APPENDIX B

**INSTRUCTIONS FOR RESPONDING TO NASA RESEARCH ANNOUNCEMENTS**

May 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 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 \[insert page numbers or other
identification\] 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

\(i\) 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.

\(ii\) 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,
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 (unless otherwise noted in the NRA). 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 non-U.S.
participant 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.

\(2\) When a \"Notice of Intent\" to propose is required, prospective
foreign proposers should write directly to the NASA official designated
in the NRA and send a copy of this letter to NASA's Office of External
Relations at the address in paragraph (l)(3) of this provision.

\(3\) In addition to sending the requested number of copies of the
proposal to the designated address, one copy of the proposal, along with
the Letter of Endorsement from the sponsoring non-U.S. government agency
or funding/sponsoring institution must be forwarded to:

National Aeronautics and Space Administration

Code I

Office of External Relations

(NRA Number)

Washington, DC 20546-0001

USA

\(4\) 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 to the above address
if endorsement is not possible before the announced closing date. In
such cases, NASA\'s Office of External Relations should be advised when
a decision on endorsement can be expected.

\(5\) Successful and unsuccessful non-U.S. proposers will be contacted
directly by the NASA sponsoring office. Copies of these letters will be
sent to the sponsoring government agency or funding institution. 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 sponsoring agency or funding institution 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.

\(6\) Depending on the nature and extent of the proposed cooperation,
this arrangement may entail:

\(i\) A letter of notification by NASA;

\(ii\) An exchange of letters between NASA and the sponsoring foreign
governmental agency; or

\(iii\) 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.