/investiga­tions.\"

\(b\) **Evaluation Criteria.**

\(1\) This section should indi­cate that the selection of proposals which
best meet the specific scientific, applica­tions, and/or technological
objectives, stated in the AO, is the aim of the solicita­tion. This
section should list the criteria to be used in the evaluation of
proposals and indicate their relative importance. See NASA FAR
Supplement 1872.402 for a listing of criteria gener­ally appropriate.

\(2\) This section will also in­form the proposers that cost and
manage­ment factors, e.g., proposed small business participation in
instrumentation fabrication or investigation support, will be separately
considered.

**IX. Schedule.**

This section should include the follow­ing, as applicable:

\(a\) Preproposal conference date.

\(b\) Notice of Intent submittal date.

\(c\) Proposal submittal date(s).

\(d\) Target date for announcement of selections.

**X. Appendices.**

\(a\) General Instructions and Provi­sions (must be attached to each AO).

\(b\) Other Pertinent Data, e.g., Spacelab Accommodations Data.

/s/ Associate Administrator

    for (Program)

**1872.705-1 Appendix A: General Instructions and Provisions.**

Include the following in all Announcements of Opportunity:

**I. Instrumentation and/or Ground** **Equip­ment.**

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

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

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

**III. Selection Without Discussion.**

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

**IV. Foreign Proposals.**

See Appendix B, Management Plan and Cost Plan, paragraph (a)(3).

**V. Treatment of Proposal Data.**

It is NASA policy to use information con­tained in proposals and
quotations for evaluation purposes only. While this policy does not
require that the proposal or quota­tion bear a restrictive notice,
offerors or quoters should place the following notice on the title page
of the proposal or quotation and specify the information, subject to the
notice by inserting appropriate identifica­tion,