NATIONAL AERONAUTICS AND SPACE ADMINISTRATION ********** GUIDEBOOK FOR PROPOSERS RESPONDING TO A NASA FUNDING ANNOUNCEMENT Edition: January 2016 Changes from 2016 Version of the Guidebook The 2016 edition of the Guidebook was updated as follows: 1. Throughout this guidebook:  the term Funding Announcement (FA) is used to reference the NASA Research Announcement (NRA), the Cooperative Agreement Announcement (CAN) and other domestic or financial assistance opportunities, such as training grants.  references to the NASA Acquisition Internet Services (NAIS/EPS) were replaced with Federal Business Opportunities (FBO).  references to the Grants Handbook were replaced with 2 CFR 1800 and the Grants and Cooperative Agreement Manual (GCAM) – except when referenced in the NASA FAR supplement.  Any section that referenced the proposer may determine funding mechanism was replaced with NASA will determine the correct funding mechanism.  References to awards to individuals were replaced with wording such as NASA does not make awards to individuals.  References to the submission process were revised to include a statement such as “Unless otherwise stated in the FA, NASA requires electronic submission of proposals.”  At the time of publication all hyperlinks were active 2. Section NASA Word Wide Web (WWW) Home Pages was removed since it is referenced several other places within the guidebook. 3. Section on Notification of Release of NASA Research Solicitations was revised 4. Section 1.1.1 – order of precedence was clarified 5. Section 1.4.1 was revised as follows:  proposing organization type was changed to “must be identical to that listed in the System of Award Management (SAM) and tied to the DUNS number.”  education organization minor changes made  Unaffiliated Individuals was removed 6. Section 1.7 was restructured to remove redundancy and conflicting statements 7. Section 2.1.2 the part on using grants.gov was reworded 8. Section 2.2 "Proposal formats” was revised to add clarifying language on spacing , font size, expository text, headers and footers, PDF file size and web references. 9. Section 2.3.1 – the data management plan(see section 2.3.4) was added to the checklist 10. Section 2.3.4 is a new section on implementing NASA’s plan for Increasing Access to Research Results 11. Section 2.3.9 “Current and Pending Support” was changed as follows:  paragraph 4 wording was changed from “proposed work” to person’s time”  “current and pending support is not required for student or foreign Co-Is” was added at the end of the section. 12. Section 2.3.10 Budget Justification was changed as follows:  “all proposed costs must be directly related to the approved project and scope of work” was added  Paragraph 3 was reworded regarding proposal requirement for contracts January 2016 i 13. Section 2.3.11 Required Budget Details was revised as follows:  Under “Important Note” information was added on applying the same fringe benefit rates to all funding sources  2.3.11(b)3 Facilities and Administration (F&A) was changed to added the information on: o the de minimis rate (see Appendix VII to Part 2 CFR 200) o Application of the indirect cost rate agreement over the total period of performance  2.3.11 (c)(v) “Unallowed Costs” was revised to add NASA policy on the prohibition of fee or profit on financial assistance awards. 14. Section 2.3.13 Table of Personnel & Work Effort was revised to remove “commitment” 15. Appendix B – Note that references to the Grants Handbook were not changed since this appendix is directly pulled from the NASA FAR Supplement, which is in the process of being reworded. Proposers should note that the Grants Handbook has been replaced with 2 CFR 1800 and the Grants and Cooperative Agreement Manual 16. Appendix D.4 new reporting requirements were added to the annual report 17. Appendix D.5 new reporting requirements were added to the final report 18. Section H.2 – The NASA ombudsman name and contact information was changed 19. Section H.2 – “for contracts” was added to provide clarification as to when the protest process is used. January 2016 ii TABLE OF CONTENTS PREFACE  Introduction to this Guidebook  Introduction to NASA’s Sponsored Research Programs  Statements of General Policy  Notification of Release of NASA Research Funding Announcements 1. OVERVIEW OF THE NASA Funding Announcement 1.1 General Background 1.1.1 Order of Precedence 1.1.2 Award Instruments and Award Authority 1.2 Overview Description of the Processes 1.2.1 Writing, Announcing, and Releasing an FA 1.2.2 Proposal Content and Submission 1.2.3 Proposal Review and Selection 1.3 Reserved 1.4 Categories of Proposal Organizations and Personnel 1.4.1 Proposing Organizations 1.4.2 Proposal Personnel 1.5 Successor Proposals 1.6 Other Guidelines 1.6.1 Proposals Involving Non-U.S. Organizations 1.6.2 Export Control 1.6.2(a) Export Control Guidelines for Proposals Involving Foreign Participation 1.6.2(b) Export Control Material in Proposals 1.7 Guidelines for Proposal Preparation 2. PROPOSAL PREPARATION AND ORGANIZATION 2.1 Overview 2.1.1 Using NSPIRES, the NASA Proposal Data System 2.1.2 Using Grants.gov 2.1.3 Restriction on the use of Classified Material 2.2 Standard Proposal Style Formats 2.3 Proposal Contents 2.3.1 Overview of Proposal 2.3.1(a) Proposal Checklist 2.3.1(b) Assembly of Electronic Proposals 2.3.1(c) NASA Requirements for Uploaded PDF Files 2.3.2 Required Cover Pages and Forms 2.3.2(a) NSPIRES Cover Page and Budget Form 2.3.2(b) Grants.gov Required Forms 2.3.3 Proposal Summary (abstract) January 2016 iii 2.3.4 Increasing Access to Research 2.3.5 Table of Contents 2.3.6 Scientific/Technical/Management Section 2.3.7 References and Citations 2.3.8 Biographical Sketch(s) 2.3.9 Current and Pending Support 2.3.10 Statements of Commitment and Letters of Support 2.3.11 Budget Justification: Narrative and Details 2.3.11(a) Required Budget Narrative 2.3.11(b) Required Budget Details 2.3.11(c) Other Budget Guidelines 2.3.12 Special Notifications and/or Certifications 2.3.12(a) Special Notifications and/or Certifications 2.3.12(b) Proposals Involving Non-U.S. Organizations 2.3.13 Table of Personnel and Work Effort 2.3.14 Subcontracting plans 2.3.15 Reprint(s)/Preprint(s)/Website(s) 3. PROPOSAL SUBMISSION PROCEDURES 3.1 Notice of Intent (NOI) to Propose 3.2 On-Time and Late Proposals 3.3 Submission of Proposals 3.3.1 Submission of Proposals Through NSPIRES 3.3.2 Submission of Proposals Through Grants.gov 3.4 Timeline for Review and Selection 3.5 Proposal Withdrawal by Proposer or Rejection Without Review by NASA 3.5.1 Withdrawal by Proposer 3.5.2 Proposal Rejection by NASA Without Review January 2016 iv APPENDICES A. GUIDE TO KEY DOCUMENTS ON THE WORLD WIDE WEB B. INSTRUCTIONS FOR RESPONDING TO NASA RESEARCH ANNOUNCEMENTS (NASA Federal Acquisition Regulation Supplement Part 1852.235-72). C. PROPOSAL PROCESSING, REVIEW, AND SELECTION C.1 Overview C.2 Evaluation Criteria C.3 Evaluation Processes C.4 Conflicts of Interest and Confidentiality C.5 Selection Procedures C.5.1 Overview C.5.2 Partial Selections C.5.3 Disclosure of Selections and Nonselections C.6 Debriefing of Proposers D. PROPOSAL AWARDS AND CONTINUED SUPPORT D.1 New Awards D.1.1 Awards to NASA Centers D.1.2 Awards to Non-NASA Organizations D.2 Requests for Augmentation Funding D.3 No Cost Extensions D.4 Funding Continuation of Multiple Year Awards D.5 Completing an Award E. CERTIFICATIONS, ASSURANCES, REPRESENTATIONS, AND SAMPLE AGREEMENTS E.1 Certifications, Assurances, and Representations E.1.1 Certification of Compliance on Proposal Cover Page E.1.2 “Assurance of Compliance…Pursuant to Nondiscrimination…” E.1.3 “Certification Regarding Lobbying” E.1.4 “Certification Regarding Debarment, Suspension, and …” E.1.5 “Assurance and Representation on China restrictions” E.1.6 “Certification of Tax Compliance” E.1.7 “Representation Regarding Corporate Felony Convictions” E.1.8 “Representation Regarding Unpaid Corporate Tax Liabilities” E.1.9 “Representation Regarding Restrictions on Reporting Waste, Fraud, and Abuse” E.2 Sample Nondisclosure and Conflict of Interest Agreement E.3 Conflicts of Interest for NASA Peer Reviewers F. FREQUENTLY ASKED QUESTIONS F.1 Who answers questions about an award? F.2 Who is responsible for what? January 2016 v F.3 Who determines the types of award to be made? F.4 Who monitors an award? F.5 Is it "my" award? F.6 Must every proposal include certain documents? F.7 Once an award has been implemented, for what must prior approval be requested? F.8 What happens if the PI changes organizations? F.9 Who owns any equipment purchased through the award? F.10 Can an award be suspended or terminated? F.11 Are there required reports? F.12 What is NASA’s policy about releasing data and results derived through its sponsored research awards? F.13 How is NASA to be acknowledged in publications? F.14 Can audits occur, and are they important? F.15 What are the uses of a No Cost Extension? F.16 Why are all these requirements and details about research awards necessary? F.17 Why aren’t all proposals that are highly rated by peer review selected for funding? F.18 Are proposals from NASA Centers subject to peer review, and are their budgets based on Full Cost Accounting? F.19 Why is an award sometimes slow in being implemented after selection? F.20 Who may be listed as participating personnel on a proposal? F.21 What is NASA’s policy for submitting late proposals? F.22 Why doesn’t NASA release the names of the reviewers who reviewed my proposal? F.23 I can’t find the application forms in Grants.gov for the specific solicitation that I want to propose to; where are they? F.24 How can a PI verify that his/her proposal has been properly submitted? F.25 Does NASA prefer special formatting for Education grants/cooperative agreements? F.26 How is payment provided to commercial firms verses educational institutions and nonprofit organizations? F.27 Can NASA grant funds be used to buy supplies and/or services, which do not constitute research, from non-U.S. sources? If yes, where should they be included in the proposal? For example, if the cost is more than $5000, does the vendor need to be listed on the proposal coversheet as key personnel? How otherwise does one explain the proposed non-US purchase as a direct cost? F.28 What is a cost realism analysis? F.29 How can proposals for a grant or cooperative agreement request funds for a NASA partner? G. SECURITY REQUIREMENTS G.1 Requirement for Grant and Cooperative Agreement Awards G.2 Requirement for Contract Awards H. PROCESS FOR APPEALS H.1 Ombudsman Review Process H.2 Protest Process H.3 Requests for Reconsideration January 2016 vi PREFACE INTRODUCTION TO THIS GUIDEBOOK This Guidebook describes the policies and procedures for submitting responses to the Broad Agency Announcement known as the National Aeronautics and Space Administration (NASA) Research Announcement (NRA) and the Cooperative Agreement Notice (CAN), that are used by the program offices of NASA that solicit proposals for basic and applied science and technology research and for science, technology, engineering, and mathematics (STEM) education. For the purposes of this guidebook the NRA and CAN are referred to as a Funding Announcement (FA). All proposers who plan to respond to an FA released by NASA should adhere to the guidelines contained in Chapters 1, 2, and 3, and the Appendices, unless otherwise noted in the FA itself. In general, Chapters 1, 2, and 3 of this Guidebook supplement the material given in its Appendix B, entitled "Instructions For Responding To NASA Research Announcements," which reproduces NASA Federal Acquisition Regulation (FAR) Supplement (NFS) 1852.235-72 (ref. Appendix A for access information). Appendices C and D describe how FA proposals are reviewed, selected, and administered, and are included for completeness of information for proposers. Appendix E contains a variety of certifications and forms that relate to proposals and their evaluations. Appendix F contains frequently asked questions and answers concerning FA proposal and administrative processes. Appendix G contains security requirements for grant and cooperative agreement awards and contract awards. Appendix H contains information on the Ombudsman review process and the protest process for contracts. The most recent edition of this Guidebook can always be accessed on the World Wide Web (WWW) at http://www.hq.nasa.gov/office/procurement/nraguidebook/. Each FA will indicate the applicable edition. This Guidebook may be reproduced in part or in total without restriction. INTRODUCTION TO NASA’S SPONSORED RESEARCH PROGRAMS Proposers responding to a NASA FA are responsible for submitting proposals relevant to the 2014 NASA Strategic Plan or the most current Strategic Plan. Find NASA’s 2014 Strategic Plan by visiting http://www.nasa.gov/sites/default/files/files/2014_NASA_Strategic_Plan.pdf Because Strategic Plans are updated regularly and often at the same time a new budget is released, verify that the 2014 document is current by visiting http://www.nasa.gov/news/budget/index.html. If proposed activities are described or understood to be a type of education, proposers are also responsible for submitting proposals relevant to the Federal STEM Education Five-Year Strategic Plan; a report from the Committee on STEM (Co-STEM) Education National Science and Technology Council, May 2013. Download a copy of the plan from the White House website at: http://www.whitehouse.gov/sites/default/files/microsites/ostp/stem_stratplan_2013.pdf. January 2016 B-1 The National Aeronautics and Space Administration is an independent Federal agency of the United States (U.S.) created by the National Aeronautics and Space Act of 1958, NASA has four Mission Directorates, each assigned responsibility for implementing NASA’s Vision, Mission, and Values as outlined in the 2014 NASA Strategic Plan. The Mission Directorates are listed below:  Science  Human Exploration and Operations  Aeronautics Research  Space Technology These Mission Directorates pursue NASA’s goals using a wide variety of ground-, aeronautical-, and space-based programs, and any of these may issue FAs that will incorporate this Guidebook by formal reference. Examples of such programs are NASA’s human and robotic space missions to explore and study the planet Earth, the Solar System, and the Universe; NASA’s research using the Earth-orbiting International Space Station; and NASA’s ground- and space-based programs and facilities to conduct aeronautics research, the development, demonstration, and infusion of pioneering space technologies for advanced space systems. Awards for research through these various programs fund thousands of scientists, engineers, technologists, and educators each year at U.S. nonprofit and commercial organizations, as well as Federal research organizations including NASA’s own Centers and the Jet Propulsion Laboratory (JPL). Education also is identified in the 2014 Strategic Plan as an Agency mission. In the Strategic Plan NASA’s Education Office leads: Objective 2.4: Advance the Nation’s STEM education and workforce pipeline by working collaboratively with other agencies to engage students, teachers, and faculty in NASA’s missions and unique assets. NASA’s Office of Education, in collaboration with the Mission Directorates and Offices, also issues FAs that solicit evidence-based projects that 1) foster formal and/or informal STEM education; and/or 2) contribute to participation by underrepresented or underserved students and education organizations that predominantly (or historically) serve individuals traditionally underrepresented in STEM careers or underserved in STEM higher education including but not limited minorities, women and persons with disabilities. Visit the NASA Education pages for the most up to date information about the Office of Education performance and priorities at: http://www.nasa.gov/offices/education/performance/index.html#.VLmoj0fF-Ag. The Office of Small Business Programs (OSBP) at NASA Headquarters is responsible for the development and management of NASA programs that assist all categories of small business and works in conjunction with the above-mentioned Offices and Mission Directorates that issue FAs in order to facilitate small businesses and small disadvantaged businesses participation. Further information for small businesses and small disadvantaged businesses is available at http://osbp.nasa.gov/index.html. Complete material about all of NASA’s many interests and programs is found through links starting at the NASA homepage at http://www.nasa.gov/. January 2016 B-2 STATEMENTS OF GENERAL POLICY NASA’s Partnership with the Research and Education Communities. Funding for NASA-related research and development projects is a privilege afforded to qualified science, engineering, and educational personnel by NASA acting on behalf of the citizens of the United States through Congressional and Executive action. NASA’s proposal and selection procedures work only because the various research communities and NASA Program Offices together maintain the highest level of integrity at all stages of the process. As a general rule, recipients of NASA research awards largely manage their own research projects 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 itself, and, finally, the exposition of new knowledge through publications, public outreach, and education— NASA sees itself as a partner with the scientific, engineering, and educational communities in making its programs relevant and productive. Inclusive Funding Announcements of Proposals. NASA welcomes proposals in response to its research FAs from all qualified sources, and especially encourages proposals from Historically Black Colleges and Universities (HBCUs), Other Minority Universities (OMUs), small disadvantaged businesses (SDBs), veteran-owned small businesses, service disabled veteran- owned small businesses (SDVOSB), HUBZone small businesses, and women-owned small businesses (WOSBs). Proposers should consult FAR Part 19 and FAR Part 26 for definitions of these business types. Reference the following URL for FAR Part 19: https://www.acquisition.gov/?q=/browse/far/19 and https://www.acquisition.gov/far/current/html/Subpart%2026_3.html#wp1052071. In accordance with Federal statutes and NASA policy, no eligible applicant shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from NASA on the grounds of their race, color, creed, age, sex, national origin, or disability. NOTIFICATION OF RELEASE OF FUNDING ANNOUNCEMENTS NASA solicitations for contracts are found at the Federal Business Opportunities (FBO) site: https://www.fbo.gov. NASA funding opportunities for grants and cooperative agreements are found at: NASA Solicitation and Proposal Integrated Review and Evaluation System (NSPIRES): http://nspires.nasaprs.com/external/ and grants.gov: http://www.grants.gov/ 1. OVERVIEW OF THE FUNDING ANNOUNCEMENT (FA) 1.1 General Background In fulfillment of the National Aeronautics and Space Act of 1958, as amended, (http://www.nasa.gov/offices/ogc/about/space_act1.html ), NASA endeavors to sponsor the highest quality research and development of the newest technologies related to the space and January 2016 B-3