APPENDIX B


INSTRUCTIONS FOR RESPONDING TO
NASA RESEARCH ANNOUNCEMENTS

June 1995


1.  FOREWORD

        a.  These instructions apply to "NASA Research Announcements."  The
"NASA Research Announcement (NRA)" permits competitive selection of
research projects in accordance with statute while preserving the
traditional concepts and understandings associated with NASA sponsorship of
research.

        b.  These instructions are Appendix I to 1870.203 of the NASA
Federal Acquisition Regulation Supplement.

2.  POLICY

        a. Proposals received in response to an 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.

        b. 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.  PURPOSE

These instructions supplement documents identified as "NASA Research
Announcements."  The NRA's 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 NRA's.

4.  RELATIONSHIP TO AWARD

        a. 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.

        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.  Contracts resulting from
NRA's 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).

B-1


5.  CONFORMANCE TO GUIDANCE

        a. NASA does not have mandatory forms or formats for preparation of
responses to NRA's; 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 submitted on the proposers' most favorable terms.

        b. In order to be considered responsive, 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.

6.  NRA-SPECIFIC ITEMS

Several proposal submission items  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.  Items included in these instructions may be supplemented by
the NRA.

7.  PROPOSAL CONTENTS

        a. The following information is needed in all proposals in order to
permit consideration in an objective manner.  NRA's 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 other organizations that are currently
   evaluating a proposal for the same efforts;
        (6) Identification of the NRA, by number and title, to which the
   proposal is responding;
        (7) Dollar amount requested , 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.
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 appropriate identification,

B-2


such as page numbers, 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.

        d. Abstract.  Include a concise (200-300 word if not otherwise
specified in the NRA) abstract describing the objective 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; 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.
(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 for
subsequent years.

        f. 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.  Intensive working relations with
NASA field centers that are not logical inclusions elsewhere in the
proposal should be described.

        g. 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

B-3


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.
    (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.  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.

  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.  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.

        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.


B-4


8.  RENEWAL PROPOSALS

        a. 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.

        b. NASA may renew an effort either through amendment of an existing
contract or by a new award.
8.9.  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:  their availability may be
mentioned in the proposal.

8.10.  JOINT PROPOSALS

        a.  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.

        b.  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.

11.  LATE PROPOSALS

A proposal or modification received after the date or dates specified in an
NRA may 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-5


        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) Offeror's capabilities, related experience, facilities,
	techniques, or unique combinations of these which are integral factors for
	achieving the proposal objectives.
          (3) The qualifications, capabilities, and experience of the
	proposed principal investigator, team leader, or key personnel critical in
	achieving the proposal objectives.
          (4) Overall standing among similar proposals and/or evaluation
	against the state-of-the-art.

        d. Evaluation of the cost of a proposed effort includes the realism
and reasonableness of the proposed cost and the relationship of the
proposed cost and 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 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.

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.  NASA will 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.  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 to cancel this
NRA.  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.



B-6