APPENDIX B
NFSD 89-0 (JUNE 30, 1989)
PART 18-70 NASA SUPPLEMENTARY REGULATIONS 18-70-203, App. I
GUIDELINES FOR RESPONDING TO
NASA RESEARCH ANNOUNCEMENTS (NRA)
FOR SOLICITED BASIC RESEARCH PROPOSALS
(AUGUST 1988)
OFFICE OF PROCUREMENT
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
WASHINGTON, DC 20546
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INSTRUCTIONS FOR RESPONDING TO NASA RESEARCH ANNOUNCEMENTS
FOR SOLICITED RESEARCH PROPOSALS
(AUGUST 1988)
1. FOREWORD
a. NASA depends upon industry, educational institutions and
other nonprofit organizations for most of its research
efforts. While a number of mechanisms have been developed
over the years to inform the research community of those
areas in which NASA has special research interests, these
instructions apply only to "NASA Research Announcements," a
form of "broad agency announcement" described in 6.102(d)(2)
and 35.016 of the Federal Acquisition Regulation (FAR). The
"NASA Research Announcement (NRA)" permits competitive
selection of research projects in accordance with statute
while at the same time preserving the traditional concepts
and understandings associated with NASA sponsorship of
research.
b. These instructions are Appendix I to 18-70.203 of the
NASA Federal Acquisition Regulation Supplement.
2. POLICY
a. NASA fosters and encourages the submission of research
proposals relevant to agency mission requirements by
solicitations, "NASA Research Announcements," which describe
research areas of interest to NASA. Proposals received in
response to an NRA will be used only for evaluation
purposes.
b. 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 preaward synopsis published
for individual proposals.
c. 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,
informaion 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. PURPOSE
These instructions are intended to supplement documents
identified as "NASA Research Announcements." The NRAs
contain programmatic information and certain "NRA-specific"
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.
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4. RELATIONSHIP TO AWARD
a. A contract, grant, cooperative agreement, or other
agreement may be used to accomplish an effort funded on the
basis of a proposal submitted in response to an NRA. NASA
does not have separate "grant proposal" and "contract
proposal" categories, so all proposals may be prepared in a
similar fashion. NASA will determine the appropriate
instrument.
b. Grants are generally used to fund basic research in
educational and nonprofit institutions, while research in
other private sector organizations is accomplished under
contract. Additional information peculiar to the
contractual process (certifications, cost and pricing data,
facilities information, etc.) will be requested, as
necessary, as the procurement progresses. Contracts
resulting from NRAs are subject to the Federal Acquisition
Regulation and the NASA FAR Supplement (NHB 5100.4). Any
resultant grants or cooperative agreements will be awarded
and administered in accordance with the NASA Grant and
Cooperative Agreement Handbook (NHB 5800.1).
5. CONFORMANCE TO GUIDANCE
a. NASA does not have any mandatory forms or formats for
preparation of responses to NRAs; however, it is requested
that proposals conform to the procedural and submission
guidelines covered in these instructions. In particular,
NASA may accept proposals without discussion; hence,
proposals should initially be as complete as possible, and
be submitted on the proposers' most favorable terms.
b. In order to be considered responsive to the
solicitation, 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. NASA reserves the right to reject any or all
proposals received in response to an NRA when such action is
considered in the best interest of the Government.
6. NRA-SPECIFIC ITEMS
a. Several proposal submission items will appear in the NRA
itself. These include: the unique NRA identifier; when to
submit proposals; where to send proposals; number of copies
required; and sources for more information.
b. Items included in these instructions may be supplemented
by the NRA, as circumstances warrant. Examples are:
technical points for special emphasis; additional evaluation
factors; and proposal length.
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7. PROPOSAL CONTENTS
a. The following general information is needed in all
proposals in order 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.
b. Transmittal Letter or Prefatory Material
1) The legal name and address of the organization and
specific division or campus identification if part of a
larger organization;
2) A brief, scientifically valid project title
intelligible to a scientifically literate reader and
suitable for use in the public press;
3) Type of organization: e.g., profit, nonprofit,
educational, small business, minority, women-owned, etc.;
4) Name and telephone number of the principal
investigator and business personnel who may be contacted
during evaluation or negotiation;
5) Identification of any other organizations that are
currently evaluating a proposal for the same efforts;
6) Identification of the specific NRA, by number and
title, to which the proposal is responding;
7) Dollar amount requested of NASA, desired starting
date, and duration of project;
8) Date of submission; and
9) 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).
c. Restriction on Use and Disclosure of Proposal
Information
It is NASA policy to use information contained in proposals
for evaluation purposes only. While this policy does not
require that the proposal bear a restrictive notice,
offerors or quoters should, in order to maximize protection
of trade secrets or other information that is commercial or
financial and confidential or privileged, place the
following notice on the title page of the proposal and
specify the information subject to the notice by inserting
appropriate identification, such as page numbers, in the
notice. In any event, information (data) 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.
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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.
d. Abstract
Include a concise (200-300 word if not otherwise specified
in the NRA) abstract describing the objective of the
proposed effort and the method of approach.
e. Project Description
1) 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 in the field; and relation to
previous work done on the project and to related work in
progress elsewhere. The statement should outline the
general plan of work, including the broad design of
experiments to be undertaken and an adequate description of
experimental methods and procedures. The project
description should be prepared in a manner that addresses
the evaluation factors in these instructions and any
additional specific factors in the NRA. Any substantial
collaboration with individuals not referred to in the budget
or use of consultants should be described. Note, however,
that subcontracting significant portions of a research
project is discouraged.
2) When it is expected that the effort will require more
than one year for completion, the proposal should cover the
complete project to the extent that it can be reasonably
anticipated. Principal emphasis should, of course, be on the
first year of work, and the description should distinguish
clearly between the first year's work and work planned fur
subsequent years.
f. Management Approach
For large or complex efforts involving interactions among
numerous individuals or other organizations, plans for
distribution of responsibilities and any necessary
arrangements for ensuring a coordinated effort should be
described. Aspects of any required intensive working
relations with NASA field centers that are not logical
inclusions elsewhere in the proposal should be described in
this section.
g. Personnel
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The principal investigator is responsible for direct
supervision of the work and participates in the conduct of
the research regardless of whether or not compensation is
received 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.
h. Facilities and Equipment
1) 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 on the project.
2) 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 to purchase. Where such arrangements cannot be
made, the proposal should so state. The need for items that
typically can be used for both research and non-research
purposes should be explained.
i. Proposed Costs
1) 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 manpower data in
terms of man-months or fractions of full-time.
2) 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. (Standard Form 1411 may be used.)
3) Allowable costs are governed by FAR Part 31 and the
NASA FAR Supplement Part 18-31 (and OMB Circulars A-21 for
educational institutions and A-122 for nonprofit
organizations).
j. Security
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Proposals should not contain security classified material.
However, if the proposed research requires access to or may
generate security classified information, the submitter will
be required to comply with applicable Government security
regulations.
k. Current Support
For other current projects being conducted by the principal
investigator, provide title of project, sponsoring agency,
and ending date.
l. Special Matters
1) 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.
2) 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.
8. RENEWAL PROPOSALS
a. Renewal proposals for existing awards will be considered
in the same manner as proposals for new endeavors. It is
not necessary that a renewal proposal repeat all of the
information that was in the original proposal upon which the
current support was based. 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
extended 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.
b. NASA reserves the right to renew an effort either
through amendment of an existing contract or by a new award.
9. LENGTH
Unless otherwise specified in the NRA, every effort should
be made to keep proposals as brief as possible,
concentrating on substantive material essential for a
complete understanding of the project. Experience shows
that few proposals need exceed 15-20 pages. Any necessary
detailed information, such as reprints, should be included
as attachments rather than in the main body of the proposal.
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; their availability may be
mentioned in the proposal.
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10. JOINT PROPOSALS
a. Some projects involve joint efforts among individuals in
different organizations or mutual efforts of more than one
organization. Where multiple organizations are involved,
the proposal may be submitted by only one of them. In this
event, 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.
b. Where a project of a cooperative nature with NASA is
contemplated, the proposal should describe the contributions
expected from any participating NASA investigator and agency
facilities or equipment which may be required. However, the
proposal must be confined only to that which the proposing
organization can commit itself. "Joint" proposals which
purport to specify the internal arrangements NASA will
actually make are not acceptable as a means of establishing
an agency commitment.
11. LATE PROPOSALS
A proposal or modification thereto received after the date
or dates specified in an NRA may still be considered if the
selecting official deems it to offer NASA a significant
technical advantage or cost reduction.
12. WITHDRAWAL
Proposals may be withdrawn by the proposer at any time.
Offerors are requested to notify NASA if the proposal is
funded by another organization or of other changed
circumstances which dictate termination of evaluation.
13. EVALUATION FACTORS
a. 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.
b. Evaluation of a proposal's relevance to NASA's
objectives includes the consideration of the potential
contribution of the effort to NASA's mission.
c. Evaluation of its intrinsic merit includes the
consideration of the following factors, none of which is
more important than any other:
1) Overall scientific or technical merit of the proposal
or unique and innovative methods, approaches, or concepts
demonstrated by the proposal.
2) The offeror's capabilities, related experience,
facilities, techniques, or unique combinations of these
which are integral factors for achieving the proposal
objectives.
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3) The qualifications, capabilities, and experience of
the proposed principal investigator, team leader, or key
personnel who are critical in achieving the proposal
objectives.
4) Overall standing among similar proposals available for
evaluation and/or evaluation against the known state-of-the-
art.
d. Evaluation of the cost of a proposed effort includes the
consideration of the realism and reasonableness of the
proposed cost and the relationship of the proposed cost to
available funds.
14. 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,
however, proposals are subject to scientific review by
discipline specialists in the area of the proposal. Some
proposals are reviewed entirely in-house where NASA has
particular competence; others are evaluated by a combination
of in-house people 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. Regardless of the technique, the
final decisions are always made by a designated NASA
selecting official. A proposal which is scientifically and
programmatically meritorious, but which is not selected for
award during its initial review under the NRA may be
included in subsequent reviews unless the proposer requests
otherwise.
15. SELECTION FOR AWARD
a. When a proposal is not selected for award, and the
proposer has indicated that the proposal is not to be held
over for subsequent reviews, the proposer will be notified
that the proposal was not selected for award. NASA will
notify the proposer and explain generally why the proposal
was not selected. Proposers desiring additional information
may contact the selecting official who will arrange a
debriefing.
b. 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 with the submitter. Formal RFPs are not used to
obtain additional information on a proposal selected under
the NRA process. However, the contracting officer may
request certain business data and may forward a model
contract and other information which will be of use during
the contract negotiation.
16. CANCELLATION OF NRA
NASA reserves the right to make no awards under this NRA
and, in the absence of program funding or for any other
reason, to cancel this NRA by having a notice published in
the Commerce Business Daily. NASA assumes no liability for
canceling the NRA or for anyone's failure to receive actual
notice of cancellation. Cancellation may be followed by
issuance and synopsis of a revised NRA, since amendment of
an NRA is normally not permitted.
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