NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA)

GUIDEBOOK FOR PROPOSERS 

FOR THE PREPARATION AND SUBMISSION OF 

UNSOLICITED PROPOSALS

Revised: March 25, 2022
2

TABLE OF CONTENTS

Preface

1. Eligibility

1.1 Eligibility Requirements and Restrictions

1.2 Defining an Unsolicited Proposal

1.3 What Is Not an Unsolicited Proposal

2. Submission

2.1 How to Submit

2.2 When to Submit

2.3 Revision or Withdrawal

2.4 Interagency Coordination

3. Proposal Form and Content

3.1 Format

3.2 Length

3.3 Cover Page Information

3.4 Proposal Content

4. Evaluation

5. Selection or Declination of Unsolicited Proposals

6. Award and Post-award Management

Appendix A – NASA Research Areas and Other NSPIRES Cover Page Questions

Appendix B – Statement of General Policy
3

PREFACE

The National Aeronautics and Space Administration (NASA or Agency) encourages the 

submission of unique and innovative proposals that will further the Agency's mission. While the 

vast majority of proposals are solicited via a publicly-available NASA Notice of Funding 

Opportunity (NOFO), a small number of unsolicited proposals that are not appropriate for 

submission in response to those NOFOs, and yet are still relevant to NASA, are reviewed and 

funded each year. NASA’s NOFOs are published on the NASA Solicitation and Proposal 

Integrated Review and Evaluation System (NSPIRES).

This document provides guidelines for the preparation of unsolicited proposals for those submitters 

that wish to convey their creative methods or approaches to NASA. These guidelines apply to all 

unsolicited proposals for financial assistance that will result in grants and cooperative agreements,

regardless of the NASA Center or Agency program for which they are intended. 

This Guidebook may be reproduced in part or total without restriction. The Guidebook is 

maintained by the NASA Office of the Chief Financial Officer, Grants Policy and Compliance 

Branch (GPC), and the Guidebook can be found on GPC’s regulations and guidance website.

Important Caveat to Potential Proposers

Before any effort is expended in preparing a proposal, potential proposers shall review:

• The current version of the NASA Strategic Plan and documents from the specific Mission 

Directorate, office, or program/project for which the proposal is intended (e.g., the Science 

Plan, the Strategic Space Technology Investment Plan, and the Voyages: Charting the 

Course for Sustainable Human Space Exploration) to determine if the work planned is 

sufficiently relevant to current goals to warrant a formal submission. NASA will return,

without review, any proposal that it determines is not relevant to the office to which it was 

sent.

• Current opportunities on NSPIRES to determine if a NOFO already exists to which the 

potential project can be proposed. NASA will return, without review, any proposal that 

may have been responsive to a recent or current NOFO or one that is planned. Missing a 

deadline for a recently-issued NOFO does not allow a late proposal subsequently to be 

submitted as an unsolicited proposal.

• Current awards (e.g., by doing key word searches at USAspending.gov, Research.gov, the 

NSSC grant status page, Techport, and the NASA Life and Physical Sciences Task Book) 

to learn what, if any, related work is already funded by NASA. Such preparation reduces 

the risk of redundancy, improves implementation of the proposed effort, and may result in 

better collaboration between the potential proposer and the Agency.
4

1. ELIGIBILITY

1.1 Eligibility Requirements and Restrictions

Any category of organization or institution may submit an unsolicited proposal. There is no 

restriction on teaming arrangements involving U.S. organizations, including teaming with 

Government personnel. However, each proposal shall be a separate, stand-alone, complete 

document for evaluation purposes. Any proposal that involves more than one organization shall 

describe the distinct contributions expected from any participating investigator or organization, 

including facilities or equipment that will be required. When multiple organizations are involved 

in a single proposal, Government labs generally are funded directly. Otherwise, a single award is 

made to the submitting organization (see Section 6, Award). Simultaneous submission of related 

proposals from cooperating organizations is permitted if each proposal indicates the nature of the 

relationship among the proposals. Such simultaneous submissions may result in parallel awards. 

NASA's policy is to conduct research with foreign entities on a cooperative, no-exchange-of-funds 

basis. Generally, NASA does not fund foreign research proposals from foreign organizations or 

research efforts by individuals at foreign organizations as part of U.S. research proposals. This 

includes subawards from U.S. organizations to investigators at foreign organizations and travel by 

individuals at foreign organizations to conduct research, fieldwork, and present at conferences. 

Rather, each country agrees to bear its own costs of carrying out their respective responsibilities 

(i.e., the work to be done by team members affiliated with organizations in their country). 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. Proposals from foreign entities shall be submitted 

in the same format as U.S. proposals and in U.S. dollars. All information shall be typed and in the 

English language. Proposals shall emphasize the unique nature of the project and/or the unique 

expertise of the proposer. Foreign proposals will undergo the same evaluation and selection 

process as U.S. proposals.

There are special restrictions on NASA regarding the People's Republic of China. In accordance 

with Public Law (PL) 112-10, section 1340, and PL 112-55, section 539, NASA is prohibited from 

funding any work that involves the bilateral participation, collaboration, or coordination with 

China or any Chinese-owned company or entity, at the prime recipient level or at any subrecipient 

level, whether funded or performed under a no-exchange-of-funds basis. Accordingly, proposals 

shall not include bilateral participation, collaboration, or coordination with China or any Chineseowned company or entity, whether funded or performed under a no-exchange-of-funds basis. 

Proposals involving bilateral participation, collaboration, or coordination in any way with China 

or any Chinese-owned company, whether funded or performed under a no-exchange-of-funds 

basis, will be ineligible for award.

1.2 Defining an Unsolicited Proposal

An unsolicited proposal is a written submission to an agency on the submitter’s initiative for the 

purpose of obtaining an award from the Government, and it is not in response to a formal or 

informal agency request. For more information see Section 5.8 (Non-competitive Awards) of the 

NASA Grant and Cooperative Agreement Manual (GCAM). 
5

To be eligible as an unsolicited proposal, a submission shall:

• Be of high scientific and/or technical merit, including but not limited to methods, 

approaches, concepts, or advanced technologies; demonstrate adequate qualifications, 

capabilities, and experience of the proposed team, facilities, or other capabilities of the 

proposer;

• Be relevant to NASA generally and specifically to the NASA office to which the proposal 

is directed.

• Have reasonable and realistic proposed costs; and

• Not be a recent, current, or pending proposal submitted in response to a NASA NOFO

(refer to the important caveat to potential proposers in the preface of this document).

Moreover, the proposal shall contain adequate detail and be clear and organized so that reviewers 

can easily assess the proposal’s responsiveness to the eligibility factors above.

1.3 What Is Not an Unsolicited Proposal

A proposal that fails to meet the definition of an unsolicited proposal or that falls under any of the 

following categories is not a valid unsolicited proposal: 

• Technical correspondence that consists of a written inquiry from an individual, academic 

researcher, or others that should be addressed to NASA program/project offices, including: 

o Inquiries regarding NASA's interest in research areas, 

o Pre-proposal exploration, 

o General technical inquiries, 

o Concepts or ideas with little or no detail, 

o Unofficial submissions not sent according to the submission instructions in this 

document, and 

o Research descriptions or suggestions that do not request NASA resources, 

typically funding. 

• Proposals addressing known NASA requirements that should be acquired by a competitive 

method, such as an offer to perform ordinary tasks (e.g., provide computer facilities or 

services) or that resemble a response to a current, recent, or pending NASA NOFO. 

• Proposals for commercial items that are generally sold to the public. 

• Advertising material designed to acquaint the Government with a prospective award 

recipient’s products or potential capabilities. 

• Contributions that are concepts, suggestions, or ideas presented to the Government, but the 

proposer does not plan to provide further effort on the Government's behalf. 

• An invention or discovery that has officially received a patent or is otherwise protected 

under title 35 of the U.S. Code. If the proposer is an owner of an issued U.S. patent, they 

may offer NASA a license in the patented invention by writing to the NASA Office of the 
6

General Counsel, ATTN: Commercial and Intellectual Property Practice Group, NASA 

Headquarters, 300 E Street, SW, Washington, DC 20546. Please identify the U.S. patent 

number in your correspondence. An investigation will then be made to determine the extent 

of NASA's interest. Note that only U.S. patents will be considered. 

• A proposal for a new award or the renewal of an existing award that falls within the scope 

of an open NASA NOFO. Such proposals shall be submitted in response to that NOFO.

• An unsolicited proposal is not an appropriate mechanism to request start-up funds to 

establish a laboratory.

2. SUBMISSION

2.1 How to Submit

NASA accepts all unsolicited proposals submitted electronically or by hard copy. All proposals 

submitted electronically shall be submitted via NSPIRES in response to the unsolicited proposal 

response structure. After logging into NSPIRES, a prospective proposer will follow the link from 

"Proposals/NOIs," and then "Create Proposal," choose source "NOFO," click continue, and then 

click the radio button for "Unsolicited" and proceed from there. As part of the submission process,

proposers will answer the program-specific questions on the NSPIRES web pages that will identify 

the appropriate Proposal Coordinating Office at NASA. Refer to the example questions in 

Appendix A at the end of this document. Only one version of a proposal shall be submitted to 

NASA. Proposals that duplicate (or that have significant overlap with) a proposal currently under 

review with NASA shall not be submitted.

Electronic proposals shall be submitted by one of the officials at the Principal Investigator’s (PI's)

organization who is authorized to make such a submission; an electronic submission by the 

authorized organization representative (AOR) serves as the required original signature on the 

proposal by an authorized official of the proposing organization. Every organization that intends 

to submit an unsolicited proposal to NASA shall be registered in NSPIRES. This registration shall 

be performed by an organization's electronic business point-of-contact in the System for Award 

Management (SAM). 

Every identified individual expected to have a role in the execution of the proposed effort shall be 

identified on the proposal cover page, using the most appropriate personnel role as described in 

Appendix B, Definitions of Organization and Personnel, of the NASA Guidebook for Proposers 

Responding to a NASA Notice of Funding Opportunity (NOFO). Prior to proposal submission via 

NSPIRES, every individual named on the proposal’s electronic cover page form as a team member 

(even Collaborators) shall be registered in NSPIRES and confirm their commitment to that role. 

Team members will receive an email from NSPIRES indicating that they have been added to the 

proposal and shall log into NSPIRES to corroborate. Through this electronic confirmation process, 

the organization through which they are participating in the investigation is also identified to 

enable organizational conflict of interest checks that are required as part of the evaluation process.

Although any individual may create a proposal and release it to their organization, only a 

responsible person authorized to represent and obligate the proposer (i.e., the AOR) may officially 
7

submit a proposal via NSPIRES. For more information about registering an organization in 

NSPIRES and/or affiliating as an individual with an existing organization, please see the NSPIRES 

online help webpage. 

2.2 When to Submit

There are no specific deadlines for the submission of unsolicited proposals. However, it is strongly 

recommended that proposals be submitted at least six (6) months in advance of the desired starting 

date. Near the start of every new Government fiscal year (i.e., October 1 to September 30), a new 

response structure will be created in NSPIRES, which will begin on October 1 and end on 

September 30. Proposals shall be submitted in the same fiscal year in which they were created. If 

a proposal is not submitted by the end of the current fiscal year then it may be lost; if this happens, 

it will have to be resubmitted to the following fiscal year's response structure. 

2.3 Revision or Withdrawal

A proposing organization may withdraw its proposal from consideration at any time. If a proposer 

wishes to submit additional material or a proposal revision, an AOR shall withdraw the proposal 

in NSPIRES and, after revision, resubmit the revised proposal via NSPIRES. The resubmitted 

proposal will be assigned a new proposal number in NSPIRES. It is important for proposers to 

note that major proposal revisions will likely delay the evaluation process.

2.4 Interagency Coordination

NASA does not transfer formal submissions to or accept similar submissions from other agencies, 

except as they may be related to an interagency funding arrangement. Unsolicited proposals 

submitted to the Jet Propulsion Laboratory (JPL) are not considered as submissions to NASA since 

JPL is not a NASA Center but is the Agency’s only Federally Funded Research and Development 

Center. 

3. PROPOSAL FORM AND CONTENT

3.1 Format

Proposers shall adhere to the standard format described in section 2, Proposal Preparation and 

Submission, of the NASA Guidebook for Proposers. If a proposal is so disorganized or poorly 

written that evaluators are unable to evaluate it, the proposal may be returned without review. The 

proposer has the option to resubmit the proposal after making modifications.

3.2 Length

Proposals shall be brief and concentrate on substantive material essential for a complete 

understanding of the project. Experience has demonstrated that few proposals require a technical 

section exceeding 15 pages to adequately explain the proposed work, and many are under 15 pages. 

Please see the NASA Guidebook for Proposers for information regarding what information is 

required in each section of a proposal and which sections are page limited. All necessary detailed 
8

information, such as figures, tables, charts, engineering diagrams, CVs, current and pending 

support, and budgets shall be included in the single proposal PDF file uploaded into NSPIRES.

Rather than investing considerable effort into writing a lengthy and detailed unsolicited proposal, 

proposers are strongly encouraged to first submit a brief (1-3 page) summary focused on what is 

proposed, why, and the unique qualifications of the proposer(s) to allow NASA to ascertain if the 

proposed work is relevant and eligible.

3.3 Cover Page Information

As is the case for all proposals submitted via NSPIRES, the web interface will prompt the proposer 

for basic information at the time of proposal creation, such as proposal title and organizational 

affiliation of the PI, and it will permit the PI to choose team members, assign their roles and access, 

and enter budget information. Proposers shall familiarize themselves with NSPIRES and the 

system’s tutorials and user guides. The proposer or AOR will be required to answer other questions 

prior to proposal submission to help NASA assign unsolicited proposals to the appropriate office

for evaluation. Please see Appendix A at the end of this document for additional information. 

3.4 Proposal Content

Unsolicited proposals shall include the fundamental sections set forth in section 2.7, Overview of 

Proposal, (including the table in that section) of the NASA Guidebook for Proposers to facilitate 

an objective and timely evaluation. If a proposal is missing content that evaluators deem required 

for evaluation, it may be returned without review. The proposer has the option to resubmit the 

proposal after making modifications.

3.4.1. Project Summary

The NSPIRES system will require proposers to provide a Project Summary of up to 4,000 

characters (including spaces and invisible control characters if cutting and pasting from Microsoft 

Word) that provides an overview of the proposed effort. This Project Summary or abstract will be 

publicly accessible if the proposal is selected, so it shall not contain any proprietary data or 

information that should not be publicly-released (e.g., International Traffic in Arms Regulations 

(ITAR)-controlled data).

3.4.2. Data Management Plan

The NSPIRES system requires proposers to provide a data management plan (DMP) of up to 4,000 

characters (including spaces and invisible control characters if cutting and pasting from Microsoft 

Word) as part of the proposal cover page. The type of proposal that requires a DMP is described 

in the NASA Plan for Increasing Access to Results of Federally Funded Research; those proposing 

to the Science Mission Directorate may also refer to the SARA FAQs on this Subject.. If the 

proposer decides that it would be useful to provide more information on data management or 

archiving, they may do so in the body of the technical proposal.
9

3.4.3 Scientific/Technical/Management Plan

Proposers are encouraged to refer to the descriptions of the expected content and constituent parts 

of a proposal that appear in the NASA Guidebook for Proposers. The main body of the proposal 

shall be a detailed statement of the work effort to be performed. The proposal shall clearly describe 

the complete project, precisely what work is being done, when it will be performed, and why this 

work is proposed. The duration of the project shall be adequately justified and include objectives 

and expected significance (particularly in the context of the national aerospace effort), relation to 

the present state of knowledge in the field, relation to any previous work done on the project, and 

to related work in progress elsewhere. This section shall fully describe the implementation, 

including the design of any experiments, observations, instrument development or modeling to be 

performed, and methods and procedures at a level of detail adequate to demonstrate the likelihood 

of success. The best proposals disclose any uncertainties in measurements, address potential 

pitfalls, and consider alternatives.

3.4.4 Management Approach 

Proposals for large or complex efforts involving interactions among numerous individuals or other 

organizations shall describe plans for distribution of responsibilities and necessary arrangements 

for ensuring a coordinated work effort. Aspects of any important working relations with 

organizations other than the offeror, including Government agencies, especially NASA, that were 

not already defined elsewhere in the proposal, shall be described in this section.

3.4.5. Personnel

• Every team member identified as a participant on the proposal's cover page and/or in the 

proposal's Scientific/Technical/Management Plan shall acknowledge their intended 

participation in the proposed effort. The NSPIRES proposal management system allows 

for participants named on the Proposal Cover Page to acknowledge a statement of 

commitment electronically. If any team member is unable to confirm their participation in 

NSPIRES, then the proposer may include a statement of participation from this individual

in the body of the proposal.

• Outline the relevant experience and/or expertise of all key personnel in a way that will 

demonstrate these capabilities in relation to the proposed effort; a short biographical sketch, 

a list of principal publications, and any exceptional qualifications shall be included. 

Provide the names and titles of any other individuals associated substantially with the 

project in an advisory capacity. Any substantial collaboration with individuals who are not 

referred to in the budget and/or the use of consultants shall be described. 

• The proposer or PI shall directly supervise the work effort and participate in the conduct 

of the effort. 

• Educational institutions shall list the approximate number of students/assistants involved 

in the proposed effort and include information about their level of academic attainments. 
10

• Omit social security numbers and any other personally-identifiable information (e.g., birth 

dates, home addresses) that are not necessary for NASA to evaluate the proposal. 

3.4.6. Facilities and Equipment

Identify any unique facilities, Government-owned facilities, industrial plant equipment, or special 

tooling that will be required. A letter is required from the owner of any facility or resource that is 

not under the direct control of a team member, acknowledging that the facility or resource is 

available for the proposed use during the proposed period. For Government facilities, the 

availability of the facility to users is often stated in the facilities documentation or web page. Where 

the availability of a facility or resource is not publicly stated, or where the proposed use goes 

beyond the publicly-stated availability, a statement signed by the appropriate Government official 

at the facility verifying that it will be available for the required effort is sufficient.

3.4.7. Proposed Costs

• Proposals shall state the funding level being requested accompanied by a budget with 

sufficient detail to permit an understanding of the basis of the funding request. As 

applicable, separate cost estimates for the following items shall be included:

o salaries, wages, and fringe benefits for each employee; 

o equipment; 

o expendable materials and supplies; 

o services;

o domestic and foreign travel; 

o IT expenses; 

o publication or page charges; 

o consultants; 

o contracts with budget breakdowns;

o sub-awards with budget breakdowns; 

o other miscellaneous identifiable direct costs; and 

o indirect costs. 

• List estimated expenses as yearly requirements by major work phases. If the proposal is 

multi-year in scope, submit separate cost estimates for each year. 

• List salaries and wages in appropriate organizational categories. For example, the PI, other 

scientific and engineering professionals, graduate research assistants and technicians, and 

other non-professional personnel. Estimate personnel data in terms of full months or 

fractions of full time. Do not use separate salary pages marked as "confidential" or 

"proprietary." 

• Proposers shall not acquire and charge general purpose equipment in excess of $5,000 as a 

direct cost without the advance, written approval of a NASA Grant Officer. Such requests 

shall explain why indirect costs cannot be charged for the requested item/items and what 

controls will be put in place to ensure that the property will be used exclusively for the
11

proposed work effort (i.e., explain why the proposed general purpose equipment cannot 

also be used for other purposes).

• Explanatory notes shall accompany the budget to provide identification and estimated costs 

of major capital equipment items to be acquired, purpose and estimated number and lengths 

of trips planned, basis for indirect costs, and clarification of other items that are not selfevident. 

• Allowable costs are governed by Federal grant regulations at Title 2 of the Code of Federal 

Regulations (CFR) Part 200 (2 CFR 200).

3.4.8. Other Matters

• Include any required statements of environmental impact of the effort, human subject or 

animal care provisions, conflict of interest, or such other topics as may be required by the 

nature of the proposed work effort and current statutes, Executive Orders, or other 

Government-wide policies/guidance. 

• As indicated in the NASA Guidebook for Proposers, proposers shall include a brief 

description of relevant facilities and previous work experience in the field of their 

proposals, current and pending support, and a Table of Work Effort for Proposal Team 

Members. 

3.4.9. Limited Distribution of Proprietary Information

• It is NASA policy to subject proposals to peer review. Thus, the information contained in 

proposals, including budgets, may be made available to subject matter experts both inside 

and outside of the Agency for evaluation purposes only. Peer reviewers are required to sign 

non-disclosure agreements prior to viewing the contents of a proposal. Any information 

that the proposer believes is covered by ITAR shall be clearly identified in the proposal.

• However, proposers should be aware that the proposal summary, which provides an 

overview of the proposed project, shall be suitable for public release because if the proposal 

is selected for funding, then the title, proposal summary, and the name of the PI and their 

affiliation will be posted in publicly-accessible archives such as USAspending.gov.

3.4.10. Security

If the proposed effort requires access to or may generate national security classified information, 

the submitter, if it receives an award, will be required to comply with applicable Government 

security regulations. Proposals shall not contain national security classified material.

4. EVALUATION

All unsolicited proposals will receive equitable handling and, if appropriate, peer review. The 

principal elements considered in evaluating a proposal are: 1) its technical, scientific and/or 

engineering merit, 2) relevance to the NASA office to which the proposal was submitted, and 3) 
12

the cost reasonableness. Proposers not already familiar with merit, relevance, and cost criteria and 

NASA's evaluation methods should refer to Appendix D of the NASA Guidebook for Proposers.

Several evaluation techniques are regularly used within NASA. Some proposals are reviewed 

entirely by NASA personnel, others are evaluated by a combination of NASA personnel and 

selected external reviewers, while still others are subject to a full external peer review or through 

assembled panels. Careful regard for conflicts of interest and the protection of proposal 

information is always an important part of the evaluation process.

5. SELECTION OR DECLINATION OF UNSOLICITED PROPOSALS

The decision to fund or not fund an unsolicited proposal is made by the Selecting Official based 

on the recommendation of NASA technical personnel and programmatic factors. Even if a 

proposal is meritorious and relevant, and the costs are reasonable, the Selecting Official may 

decide not to support the proposed effort for other reasons, such as programmatic priorities, budget

considerations, or because the proposed work is redundant with an existing award.

NASA may support an award as outlined in the proposal budget, may offer to fund only selected 

tasks or all tasks for a shorter duration (e.g., a one-year pilot study), or a combination of these. 

Awards may be made contingent on receipt of acceptable revised versions of budgets, statements 

of work, data management plans, or other elements set forth in the NASA Guidebook for Proposers. 

Whether an unsolicited proposal is selected or declined, NASA will notify the proposer in writing 

of the decision in a timely manner. Whenever practicable, the evaluations that formed the basis of 

the decision, or a summary of those evaluations, will be provided to the proposer in writing. 

Notifications will be made, and evaluations will be provided via NSPIRES but may also be 

communicated by other methods (e.g., e-mail).

The vast majority of unsolicited proposals to NASA are declined. These rejections are largely due 

to the proposal’s lack of relevance to a NASA program/project or due to cost constraints. A 

notification letter, citing the reason(s) for rejection, will be sent to the individual who submitted 

the proposal. If a proposer has questions about a rejection, they shall make inquiries with the 

NASA official who signed the notification letter.

6. AWARD AND POST-AWARD MANAGEMENT

If a proposal is accepted, any budget negotiations and issuance of the award will be handled by a

NASA Grant Officer. The unsolicited proposal will be used as the basis for negotiation with the 

submitter. Additional information specific to the award process (e.g., certifications, cost and 

pricing data, facilities information) will be requested as the negotiations progress.

Unless otherwise noted in negotiations, NASA will send funds directly to any Co-Is at NASA 

Centers and other Government laboratories, including JPL. Thus, if a proposal submitted by an

entity has a Government Co-I, then funds for the Government Co-I will not pass through the 

applicant entity, and the entity shall not include overhead or any other pass-through charges on 

those funds. However, proposers shall assume that funds for Co-Is who are not Government 
13

employees will pass through the grant recipient and those charges may be applied. Regardless of 

whether a Co-I will be funded through a subaward via the proposing institution or funded directly 

by NASA, the proposed budget shall include all funding requested from NASA for the proposed 

work effort in order to facilitate the review of the budget by the Grant Officer upon which the 

award is contingent.

After proposals are selected for funding, NASA will issue award notices to the proposers as soon 

as practicable. However, delays may be caused by:

• The need for additional materials from the proposer (e.g., revised budgets and/or budget 

details) before NASA may legally obligate Federal funding; and

• A delay in Congressional approval of NASA’s yearly appropriation/funding.

For the management of grant or cooperative agreement awards, recipients primarily manage their 

own research or work efforts with minimal oversight by the Agency. Throughout the entire 

process—starting with the identification of program objectives, the preparation and peer review of 

submitted proposals, the conduct of the research or work itself, and, finally, the exposition of new 

knowledge through publications, public outreach, and education—NASA views itself as a partner 

with the scientific, engineering, and educational communities in making its programs relevant and 

productive. Post-award activities are addressed in the NASA Grant and Cooperative Agreement 

Manual, 2 CFR 200, and 2 CFR 1800. 
14

Appendix A

NASA Research Areas and Other NSPIRES Cover Page Questions 

As part of the submission process, proposers will be asked to answer program-specific questions 

on the NSPIRES web pages that will help NASA identify the appropriate Proposal Coordinating 

Office at NASA where their proposal should be directed. The example questions appear below. 

Note that the questions provided below are samples only. Actual questions may differ, and 

proposers shall answer the questions that they are presented with in NSPIRES.

1. Please select a NASA component that most closely represents the subject of your 

proposal. (You must choose one.)

o Aeronautics Research

o Earth and Space Science Research

o Education/Public Outreach 

o Space Exploration and Operations

o Space Technology Development or Demonstration

o Unknown

2. Please select a NASA Center where there might be a particular interest in your 

proposal. (You must choose one.)

o Ames Research Center

o Armstrong Flight Research Center

o Glenn Research Center

o Goddard Space Flight Center

o NASA Headquarters, Washington, DC

o Johnson Space Center

o Kennedy Space Center

o Langley Research Center

o Marshall Space Flight Center

o Stennis Space Center

o Wallops Flight Facility

o Not applicable or unknown

3. Please select a research, technology development, or outreach category that most 

closely aligns with the main topic of your proposal. (You must choose one.)

o Advanced Air Vehicles

o Airspace Operations and Safety

o Astronomy and/or Astrophysics

o Earth Science

o Exoplanet Research

o Game-Changing Technology Development

o Heliophysics

o Human Research

o Integrated Aviation Systems
15

o Planetary Science

o Public Awareness

o Small Spacecraft Technology Development

o Space Biology

o Space Flight Operations

o Space Launch Systems

o Space Physical Sciences

o Space Technology Research

o Technology-Based Innovative Advanced Concepts

o Transformative Aeronautics Concepts

o Other

4. Describe the objectives of your proposal and their relevance to NASA. You are 

strongly encouraged to link your objectives to NASA's most recent Strategic Plan.

(Enter up to 4,000 characters.)

5. Briefly explain why you are submitting an unsolicited proposal instead of responding 

to a NASA NOFO. (Enter up to 4,000 characters.) 

Please note: Before submitting an unsolicited proposal, determine whether your 

proposal is within the scope of a current NASA opportunity. NASA will return, without 

review, any unsolicited proposal that is within scope of a current NASA opportunity, 

as explained in the Guidebook for Proposers for the Preparation and Submission of 

Unsolicited Proposals. Also explain whether or not this proposal was previously 

submitted to NASA, either as an unsolicited proposal or in response to an issued NOFO

or funding opportunity.

6. Provide a Data Management Plan (DMP) or explain why one is not required given

the nature of the work proposed. Refer to the NASA Plan for Increasing Access to the 

Results of Federally Funded Research for additional instructions. (Enter up to 4,000 

characters. Enter more information, if required, in the technical section of your proposal.)

7. Does this proposal contain information and data that are subject to U.S. export 

control laws and regulations including Export Administration Regulations (EAR) 

and International Traffic in Arms Regulations (ITAR)? (Select Yes or No)

Please note: If the answer is "yes," the cover of the proposal shall have a notice clearly 

indicating which parts of the proposal (e.g., page number, section, figure) contain 

export control information. Indicate all information and data that are subject to 

provisions of U.S. export control laws and regulations as described above. Be sure to 

describe clearly or highlight information and data that contain export-controlled 

material so they can be redacted, if necessary, prior to proposal review.

8. Does the proposed work include any involvement with collaborators in China or with 

Chinese organizations or does the proposed work include activities in China? (Select 

Yes or No)
16

NASA's appropriation from Congress includes this restriction: "None of the funds 

made available by this [law] may be used for the National Aeronautics and Space 

Administration or the Office of Science and Technology Policy to develop, design, 

plan, promulgate, implement, or execute a bilateral policy, program, order, or contract 

of any kind to participate, collaborate, or coordinate bilaterally in any way with China 

or any Chinese-owned company unless such activities are specifically authorized by a 

law enacted after the date of enactment of this division."

9. Please provide the name and contact information, if you have it, of a NASA technical, 

education, or outreach specialist(s) who might have a particular interest in your 

proposal. Provide name, phone, e-mail, and NASA Center where the interested 

individual(s) works. (Select Yes or No)
17

Appendix B

Statement of General Policy

Awards to Non-NASA Organizations

NASA determines the most appropriate funding vehicle for unsolicited proposals, which can be a 

grant or cooperative agreement based upon the nature of the work proposed. 

• Grant – A legal instrument of financial assistance between a Federal awarding agency or 

pass-through entity and a non-Federal entity (31 U.S.C. 6302, 6304). It is distinguished 

from a cooperative agreement in that it does not provide for substantial involvement 

between the Federal awarding agency or pass-through entity and the non-Federal entity in 

carrying out the activity contemplated by the Federal award (2 CFR 200.1, Definitions).

• Cooperative Agreement – A legal instrument of financial assistance between a Federal 

awarding agency or pass-through entity and a non-Federal entity (31 U.S.C. 6302, 6305). 

A cooperative agreement is distinguished from a grant in that it provides for substantial 

involvement between the Federal awarding agency or pass-through entity and the nonFederal entity in carrying out the activity contemplated by the Federal award (2 CFR 200.1, 

Definitions).

A NASA grant or cooperative agreement award may be signed only by a NASA Grant Officer and 

is addressed to the proposing organization. Only an appointed NASA Grant Officer is authorized 

to make commitments, obligations, or awards on behalf of the Agency and approve the expenditure 

of funds. It is important to note that no commitment on the part of NASA or the Federal 

Government is legally binding unless a NASA Grant Officer has signed off on the request.

Awards to NASA Centers

A selected proposal submitted from a NASA Center is funded directly by NASA Headquarters 

(HQ) through the Agency’s funding mechanism called a Research and Technology Operating Plan 

(RTOP). Awards made to JPL are funded through the contract between NASA and the California 

Institute of Technology, which operates and managers JPL. 

Award Governance:

Grant and cooperative agreement awards are governed by the following: 

• The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for 

Federal Awards (2 CFR 200) at: https://www.ecfr.gov/cgi-bin/textidx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

• The NASA supplement to 2 CFR 200, 2 CFR 1800, at: https://www.ecfr.gov/cgi-bin/textidx?SID=a742969f637a69b85ae9174705ae9d4a&mc=true&tpl=/ecfrbrowse/Title02/2cha
18

pterXVIII.tpl

• NASA Grant and Cooperative Agreement Manual at: NASA Grants Policy and 

Compliance Branch

Restriction on the Use of Classified Material

It is NASA policy that proposals are not to contain security-classified material. However, if the 

project’s proposed approach requires access to classified information, or if the project will result 

in the generation of such material, the proposer shall comply with all Government security laws, 

regulations, and policies.

Limited Release of Proposers’ Confidential Business Information

For proposal evaluation and other administrative processing, NASA may find it necessary to 

release information submitted by the proposer to individuals not employed by NASA. Business 

information that is entitled to confidential treatment may be included in the information released 

to these individuals subject to protective measures including non-disclosure forms and firewalls as 

appropriate. Accordingly, by submission of this proposal the proposer hereby consents to such 

limited release of its confidential business information (CBI).

Proposals Involving Non-U.S. Organizations 

Except as outlined in the certification regarding restriction on doing business with certain 

countries, NASA welcomes proposals from non-U.S. organizations and proposals that include the 

participation of non-U.S. organizations. Proposals that propose research to be performed by a nonU.S. organization or with a non-U.S. organization as part of a proposal submitted by a U.S. 

organization typically are supported on a no-exchange-of-funds basis. The policy pertains to the 

nature of the proposing organization and does not relate to the nationality or citizenship of the 

individuals listed in the proposal. If a proposal with a non-U.S. partner is selected, NASA will 

determine whether such participation should be covered by and implemented through an 

international agreement between NASA and the sponsoring foreign agency or funding/sponsoring 

institution under which the parties agree to each bear their own costs to carry out their respective 

responsibilities.

Export Control: Information regarding U.S. export regulations is available at 

https://www.pmddtc.state.gov/ddtc_public and at https://www.bis.doc.gov.

The following important provision may apply to proposals that involve the participation of nonU.S. organizations, as well as proposals that include personnel who are not U.S. citizens and do 

not have status as legal permanent U.S. residents.
19

Export-Control Guidelines Applicable to Foreign Proposals and Proposals Including 

Foreign Participation

Foreign proposals and proposals including foreign participation shall include a section discussing 

compliance with U.S. export laws and regulations, e.g., 22 CFR Parts 120-130 and 15 CFR Parts 

730-774, as applicable to the circumstances surrounding the particular foreign participation. The 

discussion shall describe in detail the proposed foreign involvement and is to include, but not be 

limited to, whether or not the foreign participation may require the prospective proposer to obtain 

the prior approval of the Department of State or the Department of Commerce via a technical 

assistance agreement or an export license, or whether a license exemption/exception may apply. If 

prior approvals are necessary via licenses, discuss whether the license is applied for, and if not, 

discuss the projected timing of the application and any implications for the schedule. Information 

regarding U.S. export regulations is available at the U.S. Department of State Web site 

at https://www.pmddtc.state.gov/ddtc_public and through the U.S. Department of Commerce’s 

Bureau of Industry and Security Web site at https://www.bis.doc.gov. Under U.S. law and 

regulations, spacecraft and the specifically designed, modified, or configured systems, 

components, and parts are generally considered "Defense Articles" on the United States Munitions 

List and subject to the provisions of the International Traffic in Arms Regulations (ITAR), 22 CFR 

Parts 120-130.

Because of these legal provisions and requirements, proposers and institutions whose proposals 

involve non-U.S. participants or personnel should be aware that such participation can add to 

management complexity and risk, and, therefore, proposers are encouraged to limit such 

cooperative arrangements to those offering significant benefits while maintaining the most 

transparent and simplest possible technical and management interfaces.

Export-Controlled Material in Proposals

Explicit inclusion of export-controlled material in proposals is not prohibited. However, under 

U.S. law and regulations, spacecraft and their specifically designed, modified, or configured 

systems, components, and parts may be considered "Defense Articles" on the United States 

Munitions List and subject to the provisions of the International Traffic in Arms Regulations 

(ITAR), 22 CFR Parts 120-130. Other items or information may be subject to the Export 

Administration Regulations (EAR), 15 CFR Parts 730 – 774. This may, in some circumstances, 

complicate NASA’s ability to evaluate the proposal, since occasionally NASA may use the 

services of foreign nationals who are neither U.S. citizens nor lawful permanent residents of the 

U.S. to review proposals submitted in response to the unsolicited proposal response structure.

Entities submitting unsolicited proposals are strongly encouraged not to include export-controlled 

material in their proposals, although the effort proposed may itself be export controlled. If it is 

essential to include any export-controlled information in a proposal, a notice to that effect shall be 

prominently displayed on the first pages of the proposal and shall state: 

“The information (data) contained in [insert page numbers or other identification] this 

proposal is (are) subject to U.S. export control laws and regulations. It is furnished to the 

Government with the understanding that it will not be exported without the prior approval 
20

of the Proposer under the terms of an applicable export license or technical assistance 

agreement.”

Reference the following URL for guidance on NASA’s Export Control Program and NASA Center 

Points of Contact: https://www.hq.nasa.gov/office/oer/nasaecp/contacts.html

The first pages listing export-controlled information should precede the table of contents, do not 

count against the page limits, and may also be used to provide the proprietary notification, if 

applicable. It is the proposer’s responsibility to determine whether any proposal information is 

subject to export-control regulations.