2000 EDITION
(Revised February 10, 2000)
NASA
OFFICE OF PROCUREMENT
WASHINGTON, DC
20546
This document provides guidelines for the preparation of formal unsolicited proposals to those who wish to convey their creative methods or approaches to NASA. These guidelines apply to all unsolicited proposals regardless of the NASA Installation or Agency program for which they are intended, but do not apply to solicited proposals.
At the end of this document, information is provided which gives insight into NASA's specific current and anticipated research goals, and science or engineering topics that may be of interest to NASA. It should be noted that projects toward the research end of the spectrum rather than supplies or services are generally most suited to the unsolicited proposal approach.
POLICY
REFERENCES
DEFINING AN UNSOLICITED PROPOSAL
WHAT IS NOT AN UNSOLICITED PROPOSAL
WHEN TO SUBMIT
WHERE TO SUBMIT
NUMBER OF COPIES
FORMAT
LENGTH
PROPOSAL CONTENT
LIMITED USE OF DATA
SECURITY
PROPOSALS FROM FOREIGN COUNTRIES
JOINT PROPOSALS
REVISIONS OR WITHDRAWAL
EVALUATION PROCEDURES
ACCEPTANCE/AWARD
REJECTION
INTERAGENCY COORDINATION
ADDITIONAL INFORMATION
NASA RESEARCH AREAS AND ADDRESSES FOR SUBMISSION
Correspondence of this nature is handled directly between the interested individual or organization and the appropriate NASA office. (See the Appendix, which identifies the current technical organizations' research areas within NASA.) This approach is to the Proposer's advantage, as experience has demonstrated that abbreviated submissions rarely contain sufficient information to adequately communicate the potential merits of a contemplated project.
To be considered as a valid unsolicited proposal, a submission must:
1. Technical correspondence that consists of a written inquiry from an individual, academic researcher, or others that should be addressed to NASA program offices, including:
3. Proposals for commercial items that are usually sold to the general public.
4. Advertising material designed to acquaint the Government with a prospective contractor's present products or potential capabilities.
5. Contributions that are concepts, suggestions, or ideas presented to the Government in which the source may not devote any further effort to it on the Government's behalf.
6. 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, he or she may offer NASA a license in the patented invention by writing to the Office of the Associate General Counsel (Intellectual Property), Code GP, NASA Headquarters, 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.
7. A proposal for a new award or the renewal of a contract, grant or cooperative agreement which falls within the scope of an open NASA Research Announcement (NRA). These proposals will be evaluated as a response to that NRA unless it is determined that doing so will place the unsolicited proposal at a competitive disadvantage or that the offeror cannot be afforded the opportunity to amend the unsolicited proposal to conform it to the instructions in the NRA. If such a determination is made, the unsolicited proposal will be evaluated separately.
When the effort will require more than one year, the proposal should cover the complete project. Principal emphasis should be on the first year of work, and the description should distinguish clearly between the first year's work and the work planned for subsequent years.
The Proposer or principal investigator will be responsible for direct supervision of the work and participates in the conduct of the effort regardless of whether or not compensation is received under the award. The principal investigator cannot be a government employee.
Educational institutions should list the approximate number of students/assistants involved in the project and information about their level of academic attainments.
Any special cooperative arrangements with industry that will enhance the project should be described. Note, however, that subcontracting significant portions of the project is discouraged.
Omit social security numbers and other personal items which do not merit consideration in evaluation of the proposal.
List salaries and wages in appropriate organizational categories; for example, principal investigator, other scientific and engineering professionals, graduate research assistants and technicians, and other nonprofessional personnel. Estimate personnel data in terms of full months or fractions of fulltime. Do not use separate "confidential" or "proprietary" salary pages.
Explanatory notes should 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 self-evident. Allowable costs are governed by FAR Part 31, NASA FAR Supplement Part 1831, OMB Circular A-21 for educational institutions, and A-122 for nonprofit organizations. Profit or fee for contracts is covered in FAR Subpart 15.9.
By statute, cost sharing is usually required on contracts for basic or applied research projects resulting from unsolicited proposals. However, colleges and universities need not propose cost sharing since their activities generally do not produce benefits that can be measured as having significance apart from the benefit intrinsic in conducting research for NASA. All other organizations should include cost sharing as part of their proposals unless they certify:
Proposers other than educational institutions should include a brief description of their organizations, facilities, and previous work experience in the field of their proposals. When applicable, state other current projects being conducted by the principal investigator:
Use and Disclosure of Data
This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed-in whole or in part-for any purpose other than to evaluate this proposal. However, if a contract is awarded to this offeror as a result of-or in connection with-the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in these data if they are obtained from another source without restriction. The data subject to this restriction are contained in Sheets [insert numbers or other identification of sheets].
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.
NASA funding is not normally used for subcontracted foreign research efforts. 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 must be submitted in the same format as U.S. proposals and in U.S. dollars. All information should be typed and in English. The proposal should emphasize the unique nature of the project and/or the unique expertise of the proposer. Foreign proposals will go through the same evaluation and selection process as U.S. Proposals
A project of a cooperative nature with NASA is possible. In this case, the proposal should describe the contributions expected from any participating NASA investigator and Agency facilities or equipment that may be required.
For changes, explain the relationship between the new material and the previous submission. However, note that a submission of revisions may delay the evaluation.
Several evaluation techniques are regularly used within NASA. In all cases, however, proposals are reviewed 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 personnel and selected external reviewers, while still others are subject to a full external peer review either by mail or through assembled panels. Due regard for conflict of interest and protection of proposal information is always part of the process.
Regardless of the technique, the decision to fund or not fund an unsolicited proposal is made by NASA technical personnel. If additional information is requested during the evaluation of the proposal, that information should be forwarded directly to the requester.
For unsolicited proposals that result in a contract, the Proposer must be a "Responsible Prospective Contractor" who meets the standards of FAR Subpart 9.1. Also, no conflict of interest may exist that cannot be avoided or mitigated (see FAR Subpart 9.5).
An unsolicited proposal that results in an 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 (FOIA).
Proposals that do not result in an award will be retained by NASA for one year and eventually will be destroyed. Tracking information will be electronically archived for two years.
NASA HEADQUARTERS
AMES RESEARCH CENTER
DRYDEN FLIGHT RESEARCH CENTER
JOHN GLENN RESEARCH CENTER
GODDARD SPACE FLIGHT CENTER
JOHNSON SPACE CENTER
KENNEDY SPACE CENTER
LANGLEY RESEARCH CENTER
MARSHALL SPACE FLIGHT CENTER
STENNIS SPACE CENTER
Note: All unsolicited proposals submitted to Headquarters offices
should be submitted to the above address.
Space Station
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Other areas of aerospace research: aerodynamics, aerothermodynamics,propulsion, structures, materials, flight control, rotocraft, information technology, vehicle health monitoring, cockpit displays and human factors
Supporting Research, Theory, and Analysis in:
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Life and Biomedical Sciences and Applications
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Earth, Atmospheric, Oceanographic Science and Applications,Education
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Owner: Jamiel Commodore, jamiel.c.commodore@nasa.gov
Curator: Susie Marucci, susie.marucci@nasa.gov
Updated (MSFC POC only) October 2008
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