A COOPERATIVE AGREEMENT NOTICE
Reusable Launch Vehicle (RLV)
Advanced Technology Demonstrator
X - 33
(Jan 1995)
National Aeronautics and
Space Administration
A
COOPERATIVE AGREEMENT
NOTICE
Reusable Launch Vehicle (RLV) Advanced Technology
Demonstrator
X - 33
CAN 8-1 Response Date: February 24, 1995 4:30pm
CST
Reusable Launch Vehicle (RLV)
Advanced Technology Demonstrator
X - 33
A Cooperative Agreement Notice
Soliciting Proposals for a Reusable Launch
Vehicle (RLV) Advanced Technology
Demonstrator
Issued: January 12, 1995
National Aeronautics and Space
Administration George C. Marshall Space
Flight Center
Program Development Directorate/PAO1
Marshall Space Flight Center, AL 35812
PREFACE
Reusable Launch Vehicle (RLV)-Advanced
Technology
Demonstrator: X-33
The National Space Transportation Policy charters NASA
to lead the technology development and demonstration of
next generation reusable space transportation systems,
and to focus the research on technologies to support a
decision no later than December 1996 to proceed with a
sub-scale flight demonstration which would prove the
concept of single-stageto-orbit.
Significantly lowering the cost of space launch for
medium and above class payloads will promote U.S.
economic growth, improve the quality of life, contribute
to the continuing economic development of near-Earth
space, and open the space frontier to human exploration.
The objective of NASA's technology development
and demonstration effort is to support government and
private sector decisions by the end of this decade on
development of an operational next-generation reusable
launch system. It
is envisioned that the private sector could have
a significant role in managing the development and
operation of a new reusable space transportation system.
The objective of this NASA Cooperative Agreement
Notice (CAN) is to stimulate the joint
industry/Government funded concept definition/design
of a technology demonstrator vehicle, X-33, followed
by the design/demonstration of competitively selected
concept(s). The X-33 must adequately demonstrate the
key design and operational aspects of a reusable space
launch system so as to reduce the risk to the private
sector in developing such a commercially viable launch
system. As a minimum, the scaleability and
traceability of the X-33 airframe, cryogenic tanks,
and thermal protection systems (TPS) to the
corresponding proposed SSTO rocket must be identified.
It is the Government's intent to demonstrate
critical elements of a future Single-Stage-To-Orbit
(SSTO) rocket powered RLV. The X-33 will be an
integrated systems demonstrator for requisite advanced
launch technologies applicable to a next generation
SSTO rocket. NASA is coordinating program
implementation with the Department of Defense (DoD).
NASA is initiating a progressive competition with
the issuance of this CAN. This CAN solicits proposals,
for the total X-33 effort, that offer a new way of doing
business consistent with space policy. Initial proposals
in response to this CAN should reflect creative
business investment strategies and planning, and
technical solutions that address programmatic and
technical challenges involved in the Concept
Definition/Design Phase (Phase I); the
Design/Demonstration Phase (Phase II) and the
commercial RLV Development/Operation Phase (Phase
III). These
proposals should be specific/detailed for Phase I,
and
reflect preliminary plans for both of the
subsequent phases. At the end of Phase I, proposals are
planned to be received for Phase II, and competitive
selection(s) made. Phase II will be synopsized in the
Commerce Business Daily. Notwithstanding NASA's
expectation that only Phase
I
Recipients will be capable of successfully competing
for
Phase II, all proposals will be considered. Phase
II
proposals are planned to be requested via letter or
a separate, formal solicitation, at NASA's discretion.
NASA reserves the right to determine the type of
financial instrument, contract or cooperative agreement,
to be used for Phase II.
The performance period of Phase I is 15 months. Phase
II, which includes design, build, and flight
demonstration of the X-33, will be initiated by the end
of FY 1996 and will continue through the end of the
decade. Phase III will be implemented following
Government and private sector decisions by the end
of this decade on development of an operational next
generation reusable launch system.
Multiple awards are planned for the X-33 Phase I
activity during which each participant shall mature their
total X-33 business investment strategies and
planning, operations planning, and vehicle design and
analysis with detail sufficient to
permit competitive selection of industry
partner(s) and their X-33 design concept(s) at the end
of
the period.
Offeror's initial proposals for Phase I (areas 1-3), X-
33 Concept Definition/Design Phase (includes
preliminary
planning for all subsequent phases), shall
include
cost/business investment strategies and planning,
operations planning and vehicle design and analysis.
Offerors may elect to also propose on area 4,
supporting technology demonstration efforts. Areas to be
addressed in Phase I are further described in paragraph
4.0, Appendix A.
The performance of the XD33 program will be
evaluated against a discrete set of criteria currently
being developed between NASA, the Office of Space
Technology Policy, and the Office of Management and
Budget. These criteria will provide the basis for
the 1996 and end of the decade decisions on
whether to proceed with the next phase of the RLV program.
Selection to proceed into Phase II, the period to
fabricate and flight test X-33 concept(s), will occur as
a result of evaluation of
proposals reflecting the following draft
evaluation criteria: mature business management and
cost
arrangements/planning, design maturity,
technical
content/approach; more specifically: 1)
detailed
cost/business investment strategies, planning
and
arrangements for Phase II, as well as preliminary
business planning, strategy, and linkage to Phase III,
2) detailed operations
planning for Phase II as well as preliminary
operations planning for and linkage to Phase III, and
3)
detailed planning for vehicle design and analysis to
be demonstrated in Phase II as well as preliminary
design planning for and linkage to Phase III. These
evaluation criteria include successful completion of Phase
I efforts.
The above Phase II evaluation factors are not final,
and
NASA reserves the right to change them at any time up to
and including the date upon which Phase II
proposals are requested. Any
such change in evaluation factors will not
necessitate issuance of a new formal solicitation for
Phase II. For clarity, this more specific criteria is
envisioned to relate to performance, reliability,
operability goals, and the business planning and not
to specify technical details of the solution.
Proposals requiring restrictions on distribution of
any aspect of the completed effort and resulting technology
must include a justification for the restriction and the
time period for which the restriction would apply.
It is important that technology demonstrated from
cooperative agreements resulting from this CAN be made
available to the public. For clarification, the
governing Patent and Data Rights clauses are intended
to convey the following (summarized): 1) Patent rights
are governed by statute and regulation and are included
in Clause 5 and Attachments 1-4 of the model agreement. If
industry makes an invention, they will likely be granted
title if requested (small business firms and nonprofits
may elect to retain title while OlargeO business may
petition NASA to waive title). The Government will retain
a license for government purposes and march-in rights. If
jointly invented, NASA may agree to refrain from
exercising rights which would adversely
affect commercialization by Recipient; 2) Data rights
in model agreement are based on policy, have been
developed by NASA Headquarters and assume substantial
cost sharing. Therefore, restrictions on data, if any, are
to be marked appropriately (perhaps trade secret or
proprietary), and will be disclosed and used by NASA and
its contractors only on behalf of the government. Data
rights policy is intended to strike a balance between
fulfilling public purpose of the cooperative agreements
and protecting legitimate property interests of industry.
It is NASA's intent to inform Recipient whenever
NASA intends to use NASA contractors to perform
engineering services in support of this agreement. This
will enable the Recipient to enter into Non-Disclosure
Agreements with NASA contractors regarding use and
disclosure of this data should they deem it necessary to do
so.
Proposals should also highlight the offeror's experience
and capabilities in proposed areas and how the experience
and capabilities would be employed in support of this
technology demonstration activity.
Participation in this program is open to all categories
of organizations: Industry (for profits, nonprofits,
large, small), education institutions and other
government agencies. Joint proposals that demonstrate
effective, mutually beneficial partnerships or cooperative
arrangements between government, academia, and industry
are encouraged. The GovernmentOs role in cooperative
agreements is further addressed in Appendix B,
paragraph 5. U.S. Federal Government agencies which
elect to propose directly in response to this CAN,
in lieu of supporting another offeror's proposal,
will be expected to supply their own funding.
Offerors shall submit proposals by February 24, 1995.
Blackout conditions will exist upon receipt of
proposals for evaluation. Proposals will be evaluated
by peer and/or technical review committees.
All or part of a proposal may be selected for
negotiations
leading to a possible award of a cooperative
agreement unless the offeror requests otherwise. A
proposal that is technically and programmatically
meritorious, but that cannot be accepted because of
funding uncertainties, may be retained for future
consideration, should additional funding become
available, unless the offeror requests otherwise.
Evaluation, selection and award may occur during the
period of time from receipt of proposals for evaluation to
one year after issuance date of this CAN.
The following information applies only to this CAN:
CAN Number: CAN 8-1
Submit Proposals to: Marshall Space Flight Center
Attn:GP54/Hilda Davis (CAN
81)
Bldg. 4201, Room 600 H
Marshall Space Flight
Center, AL 35812
Copies Required: 15 plus 1 reproducible
copy
per proposal,
plus original signed copy
Selection Official: PA01/James M. McMillion
Director, Program
Development Marshall Space
Flight Center
Obtain additional information from:
Technical: PT31/Stephen A. Cook
Marshall Space Flight
Center, AL 35812 (205)544-
4918
Administrative and Contractual: GP54/Mark R.
Stiles Marshall Space Flight
Center, AL 35812 (205)544-
0381
or
GP54/Hilda Davis
Marshall Space Flight
Center, AL 35812
(205)544-0342
Responses to the Draft CAN 8-1 received to date have
been reviewed and summaries of comments with actions taken
areas follows:
- Government Should Not Dictate SSTO for RLV:
Response: The National Space Transportation Policy
in Section III, paragraph 2(b), states: "Research
shall be focused on technologies to support a
decision no later than December 1996 to proceed
with a sub-scale flight demonstration which would
prove the concept to single stage to orbit."
While the next generation reusable launch vehicle
decision by the end of the decade may not result
in an SSTO, the focus of the ongoing RLV technology
program is SSTO.
- Requirements Have Excessive Solutions-Especially Space
Station Payload of 25 klb:
Response: The Space Station requirements stated
in Table 1 of Appendix A of this CAN is a
preliminary assessment of minimum single payload
element weights that are required to support the
Space Station. The requirement in Table 1 is
substantially lower than currently planned
delivery capability to the Space
Station by the Space Shuttle. This estimate is for
planning purposes only and do not represent a
commitment by the Space Station Program. Other detailed
specifications, Section 3.3 - Operability Guidelines,
are deleted.
- Government Should Not Rule Out Vertical Lander: Response:
Configurations are not discussed in the CAN. The CAN is
open to all concepts.
- Concern Over Level Of Required Government Involvement:
Response: By definition (policy), cooperative
agreements require substantial government involvement
(not cash only) in the implementation of the
cooperative agreement. However, the specific resources
to be utilized are proposed by industry after
negotiation with the appropriate installation. In
addition, the degree to which the offeror uses
government resources is not a selection criteria.
Clarification made in CAN, Appendix A, Section 5 (a).
- Concern Over When Industry Cost Sharing Begins: Response:
Clarification made in the CAN that offeror's proposed
cost sharing shall begin upon award. See
Appendix A, Section 5, Resource Sharing.
- Concern Over Recipients Recourse if NASA Fails a
Milestone:
Response: The goal is to stimulate the commercial
sector to develop and operate a next generation launch
system (and hence significantly lower the cost of space
access). It is therefore in the government's and
industry's best interest to work in partnership to meet
all milestones. The cooperative agreement encourages
either party to help the other as required in order to
succeed - cash, manpower, etc., (both the government
and industry). Additionally, for the purpose of early
identification of potential problems, proposals will
include (based upon prior negotiations with affected
centers/laboratories) mutually agreed upon task
schedules, cost and milestones which are subject to
tracking and statusing by the partnership (See Appendix
B, Section 5(a)). However, an appeal route has been
established (see Disputes Clause, Model Cooperative
Agreement, Appendix D) for referral to NASA Code XX,
Space Transportation Division Director of the Office of
Space Access and Technology, for resolution when
appropriate.
- Concern Over Patent and Data Rights:
Response: Patent Rights are governed by statue and
regulation and are included in Clause 5 and Attachments
1-4 of the Model Agreement, Appendix D. Bottom line:
if industry makes an invention, they will likely be
granted title if requested. If jointly invented, NASA
may agree to refrain from exercising rights which would
adversely affect commercialization by Recipients. See
preface, page iii, 4th paragraph.
Data rights in model agreement have been developed by
NASA HQ and assume substantial cost sharing by
industry. Bottom line: anything industry deems trade
secrets, etc., they must identify as such on the item
(chart, paper, etc.) and will be maintained in
confidence by NASA. Clarification made in the CAN,
preface, page iii.
Another side issue may be the distinction between the
rights of a Recipient vs. the rights of NASA
contractors (Appendix D, paragraph 5.2 (c)). Recipient
refers to the offerors, i.e., industry. NASA
contractor refers to those existing contractors under
contract with NASA. Clarification made in CAN,
preface, page iii, 4th para relative to restrictions,
if any.
Appendix A provides technical description relative to the X
33. Appendix B contains basic guidance needed for
preparation of solicited proposals in response to this CAN.
Appendix C contains the CAN proposal format to be followed.
A Model Cooperative Agreement, Points of Contact at NASA
centers and DoD laboratories/centers, OMB Circular A-110,
Section 23 and a Acronyms list are contained in attached
Appendices D through G respectively.
An electronic copy of this CAN is available over the
internet. See instructions on CAN-Internet Access in
Appendix A, Section 8.0.
Your interest and cooperation in participating in this CAN
are greatly appreciated.
Charles E. Henke
Director, Procurement Office
Enclosures
Reusable Launch Vehicle - Advanced Technology Demonstrator:
X - 33
TABLE OF CONTENTS
Page
Preface ii
Table Of Contents viii
Appendix A
TECHNICAL DESCRIPTION A-1
1.0 Introduction A-2
1.1 X-33 Concept Definition/Design Phase (Phase I) A-2
1.2 X-33 Design/Demonstration Phase (Phase II) A-2
1.3 Commercial RLV Development/Operation Phase (Phase
III) A-3
2.0 Scope A-3
3.0 Requirements A-3
3.1 Technical Requirements A-3
3.2 Design Traceability to SSTO Rocket Requirements A-5
4.0 Areas to Be Addressed in Phase I A-5
4.1 Business Planning A-5
4.2 System Operations Planning A-5
4.3 System Design and Analysis A-6
4.3.1
Technical Baselines A-6
4.3.2 SSTO
Rocket Concept Definition A-6
4.3.3 X-33
Preliminary Design A-6
4.3.4
Phase II Supporting Technology Demonstrations A-7
4.4 Phase I Supporting Technology Demonstrations A-8
5.0 Resource Sharing A-8
6.0 Government Budget Information A-8
7.0 Proposed Deviations A-10
8.0 CAN Internet Access A-10
9.0 Project Measurement A-10
Appendix B
INSTRUCTIONS FOR RESPONDING TO NASA COOPERATIVE
AGREEMENT NOTICE B-1
1. Foreword B-2
2. Policy B-2
3. Relationship to Award B-2
4. Conformance to Guidance B-2
5. CAN-Specific Items B-3
6. Proposal Contents B-3
7. Length B-8
8. Joint Proposals B-9
9. Late Proposals B-9
10. Withdrawal B-9
11. Evaluation Factors B-9
12. Cancellation of CAN B-10
13. Schedule B-10
Appendix C CAN
PROPOSAL FORMAT C-1
1. Proposal Format C-2
2. Proposal Cover Page C-3
3. Proposal Summary Form C-4
4. Budget Summary C-5
5. Current And Pending Support C-8
6. Certification C-9
Appendix D
MODEL COOPERATIVE AGREEMENT D-1
Appendix E
POINTS OF CONTACT E-1
Appendix F OMB
CIRCULAR A-110, SECTION 23 F-1
Appendix G
ACRONYMS G-1
APPENDIX A
TECHNICAL DESCRIPTION
REUSABLE LAUNCH VEHICLE ADVANCED TECHNOLOGY DEMONSTRATOR: X33
APPENDIX A
TECHNICAL DESCRIPTION
1.0 Introduction
The NASA Office of Space Access and Technology conducts
space research and development through sponsorship of
technology programs conducted at the NASA Field Centers, in
United States industry, and in American universities. The
Space Transportation Division supports the Office of Space
Access and Technology sponsoring the development of next
generation Reusable Launch Vehicle (RLV) technologies.
NASAOs RLV Technology Program will accelerate the
development and application of new space launch technologies
and operational concepts to contribute to the continuing
commercialization of the national space launch industry. The
goal of the RLV technology program is the continued lowering
of the cost of access to space to promote the creation and
delivery of new space services and other activities that
will improve economic competitiveness.
This program will implement the recently released National
Space Transportation Policy, specifically Section III,
paragraph 2(b): "Research shall be focused on technologies
to support a decision no later than December 1996 to proceed
with a sub-scale flight demonstration which would prove the
concept of single-stage to orbit." The objective of this
NASA Cooperative Agreement Notice (CAN) is to initiate the
concept definition/design of an advanced technology
demonstrator vehicle, Experimental-Thirty Three (X-33) as a
part of the RLV Technology Program. This will be followed
by the design/demonstration of the competitively selected X33
design concept(s) by the respective industry partner(s). The
X-33 must adequately demonstrate the key design and
operational aspects of a Single Stage to Orbit (SSTO) RLV
rocket system so as to reduce the risk to the private sector
in developing such a commercially viable launch system.
SSTO rocket is the goal of the RLV Technology Program (i.e.,
reference Phases I and II below) because past studies
indicate it has the best potential for achieving the lowest
cost access to space while acting as an RLV technology
driver (since it also encompasses the technology
requirements of reusable rocket vehicles in general).
However, the private sector may ultimately choose the
operational RLV configuration to be flown post-2000 based on
extent of private financial involvement. The implementation
phases of the X-33 are structured as follows:
1.1 X-33 Concept Definition/Design Phase (Phase I)
This phase will consist of a 15 month concept definition and
preliminary design of a reusable advanced technology
demonstrator system, designated the X-33. The X-33 system
includes the flight vehicle, supporting ground based
technology demonstrations, and any required ground and
flight support systems. Based on the results of this phase
and related evaluation criteria (see transmittal letter), an
industry/concept team(s) will be selected for Phase II.
This CAN is a solicitation for the X-33 Concept
Definition/Design Phase (Phase I).
1.2 X-33 Design/Demonstration Phase (Phase II)
This phase will consist of the final design, fabrication,
assembly and test of the X-33 system. The X-33 vehicle will
be flight tested, using a flight envelope expansion process,
to demonstrate aircraft like operations. Flight testing will
be accomplished at an appropriate test range. Phase II will
be completed on or before the end of the decade.
Phase II shall also develop all necessary data to support an
informed program continuation decision at the completion of
the Phase. Data includes program planning and a detailed
business plan for Phase III, and an Operational RLV system
designed to a level sufficient to provide a high confidence
cost estimate and to show that all program risks have been
identified and are acceptable.
1.3 Commercial RLV Development/Operation Phase (Phase III)
The previous two phases are focused towards demonstrating
the technology to build reusable launch vehicles with
aircraft-like operations. If fully successful, they will
enable a low risk, low cost development of a commercially
operated RLV system. This final phase will design,
manufacture, and operate the RLV system.
2.0 Scope
The X-33 will demonstrate the critical technologies needed
for orbital SSTO rockets in realistic operational
environments. To the extent practical, the X-33 will be
tested in the ascent and reentry flight environments of a
full-scale SSTO rocket. In addition, the X-33 will focus on
those operational issues which are critical to the
development of reliable low cost reusable space
transportation. The X-33 will incorporate more advanced
materials with weights and margins equivalent to those
required by an SSTO rocket. The X-33 ground support and
flight control systems will be designed to accomplish
operations and supportability goals which are key to lower
cost system operations. The operability and performance
demonstrated by the X-33 will provide the necessary data to
establish the detailed requirements for a future operational
SSTO.
3.0 Requirements
3.1 Technical Requirements
Table 1 describes the minimum set of technical requirements
for the X-33. A set of initial requirements for its
corresponding operational SSTO rocket are included for
initial design purposes only and are subject to later trades
to be performed during Phase I. Accomplishment of effort
beyond that reflected in Table 1, is acceptable, but must be
accomplished within established government funding
guidelines.
Table 1: Minimum X-33 and Corresponding SSTO Requirements
Correspo
nding
X-33 SSTO
CAPABLE
Performance
Í Suborbital, reusable rocket-based flight REQ N/A
system
Í Mission Applications: N/A REQ
-- Payload Delivery: Government
(Civil/Military) and Commercial
Missions.
-- Capable of delivering/returning
cargo and crew complement to/from the
International Space Station (ISS) in
accordance with ISS requirements
(e.g., minimum sizes, loads, schedule)
Í Í ISS located at 220 nmi (244 nmi
max) Altitude and 51.6- Inclination.
Í Í Current estimated payload delivery
requirement: 20D25,000 lbm
Launch and Flight Operations
Í Automated pre-flight and flight REQ REQ
operations (launch, ascent, on-orbit,
reentry, landing)
Í The flight vehicle shall be capable of GOAL REQ
safely aborting to the launch site
during the ascent phase if required
Í 7 day maximum mission duration N/A REQ
Í 7 day ground processing time from GOAL GOAL
landing to launch.
Í 3.5 day ground processing time from GOAL GOAL
landing to launch for reflight under
emergency conditions.
On-Orbit Operations
Í The system shall be able to autonomously N/A As REQ
rendezvous and station keep with the
International Space Station and other
orbital spacecraft.
Í The system shall be able to autonomously N/A REQ
dock payloads with the International
Space Station.
Accommodate Payloads
Í The flight vehicle shall provide N/A REQ
standardized structural, mechanical,
electrical, communications, and other
interfaces to payload.
Í 15 ft diameter x 30 ft long cargo bay N/A REQ
OPERABLE
Schedule Dependability
Í The probability of launching within TBD GOAL REQ
days of scheduled is 0.95
Responsive
Í Maximize robustness to adverse weather REQ REQ
conditions.
Supportable
Í Launch and landing at same location REQ REQ
(nominal condition).
Í The flight vehicle shall be capable of GOAL REQ
unplanned landing at alternate landing
sites with minimal support
equipment/facilities, e.g.
-- No existing cryogenic facilities,
launch stands/equipment, etc.
-- Self-ferry of flight vehicle between
landing and launch sites (add-on
engines, landing/nav lights, etc.
equipment allowed).
Maintainable
Í To the extent practical, on-board GOAL REQ
subsystems required for the flight
vehicle shall be field
repairable/replaceable.
Í Equipment required to repair, process GOAL REQ
and return vehicle to launch site shall
be transportable.
RELIABLE
Í 0.995 Probability of safe recovery of N/A REQ
the flight vehicle per mission.
Í 0.999 Probability of safe recovery of N/A REQ
the human passengers per mission.
GOAL: Desirable Attribute
N/A: Not Applicable
REQ: Requirement
3.2 Design Traceability to SSTO Rocket Requirements
The X-33 system, subsystems, and major components shall be
designed and tested so as to ensure their traceability
(technology and general design similarity) and scaleability
(directly scaleable weights, margins, loads, design,
fabrication methods, and testing approaches) to a full scale
SSTO rocket system.
4.0 Areas to Be Addressed in Phase I
The general areas to be addressed in Phase I should include,
but not be limited to the following:
4.1 Business Planning
Business investment strategies and planning for the X-33
design/demonstration (Phase II) and follow-on RLV (Phase
III) will be initiated and matured during Phase I. This will
determine the requirements for the development and operation
of a cost-effective, commercially developed and operated RLV
system. Planning should include, but not be limited to:
Í Cost / benefit modeling (incl. cash, discounting,
revenue stream, depreciation, interest, taxation,
etc.).
Í Financial investment sources and requirements.
Í Level of government participation in RLV development
and operations.
- Legislation/policy required to permit unique
government / industry partnerships.
Í Cost and schedule to develop, manufacture, activate,
and operate all ground, flight and related support
systems.
- Comprehensive to a level that will permit credible,
independent assessments.
Í Potential commercial market share with associated
requirements to achieve.
Í Potential and required return on investment (focused on
long term).
Í Identification of risks and tasks to mitigate.
Í Procurement mechanisms.
Í Management approach.
Í Payload insurance approach.
4.2 System Operations Planning
In Phase II the X-33 system will demonstrate key operational
attributes required for a cost effective SSTO rocket system.
The offeror must demonstrate how operability will be
incorporated into the design of the XD33. As a minimum, the
following aspects of an operational SSTO rocket system will
be incorporated into the design (i.e., Phase I) for later
demonstration in test operations of the X-33:
Í Reliability, maintainability, and supportability
concept.
Í Ground and flight operations concept .
Í Logistical support concept.
Í Manpower requirements, skill types and levels.
Í Appropriate vehicle processing timelines, mean time
between failure, mean time to repair, reliability,
and other critical maintenance parameters.
Í Operations and maintenance cost requirements.
Í Overall support concept including flight vehicle
support, propellant storage, and range facilities,
services, and requirements.
Í Launch and mission operations, mission planning and
launch control concepts.
Í Transportation concept.
4.3 System Design and Analysis
4.3.1 Technical Baselines
For both the X-33 system and its corresponding SSTO rocket
system, a technical baseline with the following
representative parameters, at a minimum, shall be defined: Í
Design requirements.
Í Physical design, layout, materials, dimensions, and
volumes.
Í Description of acoustic, vibration, thermal (e.g.,
aeroheating, base heating, etc.), and structural
loads (e.g., loads along vehicle station) on vehicle
and payload.
Í Vehicle to payload interfaces and requirements.
Í Flight vehicle mass properties including gross
liftoff weight, empty weight, unit weights, and mass
fractions.
Í Flight performance, aerodynamic characteristics, and
optimized ascent and descent trajectories.
Í Flight vehicle stability and guidance, navigation,
and control assessment and incorporation into
vehicle design.
Í Payload capacity versus maximum velocity, orbital
inclination, and altitude capability achieved (if
applicable).
Í Identify total lift margin including both payload,
design weight margins and any performance margins
Í Propulsion system characteristics (propellant,
thrust, weight, etc.).
Í Cross range maneuver capability.
Í Takeoff and landing limitations (e.g., crosswind).
Í Weather constraints.
Í Operations concept (see section 4.2).
Í Payload and crew accommodations and processing
(where applicable).
Í Assessment of environmental impact and risk.
4.3.2 SSTO Rocket Concept Definition
An SSTO rocket vehicle concept shall be designed and
analyzed at a level sufficient to demonstrate SSTO rocket
requirements flowdown to the X-33 system. The areas
addressed should be similar, where appropriate, to those
described below in section 4.3.3.
4.3.3 X-33 Preliminary Design
SYSTEM DESIGN
The X-33 system design will make use of near term
achievable technologies and innovative concepts in the
vehicle design, manufacturing processes, assembly and
integration process, and test. Designs will focus on
operational simplicity and minimizing vehicle
processing requirements. Detailed design and
engineering analyses required to credibly predict the
feasibility and performance of the X-33 vehicle will be
provided. The level of design depth required will be
sufficient to permit a concept(s)/industry partner(s)
downselection at the conclusion of this phase.
As a minimum, the scaleability and traceability of the X-
33 airframe, cryogenic tanks and thermal protection
systems (TPS) to its corresponding SSTO rocket will be
identified in order to establish that the required
structural mass fraction of the SSTO rocket is
achievable. Where the X-33 design is not directly
scaleable/traceable to the full scale SSTO rocket,
product enhancements, ground test programs, or
alternative minimal risk design approaches to provide
an SSTO rocket capability will be identified.
DESIGN-TO-COST GOAL
The X-33 design shall be developed using a design-to
cost methodology. The X-33 government contribution is
constrained to the total shown in Section 6.0 or lower;
however, all costs must be completely credible,
realistic, and defendable to an independent costing
evaluation. Total costs include both government and
industry investments combined.
TEST PROGRAM
A comprehensive test program shall be developed for the X-
33, identifying the configuration and number of test
articles, a description of the test facilities, and a
schedule for the test program. This will include
testing for both ground and flight components and
systems.
SOFTWARE DEVELOPMENT
The software structure needed to meet the X-33 system
(flight and ground) requirements will be defined and
will include the development program for generating the
necessary code, software tools, and validation
procedures to be utilized.
SUPPORT EQUIPMENT AND FACILITIES
A preliminary design of X-33 support equipment and
facilities will be prepared, including an integrated
program for the manufacture, test, and integration with
the flight vehicle. Support equipment and facilities
shall include factory assets needed to manufacture and
assemble the X-33, test stands needed to validate the X33
prior to flight, propellant storage and servicing
equipment, maintenance equipment, and other operations
support requirements.
RISK REDUCTION PROGRAM
Potential problem areas critical to engineering,
operability, technology, reliability, safety, or
schedule will be analyzed. For the identified critical
risk areas, a program to reduce the risks will be
established. Appropriate technical performance
measurements for program critical elements will be
identified.
MATERIAL ACQUISITION
The X-33 component procurements (including appropriate
descriptions, e.g., fabricate vs. off-the shelf,
schedule, etc.) required to achieve the program
schedule and contain program costs shall be identified.
4.3.4 Phase II Supporting Technology Demonstrations
The identification of Phase II supporting technology
demonstrations required to develop critical technologies for
SSTO rockets - not incorporated on the X-33 flight vehicle
and the development of a plan (tasks, rationale, cost,
schedule, facilities, etc.) for their accomplishment during
Phase II shall be finalized during Phase I. Funding levels
for these demonstrations are included in the Supporting
Technology Demonstration line item (Phase II) in Section
6.0.
4.4 Phase I Supporting Technology Demonstrations
In addition to the above description of Phase I design
activities to be accomplished, early technology
hardware/software demonstrations to be implemented during
Phase I may be pursued if the selected offeror elects to
propose this activity. These technology demonstrations must
be prioritized and focused on those technologies required to
achieve a successful X-33 flight demonstration program and
must not be currently in-work under existing efforts (e.g.,
Advanced Launch Technology NASA Research Announcements).
Funding levels for these demonstrations are included in the
RLV Technology line item (Phase I) in Section 6.0.
These demonstrations may be related, but are not limited to
the following generic technologies:
Í Operations
- Integrated Avionics / Guidance, Navigation, and
Control
- Vehicle Level Health Monitoring and Management -
Automated Mission Design and Planning
- Automated Maintenance Systems
Í Reusable Cryogenic Tank System
- Demonstrate alternate manufacturing, materials,
or material architectures
Í Electron-Beam Cure of Composites
- Primary Structures:
- Cryogenic Tanks:
Í Thermal Protection Systems
- Develop stand-off attachments for metallic and/or
CMC TPS
- Demonstrate attachment to composite structural
materials and/or insulation.
Í Propulsion System
- Demonstrate maturity and performance of potential
X-33 main engine(s)
5.0 Resource Sharing
Significant cost sharing by industry is anticipated during
Phase I. Although no minimum percentage is specified for
Phase I, NASA reserves the right to specify minimum cost
sharing requirements for Phases II and III. For cost
sharing purposes, the GovernmentOs share is defined as that
amount to be funded under the cooperative agreement.
Industry cost sharing may include cash (profit based or
venture capital), Independent Research and Development
(IR&D) funds to be expended in performance of the
cooperative agreement, and in-kind contributions. Industry
in-kind contributions are governed by Office of Management
and Budget (OMB) Circular A-110, Section 23, entitled "Cost
Sharing or Matching". Industry's cost share shall not be
charged to the Government under any other contract, grant,
or cooperative agreement, except for allocation as an
indirect cost as part of an IR&D program. However, offerors
shall not count IR&D funds already allocated as cost sharing
to existing cooperative agreement efforts, again as in-kind
contribution for the XD33. OfferorsO proposed cost sharing
shall begin upon award.
6.0 Government Budget Information
Any award is subject to the availability of funds. The
following funding information is provided as a guide to the
potential level of funding available.
Expected funding in millions of dollars, by FY, is as
follows:
FY95* FY96 FY97 FY98 FY99
X-33 Concept Definition/ 18.0 6.0 -- -- --
Design (Phase I)
X-33 Design/Demonstration -- 43.0 147.0 270.0 178.0
(Phase II)
X-33 Integration & -- 43.0 76.0 85.0 100.0
Operations
X-33 Subsystems Design, -- -- 71.0 185.0 78.0
Fab. & Test
Supporting Technology 20.0 -- -- 40.0 147.0
Demonstration
(Phase I) (Phase II)
RLV Tech. Program 50.6 50.7 30.6
(Focused, Phase I)
(Current NRA activity)
System Engineering & 4.6 4.7 4.7 4.7 4.7
Analysis
Long Term, High Payoff 9.3 8.6 15.6 25.7 30.1
Tech. Investment
Total 102.5 113.0 197.9 340.4 359.8
* Note: Includes Department of Defense Funding
The funding included in this table represents NASA's
projected funding to demonstrate all RLV technologies to a
point consistent with the next generation system decision.
The projected funding availability for the RLV technology
program (excluding DC-XA and X-34) is provided in above
table. Offeror's have the flexibility to propose the actual
effort split required between the budget line items shown in
above table.
This funding profile covers funds for both of the following:
a.Funds provided directly to the selected offeror(s)
under the resulting cooperative agreement(s), in
conjunction with the payment milestones, and
b.Funds required to pay for charges relating to the
performance of government responsibilities under the
resulting cooperative agreement(s) (government
responsibilities may require in-kind resources in
the form of personnel, facilities, services, etc.,
made available through the various
Centers/Laboratories). These charges may include
Installation charges for Program Support, materials,
facility modifications, etc., but do not include
salaries for government personnel. Offerors are
responsible for negotiating and obtaining response
letters from each participating installation, which
will define candidate center
responsibilities/contributions and the charges
relating to the performance of these
responsibilities (see Appendix B, Section 5a and
Appendix E). Payment of these charges will be made
internal to the Government out of the available
program funding.
7.0 Proposed Deviations
It is anticipated that the terms and conditions of any
resultant cooperative agreement will essentially be the same
as those contained under Appendix D - Model Cooperative
Agreement. Offerors shall indicate any clauses which the
offeror is unwilling to accept, state reasons for the
objections, and propose alternate wording, as appropriate.
In the absence of objections to the cooperative agreement
clauses, the offeror shall include a statement of
acceptance.
8.0 CAN Internet Access
A digital copy of this CAN and related documents may be
obtained over the internet. The documents are in American
Standard Code Information Interchange (ASCII) format and
Rich Text Interchange Format (RTF). The ASCII versions
reside on a World Wide Web (WWW) server at the Marshall
Space Flight Center (MSFC), which may be accessed using
client browsers, such as MOSAIC. The WWW address, or
Uniform Resource Locator (URL), of the MSFC Procurement home
page is: "http://procure.msfc.nasa.gov". Instructions are
available on-line. The RTF documents may be downloaded
using "anonymous File Transfer Protocol (FTP)" from the
/pub/solicit directory of the FTP server,
sunwks.msfc.nasa.gov. Anonymous FTP connection is
accomplished by entering the above server location in the
"Server" or "Host" field, entering "anonymous" in the "User
ID" field, entering either "guest" or preferably your e-mail
address (e.g. jsmith@msfc.nasa.gov) in the "Password" field,
and entering the above directory information in the
"Directory" field. The RTF documents should be downloaded
as "text" in accordance with the instructions for your FTP
application.
If you have any problems, ask for help from your system
administrator.
9.0 Project Measurement
OfferorsO shall define, measure, evaluate, and report their
own progress toward project success over the course of the
project. See Appendix B. Pg 8, Paragraph 6 (l).
APPENDIX B
INSTRUCTIONS FOR RESPONDING TO NASA COOPERATIVE AGREEMENT
NOTICE
REUSABLE LAUNCH VEHICLE ADVANCED TECHNOLOGY DEMONSTRATOR: X33
APPENDIX B
INSTRUCTIONS FOR RESPONDING TO NASA COOPERATIVE AGREEMENT
NOTICE
1. Foreword ideas submitted in
response to the CAN, to
NASA depends upon industry, be used as the basis of
educational institutions, a solicitation or in
and other nonprofit negotiation with other
organizations for many of organizations, nor is a
its research and pre-award synopsis
development efforts. While published for individual
a number of mechanisms have proposals.
been developed over the
years to inform the c.A solicited proposal
research and development that results in a NASA
community of those areas in award becomes part of
which NASA has special the record of that
research interests, the transaction and may be
instructions in this available to the public
appendix apply only to this on specific requests;
Cooperative Agreement however, information or
Notice. A NASA Cooperative materials that NASA and
Agreement Notice (CAN) the awardees mutually
permits competitive agree to be of a
selection of projects in privileged nature will
accordance with statute, be held in confidence to
and preserves some of the the extent permitted by
traditional concepts and law, including the
understanding associated Freedom of Information
with NASA sponsorship Act.
normally solicited by a
NASA Research Announcement d.NASA may select only a
(NRA). A CAN also portion of a proposed
introduces new concepts for application, in which
NASA sponsorship. case the offeror will be
given the opportunity to
2. Policy accept or decline such
partial acceptance. a.NASA
fosters and
encourages the e.NASA reserves the right
submission of proposals to reject any or all
relevant to Agency proposals received in
mission requirements by response to the CAN when
solicitations which such action is
describe areas of considered in the best
interest to NASA. interest of the
Proposals received in Government.
response to this CAN
will be used only for 3. Relationship to Award
evaluation purposes.
A cooperative agreement
b.NASA does not allow a will be used to accomplish
proposal, the contents the effort funded on the
of which are not basis of a proposal
available without submitted in response to
restriction from another this CAN.
source, or any unique
4. Conformance to to be substantially
Guidance involved, to have a
meaningful role, not
a.NASA does not have any just an oversight role,
mandatory forms or in accomplishing tasks
formats for preparation under the agreement.
of responses to CANs; The government's
however, it is requested involvement/contribution
that proposals conform could include a
to the procedural and combination of cash,
submission guidelines personnel, facilities,
covered in these services, materials,
instructions, as well as facility modifications,
Appendix C, CAN proposal etc., but not just cash
format. In particular, only. Industry is
NASA may accept encouraged to propose
proposals without the use of only those
discussion; hence, NASA resources they
proposals should believe necessary for
initially be as complete successful completion of
as possible and be the project. The degree
submitted on the of use of NASA resources
offerorsO most favorable will not be a factor in
terms. contractor selection.
b.In order to be Where appropriate,
considered responsive to industry may propose to
the solicitation, a use government
submission must, at a resources. This use of
minimum, present a government resources
specific project within must be negotiated
the area delineated by between the offeror and
the CAN; contain the affected
sufficient technical and installation(s) prior to
cost information to submission of the
permit a meaningful proposal and must
evaluation; be signed by include mutually agreed
an official authorized upon task schedules,
to legally bind the cost and milestones
submitting organization; which are subject to
not merely offer to tracking and statusing
perform standard by the partnership for
services or to just the purpose of early
provide facilities or identification of
services; and not potential problems; and
significantly duplicate must be supported by a
a more specific, letter of response from
current, or pending NASA the installation's
solicitation. designated point of
contact. The designated
5. CAN-Specific Items points of contact are
given in Appendix E.
a.Cooperative agreements These requests may be
require the government for Phase I (concept
definition/design ) as in an objective manner.
well as estimates for Each proposal copy shall
Phases II contain all submitted
(design/demonstration of material, including a
X-33) and III (follow on copy of the transmittal
commercial RLV). letter if it contains
substantive information.
b.The installation point
of contact is the single b.The proposals shall have
entry and exit point to fully completed and
the installation. The signed cover pages and
point of contact is certifications, in
responsible for accordance with those
coordination with the given in Appendix C of
appropriate laboratory, this CAN.
facility, etc., within
the installation. After c.Transmittal Letter or
completion of Prefatory Material shall
negotiations with the be limited to the
appropriate lab, following:
facility, etc., industry
is required to provide (1)The legal name and
the results to the address of the
installation point of organization and
contact. specific division or
campus
c.The installation letter identification, if
of response will part of a larger
contain a list, organization;
description and
limitations of all (2)Type of
negotiated installation organization; e.g.,
resources to be profit, nonprofit,
utilized. It will also educational, small
contain all costs business, minority,
associated with these women-owned, etc.
resources. These costs The Standard
must be included in the Industrial Code for
Costs of Government this CAN is 8731.
Contribution line item The small business
#9, in the budget size standard is
summary form (see 1000 employees;
Appendix C) of the
proposal along with a (3)Name and telephone
copy of the number of the Lead
installation's response Partner and business
letter. personnel who may be
contacted during
6. Proposal Contents evaluation or
negotiation;
a.The following general
information is needed in (4)Identification of
all proposals in order any other
to permit consideration organizations that
are currently
evaluating a NOTICE
proposal for the
same effort; Restriction on Use
and Disclosure
(5)Identification of of Proposal
the specific CAN, by Information
number and title, to
which the proposal The information
is responding; (data) contained
in/on [insert page
(6)Date of submission; numbers or other
and identification] of
this proposal
(7)Letters of Response constitutes a trade
secret and/or
d.Restriction on Use and information that is
Disclosure of Proposal commercial or
Information financial, and
confidential or
It is NASA policy to use privileged. It is
information contained in furnished to the
proposals for evaluation Government in
purposes only. While confidence with the
this policy does not understanding that
require that the it will not,
proposal bear a without permission
restrictive notice, of the offeror, be
offerors or quoters used or disclosed
should, in order to other than for
maximize protection of evaluation
trade secrets or other purposes; provided,
information that is however, that in
commercial or financial, the event a grant
and confidential or or cooperative
privileged, place the agreement is
following notice on the awarded on the
title page of the basis of this
proposal and specify the proposal, the
information subject to Government shall
the notice by inserting have the right to
appropriate use and disclose
identification, such as this information
page numbers, in the (data) to the
notice. In any event, extent provided in
information (data) the grant or
contained in proposals cooperative
will be protected to the agreement. This
extent permitted by law; restriction does
but, NASA assumes no not limit the
liability for use and/or GovernmentOs right
disclosure of to use or disclose
information not made this information
subject to the notice. (data) if obtained
from another source description of
without proposed activities
restriction. to each NASA Center
or DoD
e.Abstract Laboratory/Center
involved, based upon
Include a concise (200- prior coordination
300 words) abstract discussions with
describing the objective each government
of the proposed effort entity.
and the method of
approach. The project
description should
f.Certifications be prepared in a
manner that
The following addresses the
certifications are to be evaluation factors
included: Certification in these
Regarding Drug Free instructions and any
Workplace Requirements, additional specific
Certification Regarding factors in the CAN.
Debarment, Suspension, Any substantial
and Other Responsibility collaboration with
Matters, and organizations or
Certification Regarding individuals not
Lobbying. Appendix C referred to in the
contains forms for these budget or use of
certifications. consultants should
be described.
g.Project Description
(2)Proposed Milestone
(1)Technical Statement Accomplishment:
of Work:
The technical
The proposals shall statement of work
reflect the defined above shall
following: include specific
milestone
- a detailed accomplishments
statement of work planned, payment
to be undertaken milestones, and
for the Concept completion dates.
Definition/Design
Phase, In the next three
sections, the
- specific technical response to this CAN
objectives and shall reflect the
expected emphasis on
significance. specific/detailed
plans for the
The statement of Concept
work should include Definition/Design of
the allocations of the X-33, with
tasks and preliminary plans
for the follow-on describe the
program phases evolutionary
(Design/Demonstratio path/linkage
n Phase II and the proposed to be
commercial RLV Phase followed during each
III). subsequent phase of
the X-33, including
(3)Business Investment the commercial RLV
Strategies and Cost Development/Operatio
Planning: n Phase.
The proposals shall (5)Vehicle Design and
reflect detailed Analysis:
business investment
strategies and The technical
planning to be section for each
undertaken during phase shall contain
the Concept a brief summary,
Definition/Design followed by a
Phase and shall description of the
describe the technical content of
evolutionary the proposed effort,
path/linkage the approach, and
proposed to be the expected
followed during each results. The
subsequent phase of proposals shall
the X-33, including reflect detailed
the commercial RLV plans for achieving
Development/Operatio the performance
n Phase. goals during the
Concept
The proposal shall Definition/Design
contain for each Phase and shall
phase, a section describe the
addressing evolutionary
significant issues path/linkage
in each of the proposed to be
following areas: followed during each
Technical, subsequent phase of
Management, and the X-33, including
Cost. the commercial RLV
Development/Operatio
(4)Operations Planning: n Phase.
The proposals shall The technology
reflect detailed inherent in the
plans for achieving vehicle design
high levels of concept should be
operability, compared to the
supportability, and present state of the
cost effectiveness art; in relation to
during the Concept previous work done
Definition/Design by the offeror, and
Phase and shall to related work in
pr proposals should
reflect detailed
Additionally, management planning,
offerors may or may structure and
not elect to include approach for the
in their initial Concept
proposal for the Definition/Design
Phase I activity, Phase of the X-33.
supporting Additionally,
technology preliminary planning
demonstration for management of
efforts ( area 4 as the
mentioned in Design/Demonstration
Appendix A). Phase should be
Initial proposals included as well as
must not, however, linkage to the
include only planned management
supporting during the
technology commercial
demonstration Development/Operatio
efforts, without n Phase.
proposing to
accomplish in i.Key Personnel
parallel the Phase I
activity (areas 1-3 (1)A brief biographical
as mentioned in sketch referencing
Appendix A). related work of key
personnel shall be
h.Management Approach included, along with
any exceptional
(1)For efforts qualifications
involving covering the past 5
interactions among years.
individuals from
more than one (2)The Program Manager
organization, plans is responsible for
for dissemination of direct supervision
responsibilities and of the work and
any necessary participates in the
arrangements for conduct of the
ensuring a project regardless
coordinated effort of whether or not
should be described. compensation is
This shall include a received under the
one page outline of award. Omit social
the articles of security number and
collaboration. The other personal items
working relationship which do not merit
with NASA field consideration in
centers should be evaluation of the
described in this proposal. Give
section. similar biographical
information on other
(2)The initial senior professional
personnel who will use of civil service
be directly personnel, the
associated with the proposal must
project. Give the reflect costs
names and titles of associated with
any other engineers those personnel.
and technical
personnel associated (2)Describe available
substantially with facilities and major
the project in an items of equipment
advisory capacity. especially adapted
Universities should or suited to the
list the approximate proposed project,
number of students and any additional
or other assistants, major equipment that
together with will be required.
information as to Identify any
their level of Government-owned
academic attainment. facilities,
Any special industry- industrial plant
university equipment, or
cooperative special tooling that
arrangements should are proposed for use
be described. on the project.
j.Facilities and Equipment (3)Before requesting a
major item of
(1)Proposals should capital equipment,
describe the the offeror should
proposed use of any determine if sharing
government and or loan of equipment
Recipient facilities already within the
and equipment during organization is a
the conduct of the feasible alternative
proposed cooperative to purchase. Where
agreement. Proposed such arrangements
use of any cannot be made, the
government proposal should so
facilities and state.
equipment should be
based on prior (4)Potential discussions
respondents should
concluded with the be aware that
respective regulations require
installation to that NASA retain
agree on potential ownership of all
government equipment purchased
contributions in a with NASA's
resultant contribution to any
cooperative cooperative
agreement. Should agreements. The
the potential Recipient shall have
government title to equipment
contribution involve and other personal
property acquired to provide the
with Recipient industry cost
funds. Therefore, sharing
if the Recipient contribution, and
would need the state that it is
equipment to consistent with the
continue commercial cost sharing
efforts following guidelines.
the cooperative Allowable cost
agreement, it should sharing
be part of the contributions are
Recipient's defined in Appendix
contribution as A, paragraph 5.
opposed to part of
the Government's (2)The budget summary
contribution. shall be presented
in Budget Summary
k.Proposed Costs/Cost Form as described in
Sharing Appendix C, CAN
Proposal Format,
In addition to the consistent with the
instructions contained accompanying general
here, offerors are and line-by-line
referred to Appendix C. instructions.
This appendix contains a
model format for l.Project Measurement
proposed budgets.
Offerors' proposed cost The proposal should
sharing shall begin upon describe how the
award. project's management
will define, measure,
(1)Cost sharing is evaluate, and report its
required under own progress toward
cooperative project success over the
agreements with "for- course of the project.
profit" The plan should include
organizations. a definition of project
Significant cost success that the Project
sharing by industry Lead and Co-Leads will
is anticipated. use to guide the effort,
Proposals shall and also include
include a clear, provisions for measuring
description summary progress toward cost
of the cost sharing savings and reportable
contributions of innovations for the
both government and benefit of the relevant
industry, the basis industry as a whole.
for value Project financial
determination of the reporting must be
offerorOs cost developed to
sharing contribution quantitatively track and
to the program, report progress during
evidence of the the entire period of the
offeror's capability project.
support of all
m.Cooperative Agreement projects with
Payment substantial
Schedule/Milestone involvement of the
Accomplishments program manager and
each key sub-manager
Offerors shall identify for whom support is
and schedule significant requested. The
accomplishments towards format appears in
achieving the objectives Appendix C. The
of the cooperative information content
agreement. These shall include: source
accomplishments will be of support, project
referred to as payment title with grant,
milestones. NASA will cooperative agreement
provide incremental or contract number,
payments of its award amount by
contribution upon Government fiscal
completion of these year, and total award
milestones. Payment amount, award period,
milestones shall be level of effort in
defined in terms of person-months, and
accomplishment, date, the location where
and amount. The first the work is to be
payment milestone must performed.
not precede receipt by
NASA of the articles of (2)For other current
collaboration including projects being
signed agreements among conducted by the
all parties. Principal
Investigator,
n.Classified Information provide title of
project, sponsoring
Proposals should not agency, and ending
contain national- date.
security sensitive or
classified material. p.Special Matters
However, if the proposed
work requires access to (1)Include any required
or may generate such statements of
information, the environmental impact
submitter will be of the work,
required to comply with conflict of
applicable Government interest, or on such
security regulations. other topics as may
be required by the
o.Current and Pending nature of the effort
Support and current
statutes, executive
(1)Following the budget orders, or other
section, the proposal current Government-
shall contain a wide guidelines.
summary of current
and pending Federal (2)Offerors should
include a brief page using uncompressed
description of the font point sizes of 12 or
organization, its larger, normal leading
facilities, and (space between lines), and
previous work 1-inch margins. Text
experience in the embedded in graphics or
field of the figures may be less than 12
proposal. Identify point font size, but must
the cognizant be greater than 6 point
Government audit font size.
agency, inspection
agency, and To facilitate the recycling
administrative of shredded proposals after
contracting officer, review, proposals shall be
when applicable. submitted on plain, white
paper only. This precludes
7. Length the use of cardboard stock,
plastic covers, and colored
Every effort should be made paper.
to keep proposals as brief
as possible, concentrating 8. Joint Proposals
on substantive material
essential for a complete The effort contemplated by
understanding of the this CAN may involve joint
project. efforts among individuals
in different organizations
Proposals should be written or mutual efforts of more
concisely in English. The than one organization.
total length of the Where multiple
proposal including cover organizations are involved,
page, figures, tables, list the proposal shall be
of references, etc., shall submitted by only one of
not exceed 75 pages on 8.5O them. In this event, it
x 11O paper for Phase I should clearly describe the
(areas 1-3), plus another role to be played by the
25 pages for each separate other organizations and
proposal for each sub-area indicate the legal and
of area 4 (supporting managerial arrangements
technology demonstration contemplated.
efforts) should an offeror
choose to propose on area 9. Late Proposals
4. Foldouts shall not
exceed 11" x 17" and each A proposal received at the
foldout will be counted as designated office after the
two pages. Required date and time specified in
certifications and the CAN may still be
prefatory material will not considered if it is in the
be assessed against this best interest of the
page limit. Pages in government.
excess of the above limit
will not be considered in 10. Withdrawal
the evaluation and will be
returned. There shall be a Proposals may be withdrawn
maximum of 52 lines per by the offeror at any time.
Offerors are requested to demonstrated by the
notify NASA if the proposal proposal, including
is funded by another linkage throughout
organization or other Phase I, II and III.
changed circumstances which
dictate termination of (3)The offeror's
evaluation. capabilities,
related experience,
11. Evaluation Factors facilities,
techniques, or
The principal elements (of unique combinations
approximately equal weight) of these which are
considered in evaluating a integral factors for
proposal are its relevance achieving the
to the CAN's objectives, proposal objectives.
intrinsic merit, and cost.
(4)The qualifications,
a.Evaluation of a capabilities and
proposalOs relevance to experience of the
the CAN's objectives proposed program
includes an assessment manager, team
of how well proposals leader, or key
meet, in the following personnel who are
order of importance, the critical in
X-33 program business, achieving the
operations, and proposal objectives.
technical requirements,
goals, and objectives. (5)Overall standing
among similar
b.Evaluation of a proposals available
proposals intrinsic for evaluation
merit includes the and/or evaluation
consideration of the against the known
following factors, none state-of-the-art.
of which is more
important that any c.Evaluation of the cost
other: of a proposed effort
includes the
(1)Overall merit of consideration of the
proposed integrated realism and
business investment reasonableness of the
strategy and offerorOs proposed costs
planning (see Budget Summary
demonstrating Form, line #6, page C-
linkage throughout 5), the relationship of
Phase I, II and III. the proposed total
program costs (page C-5,
(2)Overall scientific item 10) to the expected
or technical merit available funding; and,
of the proposal or the proposed cost
unique and sharing (page C-5, item
innovative methods, 7) by the offeror as
approaches, or defined in paragraph
concepts 5.0, Resource Sharing,
Appendix A. The 4:30 pm
CST
evaluation of the
offerorOs cost sharing NASA will contact both
includes consideration successful and unsuccessful
of the following, in offerors.
order of importance:
cash (profit based or
venture capital), IR&D,
and in-kind
contributions. Cost and
cost sharing will be
evaluated for all
phases, but greatest
emphasis will be on
Phase I.
12. Cancellation of CAN
NASA reserves the right to
make no awards under this
CAN and, in the absence of
program funding or for any
other reason, to cancel
this CAN by having a notice
published in the Commerce
Business Daily. NASA
assumes no liability for
canceling the CAN or for
anyoneOs failure to receive
actual notice of
cancellation. Cancellation
may be followed by issuance
and synopsis of a revised
CAN, since amendment of the
CAN is normally not
permitted.
13. Schedule
The schedule for the
preparation, review and
selection of proposals for
this CAN is as follows:
October 19, 1994
Industry
Briefing and
release of
draft CAN
January 12, 1995 Release
of final CAN
February 24, 1995
Proposals
due
APPENDIX C
CAN PROPOSAL FORMAT
REUSABLE LAUNCH VEHICLE ADVANCED TECHNOLOGY DEMONSTRATOR: X33
APPENDIX C
PROPOSAL FORMAT
Please prepare your proposal in the following format:
Prefatory Material
Standard Cover Page
Proposal Summary Form
Budget Summary Form
Additional Detailed Budget Information Certifications (see
pages C-9, C-10, C-11)
Table of Contents
1.0 Project Description
1.1 Technical Statement of Work: Phase I
1.2 Program Milestone accomplishment: Phase I
1.3 Content, Approach, Expected Results (Subsection
titles apply to areas 1-3)
1.3.1 Business Investment Strategies and Cost
Planning
Phase I (Detailed)
Phase II (preliminary planning)
Phase III (preliminary planning)
1.3.2 Operations Planning
Phase I (Detailed)
Phase II (preliminary planning)
Phase III (preliminary planning)
1.3.3 System Design and Analysis
Phase I (Detailed)
Phase II (preliminary planning)
Phase III (preliminary planning)
2.0 Management Approach
3.0 Key Personnel
4.0 Facilities and Equipment
5.0 Proposed costs/cost sharing
6.0 Project Measurement
7.0 Cooperative Agreement Milestone Accomplishments/Payment
Schedule
8.0 Classified Information
9.0 Current and Pending Support
10.0 Special Matters
Reminder: Proposals shall not exceed 75 pages for areas
1-3 of Phase I; plus
25 pages for each separate proposal for each sub
area of area 4 (supporting technology
demonstrations), should an offeror choose to
propose on area 4.
These blanks for NASA use only:
Log No.:
Date Received:
Cooperative Agreement No.:
Reusable Launch Vehicle (RLV) Advanced
Technology Demonstrator (ATD): X-33
Proposal Cover Page
___________________________________________________
___________________________________________________
Proposal Title
_________________________________________
Program ManagerOs Signature and Date
__________________________________________________
___________________________________________________
Typed Name and Title of Program Manager
___________________________________________________
Program ManagerOs Telephone Number with Area Code
___________________________________________________
Name of Organization
_________________________________________
Authorizing Organization OfficialOs Signature and Date
___________________________________________________
___________________________________________________
Authorizing Organization OfficialOs Typed Name and Title
___________________________________________________
Authorizing Organization OfficialOs Telephone Number with
Area Code
___________________________________________________
___________________________________________________
___________________________________________________
___________________________________________________
___________________________________________________
Organization Address, including Postal Code and Country
Reusable Launch Vehicle (RLV)
Advanced Technology Demonstrator: X-33
Proposal Summary Form
1. Proposal Title:
2. Program ManagerOs Name, Organization, and Address:
3. Abstract: (200 to 300 wordsDnot to be replicated in the
body of the proposal)
BUDGET SUMMARY *
From ______________________ To __________________
FOR NASA USE ONLY
A B C
1. Direct Labor
(salaries, wages, __________ __________ __________
fringe benefits)
2. Total Direct Labor __________ __________ __________
Hours
3. Other Direct
Costs:
a. Subcontractors __________ __________ __________
b. Consultants __________ __________ __________
c. Equipment __________ __________ __________
d. Supplies __________ __________ __________
e. Travel __________ __________ __________
f. Other __________ __________ __________
4. Indirect Costs,
Including Percent __________ __________ __________
5. Other Applicable __________ __________ __________
Costs
6. Subtotal __________ __________ __________
__ __ __
7. Recipient's
Proposed Cost __________ __________ __________
Sharing
8. Recipient's
Proposed
Cooperative __________ __________ __________
Agreement Funding:
9. Cost of Government
Contributions (in- __________ __________ __________
kind)
10. Total Program __________ __________ __________
Costs
*Note:Fill out once for total Phase I (areas 1-3) and fill
out again once for each government FY. Fill out once
for each sub-area proposed under area 4 and fill out
again once for each government FY, if offerors propose
for area 4. On a separate summary rollup page, provide
information for line items 6 through 10 for Phase II
and Phase III respectively, showing total and spread
by government FY for each.
General Instructions
1. Provide a separate budget summary sheet for each year of
the proposed research.
2. Recipient estimated costs should be entered in Column A.
Columns B and C are for NASA use only. Column C represents
the approved cooperative agreement budget.
3. Provide in attachments to the budget summary the detailed
computations of estimates in each cost category, along with
any narrative explanation required to fully explain proposed
costs.
4. General-purpose, non-technical equipment is not allowable
as a direct cost to NASA cooperative agreements unless
specifically approved by the Contracting Officer.
5. In connection with indirect cost, provide the name,
address, and telephone number of the Federal agency and
official having cognizance over such matters for the
institution.
Line-by-Line Instructions
1. Direct Labor (salaries, wages and fringe benefits):
Attachments should list number and titles of personnel,
amount of time to be devoted to the cooperative agreement
and hourly rates of pay.
2. Total Direct Labor Hours: Show total number of estimated
labor hours required to accomplish the task.
3. Other Direct Costs:
a. Subcontractors - Attachments should describe the work
to be subcontracted, estimated amount, Recipient (if known),
and the reason for subcontracting this effort.
b. Consultants - Identify consultants to be used, why they
are necessary, time to be spent on the project, and rates of
pay (not to exceed the equivalent of the daily rate for GS18
in Federal service: $429 per day as of January 12, 1992,
excluding expenses and indirect cost).
c. Equipment - List separately and explain the need for
items of equipment exceeding $1,000. Describe the basis for
the estimated cost.
d. Supplies - Provide general categories of needed
supplies, the method of acquisition, estimated cost, and the
basis for the estimate.
e. Travel - List proposed trips individually, describe
their purpose in relation to the cooperative agreement,
provide dates, destination, and number of travelers where
known, and explain how the cost for each was derived.
f. Other - Enter the total of any other direct costs not
covered by 3a through 3e. Attach an itemized list explaining
the need for each item and the basis for the estimate.
4. Indirect Costs: Identify indirect cost rate(s) and
base(s) as approved by the cognizant Federal agency,
including the effective period of the rate. If unapproved
rates are used, explain why and include the computational
basis for the indirect expense pool and corresponding
allocation base for each rate.
5. Other Applicable Costs: Enter the total of any other
applicable costs. Attach an itemized list explaining the
need for each item and the basis for the estimate.
6. Subtotal -- Estimate Costs: Enter the sum of items 1,
3.a, through 3.f, 4, and 5.
7. Recipient's Proposed Cost Sharing: Enter the amount of
total proposed cost sharing. Cost sharing shall also be
described and categorized in separate attachment(s)
consistent with Section B, Paragraph 6 (k) (1).
8. RecipientOs Proposed Cooperative Agreement Funding: Net
cost to Government after cost sharing.
9. Costs of Government's Contribution: Enter the proposed
total costs of government's contribution which includes some
combination of facility modifications and resource
utilization (labor, propellants, etc.), based upon
commitment letters from Government.
10. Total Program Costs: Item 8 plus item 9.
LIST CURRENT AND PENDING SUPPORT
FROM ALL OTHER SOURCES
This list should include all current research support from
all other sources. It must include the proposed project and
all other research requiring a part or portion of the time
of the Program Manager and other senior personnel. The
number of person-months must be stated regardless of the
source of the support. Please provide this information in
the following form:
I. Name of Program Manager
A. Current Support
B. Pending Proposals (including renewal applications)
List separately for (A) and (B):
(1) Source of Support
(2) Project Title and Short Abstract
(3) Award Amount
(4) Period Covered by Award
(5) Person-Months
(6) Location where activity is/will be performed
II. Names of other key personnel
List (A) and (B) as shown above.
III. Other agencies to which the proposal, or parts thereof,
has been submitted.
Certification Regarding Drug-Free Workplace Requirements
Grantees Other Than Individuals
____________________________________________________________
_
This certification is required by the regulations
implementing the Drug-Free Workplace Act of 1988, 34 (CFR)
Part 85, Subpart F. The regulations, published in the
January 31, 1989 Federal Register, require certification by
grantees, prior to award, that they will maintain a drug
free workplace. The certification set out below is a
material representation of fact upon which reliance will be
placed when the agency determines to award the grant. False
certification or violation of the certification shall be
grounds for suspension of payments, suspension or
termination of grants, or government wide suspension or
debarment (see 34 CFR Part 85, Sections 85.615 and 85.620).
This grantee certifies that it will provide a drug-free
workplace by:
(a) Publishing a statement notifying employees that
the unlawful manufacture, dissemination dispensing,
possession or use of a controlled substance is
prohibited in the granteeOs workplace and specifying
the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing a drug-free awareness program to
inform employees about -
(1) The dangers of drug abuse in the workplace.
(2) The granteeOs policy of maintaining a drug-free
workplace.
(3) Any available drug counseling, rehabilitation,
and employee assistance programs.
(4) The penalties that may be imposed upon
employees for drug abuse violations in the
workplace.
(c) Making it a requirement that each employee to be
engaged in the performance of the grant be given a copy
of the statement required by paragraph (a).
(d) Notifying the employee in the statement required
by paragraph (a) that as a condition of employment
under the grant, the employee will -
(1) Abide by the terms of the statement.
(2) Notify the employer of any criminal drug
statute conviction for a violation occurring in the
workplace no later than five days after such
conviction.
(e) Notifying the agency within ten days after
receiving notice under subparagraph (d)(2) from an
employee or otherwise receiving actual notice of such
conviction.
(f) Taking one of the following actions, within 30
days of receiving notice under subparagraph (d)(2),
with respect to any employee who is so convicted -
(1) Taking appropriate personnel action against
such an employee, up to and including termination;
or
(2) Requiring such employee to participate
satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by
a Federal, State, or local health, law enforcement,
or other appropriate agency.
(g) Making a good faith effort to continue to maintain
a drug-free workplace through implementation of
paragraph (a), (b), (c), (e), and (f).
____________________________________________________________
__________________________
Organization Name (PR)/Award Number or Project
Name
____________________________________________________________
__________________________
Name and Title of Authorized Representative
____________________________________________________________
__________________________
Signature Date
ED 80-0004
Certification Regarding
Debarment, Suspension, and Other Responsibility Matters
Primary Covered Transactions
____________________________________________________________
_
This certification is required by the regulations
implementing Executive Order 12549, Debarment and
Suspension, 34 CFR Part 85, Section 85.510, ParticipantOs
responsibilities. The regulations were published as Part
VII of the May 26, 1988 Federal Register (pages 19160-
19211). Copies of the regulation may be obtained by
contacting the U.S. Department of Education, Grants and
Contracts Service, 400 Maryland Avenue, S. W. (Room 3633 GSA
Regional Office Building No. 3), Washington, DC 20202-4725,
telephone (202) 732-2505.
(1) The prospective primary participant certifies to the
best of its knowledge and belief, that it and its
principals:
(a) Are not presently debarred, suspended, proposed
for debarment, declared ineligible, or voluntarily
excluded from covered transactions by any Federal
department or agency.
(b) Have not within a three-year period preceding this
proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a
criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public
transaction; violation of Federal or State antitrust
statues or commission of embezzlement theft, forgery,
bribery, falsification or destruction of records,
making false statements, or receiving stolen property.
(c) Are not presently indicted for or otherwise
criminally or civilly charged by a governmental entity
(Federal, State or local) with commission of any of the
offenses enumerated in paragraph (1)(b) of this
certification.
(d) Have not within three-year period preceding this
application/proposal had one or more public
transactions (Federal, State, or local) terminated for
cause or default.
(2) Where the prospective primary participant is unable
to certify to any of the statements in this
certification, such prospective participant shall attach
an explanation to this proposal.
____________________________________________________________
__________________________
Organization Name PR/Award Number or Project
Name
____________________________________________________________
__________________________
Name and Title of Authorized Representative
____________________________________________________________
__________________________
Signature Date
ED Form GCS-008 (REV.12/88)
CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her
knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress
in connection with the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ODisclosure Form to Report
Lobbying,O in accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all sub
awards at all tiers (including subcontracts, sub-grants, and
contracts under grants, loans, and cooperative agreements)
and that all shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a
prerequisite for making or entering into this transaction
imposed by Section 1352, Title 31, U.S. Code. Any person
who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000, and not
more than $100,000 for each such failure.
____________________________________________________________ _
Signature and Date
____________________________________________________________ _
Name and Title of Authorized Representative
____________________________________________________________ _
Organization Name
This Page Intentionally Left Blank
APPENDIX D
MODEL COOPERATIVE AGREEMENT
REUSABLE LAUNCH VEHICLE
ADVANCED TECHNOLOGY DEMONSTRATOR:
X - 33
MODEL COOPERATIVE AGREEMENT
X-33
ADVANCED TECHNOLOGY DEMONSTRATOR
COOPERATIVE AGREEMENT (As Defined in 31 U.S.C. 6305) (The
Chiles Act)
BETWEEN
[NAME AND ADDRESS OF RECIPIENT]
AND
FOR RESEARCH ENTITLED:
Agreement No.: Effective Date:
Authority: 42 U.S.C. 2451 and NHB 5800.1C
Total Amount of Agreement: $ x,xxx,xxx (Includes Company
Contributions and Government Funding)
Total Estimated Government Funding of the Agreement: $
x,xxx,xxx
Funds Obligated: $ x,xxx,xxx
NASA Procurement Request No.:
Appropriation:
NASA/MSFC Points of Contact:
Technical Representative Contract Specialist
Payment Office
Financial Management Office, BF52
Marshall Space Flight Center, AL 35812
FOR [Name of Recipient] FOR The United States of
America
NASA
____________________________________________________________
__________
(Signature) Date (Signature) Date
(Name, Title) ( ), Contracting Officer
(Authorized Representative)
TABLE OF CONTENTS
1. PURPOSE
2. RESPONSIBILITIES
3. RESOURCE SHARING REQUIREMENTS
4. RESERVED
5. PATENT RIGHTS
6. RIGHTS IN DATA
7. TERM OF THIS AGREEMENT
8. NASA FUNDING/RESOURCE SHARING
9. DISPUTES
10. LIABILITY AND RISK OF LOSS
11. MILESTONE PAYMENTS
12. ADDITIONAL FUNDS
13. INCREMENTAL FUNDING
14. COST PRINCIPLES AND ACCOUNTING STANDARDS
15. RESPONSIBILITIES OF NASA CONTRACTING OFFICER'S
REPRESENTATIVE
16. PUBLICATIONS AND REPORTS
17. SUSPENSION OR REVOCATION
18. EQUIPMENT AND OTHER PROPERTY
19. CIVIL RIGHTS
20. SUBCONTRACTS
21. CLEAN AIR-WATER POLLUTION CONTROL ACTS
22. DEBARMENT AND SUSPENSION AND DRUG-FREE WORKPLACE 23.
FOREIGN NATIONAL EMPLOYEE INVESTIGATIVE REQUIREMENTS 24.
RESTRICTIONS ON LOBBYING
25. TRAVEL AND TRANSPORTATION
26. OFFICIALS NOT TO BENEFIT
27. ELECTRONIC FUNDS TRANSFER PAYMENT METHODS
28. RETENTION AND EXAMINATION OF RECORDS
29. RESTRICTIONS ON SALE OR TRANSFER OF TECHNOLOGY TO
FOREIGN FIRMS OR INSTITUTIONS
30. RECIPIENT KEY PERSONNEL
31. MODIFICATION
ATTACHMENT A: RESPONSIBILITIES
ATTACHMENT B: PAYMENT MILESTONES
ATTACHMENTS I - IV: PATENT RIGHTS (LARGE BUSINESS), PATENT
RIGHTS (SMALL BUSINESS), REQUEST FOR
WAIVER OR RIGHTS, DESIGNATION OF NEW
TECH AND PATENT REPRESENTATIVE
1. Purpose
The intent of this NASA Cooperative Agreement is to
stimulate the development of a demonstrator, X-33, for
technologies required for a low-cost next generation
reusable space launch system. The X-33 must adequately
demonstrate the key design and operational aspects of a
reusable space launch system so as to reduce the risk to the
private sector in developing such a commercially viable
launch system.
2. Responsibilities
This cooperative agreement will include substantial
NASA participation during performance of the effort. NASA
and the Recipient agree to the following Responsibilities, a
statement of cooperative interactions to occur during the
performance of this effort. NASA and the Recipient will
exert all reasonable best efforts to fulfill the
responsibilities stated below, and to accomplish the purpose
of this cooperative agreement.
a. NASA and the Recipient shall each be responsible
for particular aspects of project performance as set forth
in Attachment A - Responsibilities.
b. Because NASA contractors may obtain access to
certain intellectual property arising from work for NASA in
support of this agreement, NASA will inform Recipient, in
writing whenever NASA intends to use NASA contractors to
perform engineering services in support of this agreement.
3. Resource Sharing Requirements
a. NASA and the Recipient will share in providing the
resources required for performance under this agreement.
The NASA funding, and the dollar value of Recipient's
matching in-kind and/or cash contributions, are specified
under Clause 8 - NASA Funding/Resource Sharing. Criteria and
procedures for the allowability and allocability of costs,
both that funded by NASA and shared by the Recipient as a
cash contribution, are as defined in FAR Part 31, entitled
"Contract Cost Principles and Procedures." (Part 31.2,
Contracts with Commercial Organizations, Part 31.3,
Contracts with Educational Institutions, Part 31.6,
Contracts with State, Local and Federally recognized Indian
Tribal Government, and Part 31.7, Contracts with Nonprofit
Organizations). In-kind contributions by the Recipient are
governed by OMB Circular A-110, Section 23, entitled "Cost
Sharing or Matching."
b. The Recipient's share shall not be charged to the
Government under this agreement or under any other contract,
grant, or cooperative agreement, except that the Recipient's
contribution may be considered as allowable IR&D costs
pursuant to NFS 31.205-18 (59 Fed. Ref. 22521, May 2, 1994).
c. NASA and the Recipient shall periodically (at least
annually) review actual versus planned resource
contributions to verify that reasonable efforts are being
made by the Recipient to provide the agreed to resource
contributions.
d. All in-kind contributions by NASA and the Recipient
shall be clearly delineated under Attachment A -
Responsibilities.
4. Reserved
5. Patent Rights
5.1 Definitions
a. "Contract" means any actual or proposed contract,
cooperative agreement, agreement, understanding, or other
arrangement, and includes any assignment, substitution of
parties, or subcontract executed or entered into thereunder.
b. "Invention" means any invention or discovery which
is or may be patentable or otherwise protectable under Title
35 of the United States Code.
c. "Made" when used in relation to any invention means
the conception or first actual reduction to practice such
invention.
d. "Nonprofit organization" means a domestic
university or other institution of higher education or an
organization of the type described in section 501(c)(3) of
the Internal Revenue Code of 1954 (26 U.S.C. 501(c)) and
exempt from taxation under section 501(a) of the Internal
Revenue Code (26 U.S.C. 501(a)), or any domestic nonprofit
scientific or educational organization qualified under a
State nonprofit organization statute.
e. "Practical application" means to manufacture, in
the case of a composition or product; to practice, in the
case of a process or method; or to operate, in the case of a
machine or system; and, in each case, under such conditions
as to establish that the invention is being utilized and
that its benefits are, to the extent permitted by law or
Government regulations, available to the public on
reasonable terms.
f. "Recipient" as used in the clause, Patent Rights,
means; (1) the Consortium, where the Consortium has been
formed into a separate legal entity by the non-U.S.
Government parties to this cooperative agreement for
carrying out their responsibilities under this cooperative
agreement; and/or Consortium Member, where a Consortium
Member is each non-U.S. Government party to this
cooperative agreement as set forth in the articles of
collaboration or partnership agreement of the Consortium;
and/or other entities having a contractual relationship with
the Consortium or Consortium Members that are assigned or
contracted to perform specified participant activities under
this cooperative agreement; or
(2) The firm, where a single firm has entered into this
cooperative agreement with NASA; and/or other entities
having a contractual relationship with the firm that are
assigned or contracted to perform specified participant
activities under this cooperative agreement.
Recipient shall mean "contractor" for purposes of the PATENT
RIGHTS - RETENTION BY CONTRACTOR clauses (Attachments I
IV).
g. "Small Business Firm" means a domestic small
business concern as defined at 15 U.S.C. 632 and
implementing regulations of the Administrator of the Small
Business Administration. (For the purpose of this
definition, the size standard contained in 13 CFR 121.3-8
for small business contractors and in 13 CFR 121.3-12 for
small business subcontractors will be used.)
h. "Subject Invention" means any invention of a
Recipient and/or Government employee conceived or first
actually reduced to practice in the performance of work
under this contract.
5.2 Allocation of Principal Rights
a. Recipient Inventions
For other than Small Business Firms or Nonprofit
organization Recipients, the "PATENT RIGHTS - RETENTION BY
RECIPIENT (LARGE BUSINESS)" clause applies (Attachment I).
For Small Business Firm and Nonprofit organization
Recipients, the "PATENT RIGHTS RETENTION BY RECIPIENT (SMALL
BUSINESS)" clause applies (Attachment II).
b. NASA Inventions
NASA will use reasonable efforts to report inventions
made by NASA employees as a consequence of, or which bear a
direct relation to, the performance of specified NASA
activities under this cooperative agreement and, upon timely
request, will grant the Recipient the first option to
acquire either an exclusive or partially exclusive,
revocable, royalty-bearing license, on terms to be
subsequently negotiated, for any patent applications and
patents covering such inventions, and subject to the license
reserved in paragraph 5.2 (e)(1), below. At a minimum, the
Recipient or each Consortium Member (if applicable) as
determined by the Consortiums' Articles of Collaboration or
partnership agreement, is hereby granted a revocable,
nonexclusive, royalty-free license in each patent
application filed in any country on a subject invention and
any resulting patent in which the Government acquires title.
Each license extends to its subsidiaries and affiliates, if
any, within the corporate structure of the license and
includes the right to grant sublicenses of the same scope to
the extent the licensee was legally obligated to do so at
the time the cooperative agreement was awarded.
c. NASA Contractor Inventions
In the event NASA contractors are tasked to perform
work in support of specified NASA activities under this
cooperative agreement and inventions are made by contractor
employees, and NASA has the right to acquire or has acquired
title to such inventions, NASA use reasonable efforts to
report such inventions and, upon timely request, will grant
the Recipient or designated Consortium Member (if
applicable), the first option to acquire either an exclusive
or partially exclusive, revocable, royalty-bearing license,
upon terms to be subsequently negotiated, for any patent
applications and patents covering such inventions, and
subject to the license reserved in paragraph 5.2 (e)(2),
below. At a minimum, the Recipient or each Consortium
Member (if applicable), as determined by the Consortiums'
Articles of Collaboration or partnership agreement, is
hereby granted a revocable, nonexclusive, royalty-free
license in each patent application filed in any country on a
subject invention and any resulting patent in which the
Government acquires title. Each license extends to its
subsidiaries and affiliates, if any, within the corporate
structure of the licensee and includes the right to grant
sublicenses of the same scope to the extent the Recipient
was legally obligated to do so at the time the cooperative
agreement was awarded.
d. Joint NASA and Recipient Inventions
NASA and Recipient agree to use reasonable efforts to
identify and report to each other any inventions made
jointly between NASA employees (or employees of NASA
contractors) and employees of Recipient.
(1) For other than small business firms and nonprofit
organizations NASA may agree that the United States will
refrain from exercising its undivided interest in a manner
inconsistent with Recipient's commercial interest and to
cooperate with Recipient in obtaining patent protection on
its undivided interest on any waived inventions subject,
however, to the condition that Recipient makes its best
efforts to bring the invention to the point of practical
application at the earliest practicable time. In the event
that the Administrator determines that such efforts are not
undertaken, the Administrator may void NASA's agreement to
refrain from exercising its undivided interest and grant
licenses for the practice of the invention so as to further
its development. In the event that the Administrator
decides to void NASA's agreement to refrain from exercising
its undivided interest and grant licenses for this reason,
notice shall be given to the Inventions and Contributions
Board as to why such action should not be taken. Either
alternative will be subject to the applicable license or
licenses reserved in paragraph 5.2 (e) below.
(2) For small business firms and nonprofit
organization, NASA shall assign or transfer whatever rights
it may acquire in a subject invention from its employee to
the Recipient as authorized by 35 U.S.C. 202(e).
e. Minimum rights reserved by the Government
Any license or assignment granted Recipient pursuant to
paragraphs 5.2 (b), 5.2 (c) or 5.2(d) above will be subject
to the reservation of the following licenses:
(1) As to inventions made solely or jointly by NASA
employees, the irrevocable, royalty-free right of the
Government of the United States to practice and have
practiced the invention by or on behalf of the United
States; and
(2) As to inventions made solely by, or jointly with,
employees of NASA contractors, the rights in the Government
of the United States as set forth in (1) above, as well as
the revocable, nonexclusive, royalty free license in the
contractor as set forth in 14 CFR 1245.108.
f. Preference for United States manufacture. The
Recipient agrees that any products embodying subject
inventions or produced through the use of subject inventions
shall be manufactured substantially in the United States.
However, in individual cases, the requirement to manufacture
substantially in the United States may be waived by NASA
upon a showing by the Recipient that under the circumstances
domestic manufacture is not commercially feasible.
g. Work performed by the Recipient under this
cooperative agreement is considered undertaken to carry out
a public purpose of support and/or stimulation rather than
for acquiring property or services for the direct benefit or
use of the Government. Accordingly, such work by the
Recipient is not considered "by or for the United States"
and the Government assumes no liability for infringement by
the Recipient under 28 U.S.C. 1498.
6. Rights in Data
6.1 Definitions
"Data," means recorded information, regardless of form,
the media on which it may be recorded, or the method of
recording. The term includes, but is not limited to, data
of a scientific or technical nature, computer software and
documentation thereof, and data comprising commercial and
financial information.
6.2 Data Categories
a. General: Data exchanged between NASA and Recipient
under this cooperative agreement will be exchanged without
restriction as to its disclosure, use or duplication except
as otherwise provided below in this provision.
b. Background Data: In the event it is necessary for
Recipient to furnish NASA with Data which existed prior to,
or produced outside of, this cooperative agreement, and such
Data embodies trade secrets or comprises commercial or
financial information which is privileged or confidential,
and is so identified with a suitable notice or legend, the
Data will be maintained in confidence and disclosed and used
by NASA and its contractors (under suitable protective
conditions) only for the purpose of carrying out NASA's
responsibilities under this cooperative agreement. Upon
completion of activities under this agreement, such Data
will be disposed of as requested by Recipient.
c. Data first produced by Recipient: In the event
Data first produced by Recipient in carrying out Recipient's
responsibilities under this cooperative agreement is
furnished to NASA, and Recipient considers such Data to
embody trade secrets or to comprise commercial or financial
information which is privileged or confidential, and such
Data is so identified with a suitable notice or legend, the
Data will be maintained in confidence and disclosed and used
by ["NASA" or "the Government," as appropriate] and its
contractors (under suitable protective conditions) only for
[insert appropriate purpose; for example: experimental;
evaluation; research; development, etc.] by or on behalf of
["NASA" or "the Government" as appropriate]. In order that
[ONASAO or the OGovernmentO, as appropriate] and its
contractors may exercise the right to use such Data for the
purposes designated above, NASA, upon request to the
Recipient, shall have the right to review and request
delivery of Data first produced by Recipient. Delivery shall
be made within a time period specified by NASA.
d. Data first produced by NASA: As to Data first
produced by NASA in carrying out NASA's responsibilities
under this cooperative agreement and which Data would embody
trade secrets or would comprise commercial or financial
information that is privileged or confidential if obtained
from the Recipient such Data will, to the extent permitted
by law, be appropriately marked with a notice or legend and
maintained in confidence for a period of ( ) years [INSERT A
PERIOD UP TO 5 YEARS] after development of the information,
with the express understanding that during the aforesaid
period such Data may be disclosed and used (under suitable
protective conditions) by or on behalf of the Government for
Government purposes only, and thereafter for any purpose
whatsoever without restriction on disclosure and use.
Recipient agrees not to disclose such Data to any third
party without NASA's written approval until the
aforementioned restricted period expires.
e. Copyright. In the event Data is exchanged with a
notice indicating that the Data is protected under copyright
as a published, copyrighted work, or are deposited for
registration as a published work in the U.S. Copyright
Office, the following paid-up licenses shall apply:
(1) If it is indicated on the data that the data
existed prior to, or was produced outside of, this
agreement, the receiving party and others acting on its
behalf, may reproduce, distribute, and prepare derivative
works for the purpose of carrying out the receiving party's
responsibilities under this operative agreement; and
(2) If the furnished data does not contain the
indication of (1) above, it will be assumed that the data
was first produced under this agreement, and the receiving
party and others acting on its behalf, shall be granted a
paid up, nonexclusive, irrevocable, worldwide license for
all such Data to reproduce, distribute copies to the public,
prepare derivative works, and perform publicly and display
publicly, by or on behalf of the receiving party. For Data
that is computer software, the right to distribute shall be
limited to potential users in the United States.
When claim is made to copyright, the Recipient shall affix
the applicable copyright notice of 17 U.S.C. 401 or 402 and
acknowledgment of Government sponsorship to the data when
and if the data are delivered to the Government.
f. Oral and visual information. If information which
the Recipient considers to embody trade secrets or to
comprise commercial or financial information which is
privileged or confidential is disclosed orally or visually
to NASA, such information must be reduced to tangible,
recorded form (i.e., converted into Data as defined herein),
identified and marked with a suitable notice or legend, and
furnished to NASA within 10 days after such oral or visual
disclosure, or NASA shall have no duty to limit or restrict,
and shall not incur any liability for, any disclosure and
use of such information.
g. Disclaimer of Liability. Notwithstanding the
above, NASA shall not be restricted in, nor incur any
liability for, the disclosure and use of:
(1) Data not identified with a suitable notice or
legend as set in paragraph 7.2.c. above; nor
(2) Information contained in any Data for which
disclosure and use is restricted under paragraphs 6.2.c. and
d. above, if such information is or becomes generally known
without breach of the above, is known to or is generated by
NASA independently of carrying out responsibilities under
this agreement, is rightfully received from a third party
without restriction, or is included in data which
Participant has, or is required to furnish to the U.S.
Government without restriction on disclosure and use.
6.3 Marking of Data
Any Data delivered under this cooperative agreement, by
NASA or the Recipient, shall be marked with a suitable
notice or legend indicating the data was generated under
this cooperative agreement.
6.4. Public Information Data
Notwithstanding 6.2(c) and (d) above, the parties agree
that the following data will not be restricted (i.e., public
information):
____________________________________________________________
__________
____________________________________________________________
__________
____________________________________________________________
__________
6.5 Lower Tier Agreements
The Recipient shall include this clause 6, suitably
modified to identify the parties, in all contracts or lower
tier agreements, regardless of tier, for experimental,
developmental, or research work.
7. Term of This Agreement
The agreement commences on the effective date and continues
through _____________________. If all resources are
expended prior to the duration, the parties have no
obligation to continue performance and may elect to cease at
that point. The parties may extend the expiration date if
additional time is required to complete the milestones at no
increase in Government resources. Provisions of this
Agreement, which, by their express terms or by necessary
implication, apply for periods of time other than that
specified as the agreement term, shall be given effect,
notwithstanding expiration of the term of the agreement.
8. NASA Funding/Resource Sharing
NASA and the Recipient anticipate resource sharing at
approximately the following levels, for the period of the
Cooperative Agreement.
NASA Funding Recipient Cash Recipient In-kind
$ __________ $ ___________ $ _____________
9. Disputes
The parties to this agreement shall communicate with
one another in good faith and in a timely and cooperative
manner when raising issues under this provision.
Any dispute, which for the purposes of this clause
includes any disagreement or claim, between NASA and the
Recipient concerning questions of fact or law arising from
or in connection with this agreement and whether or not
involving alleged breach of this agreement, may be raised
only under this provision.
Whenever a dispute arises, the parties shall attempt to
resolve the issues involved by discussion and mutual
agreement as soon as practicable. In no event shall a
dispute which arose more than three (3) months prior to the
notification made under the following paragraph of this
provision constitute the basis for relief under this article
unless NASA waives this requirement.
Failing resolution by mutual agreement, the aggrieved
party shall document the dispute by notifying the other
party in writing of the relevant facts, identify unresolved
issues, and specify the clarification or remedy sought.
Within five (5) working days after providing written notice
to the other party, the aggrieved party may, in writing,
request a decision by the dispute resolution official, the
Space Transportation Division Director, Office of Space
Access and Technology, NASA Code XX. The other party shall
submit a written position on the matters in dispute within
thirty (30) calendar days after being notified that a
decision has been requested. The dispute resolution
official shall conduct a review of the matters in dispute
and render a decision in writing within thirty (30) calendar
days of receipt of such written position. Such resolution
is not subject to further administrative review and, to the
extend permitted by law, shall be final and binding.
10. Liability and Risk of Loss
With regard to activities undertaken pursuant to this
agreement, neither party shall make any claim against the
other, employees of the other, the other's related entities
(e.g., contractors, subcontractors, etc.), or employees of
the other's related entities for any injury to or death of
its own employee or employees of its related entities, or
for damage to or loss of its own property or that of its
related entities, whether such injury, death, damage or loss
arises through negligence or otherwise, except in the case
of willful misconduct.
To the extent that a risk of damage or loss is not
dealt with expressly in this agreement, each party's
liability to the other party arising out of this Agreement,
whether or not arising as a result of an alleged breach of
this Agreement, shall be limited to direct damages only, and
shall not include any loss of revenue or profits or other
indirect or consequential damages.
11. Milestone Payments
a. By submission of the first invoice, the Recipient
is certifying that it has an established accounting system
which complies with standards promulgated by the Cost
Accounting Standards Board or generally accepted accounting
principles, with the requirements of this agreement, and
that appropriate arrangements have been made for receiving,
distributing, and accounting for funds received under this
agreement.
b. Payments will be made upon the completion of the
milestones listed in Attachment B - Payment Milestones.
c. The contractor is not entitled to partial payment
for partial completion of a payment milestone.
d. Upon submission by the Recipient of invoices in
accordance with the provisions of the agreement and upon
certification by NASA of completion of the payable
milestone, the Contracting Officer shall authorize payment.
NASA will make best efforts to make payments on such
invoices within 30 days of receipt.
e. Invoices hereunder shall be submitted in the
original and five copies to: NASA/MSFC, Financial
Management Office, BF52.
f. Upon completion or revocation of this agreement,
the Recipient shall identify any milestone payments received
in excess of NASA's share of allowable and allocable costs
incurred. The parties may mutually agree to continue
performance using the excess funds or the Government may
require a refund.
12. Additional Funds
Pursuant to this agreement, NASA is providing a fixed
amount of funding for activities to be undertaken under the
terms of this cooperative agreement. NASA is under no
obligation to provide additional funds. Under no
circumstances shall the Recipient undertake any action which
could be construed to imply an increased commitment on the
part of NASA under this cooperative agreement.
13. Incremental Funding
This cooperative agreement is incrementally funded.
The Government's obligation is limited to funds obligated on
the cover page of this agreement or modification thereto.
14. Cost Principles and Accounting Standards
The expenditure of Government funds and the
allowability of costs recognized as resource contribution by
the Recipient (See Clause 3, Resource Sharing Requirements)
shall be governed by the FAR cost principles.
15. Responsibilities of the NASA Contracting Officer's
Representatives
Designation of the NASA Contract Specialist and
Technical Representative are listed on the cooperative
agreement cover sheet.
The Contract Specialist shall serve as NASA's
authorized representative for the administrative elements of
all work to be performed under the agreement.
The Technical Representative shall have the authority
to issue written Technical Advice which suggests redirecting
the project work (e.g., by changing the emphasis among
different tasks), or pursuing specific lines of inquiry
likely to assist in accomplishing the effort. The Technical
Representative shall have the authority to certify
completion of milestones for payment of invoices and verify
performance of Recipient responsibilities. The Technical
Representative is not authorized to issue and the Recipient
shall not follow any Technical Advice which constitutes work
which is not contemplated under this agreement; which in any
manner causes an increase or decrease in the resource
sharing or in the time required for performance of the
project; which has the effect of changing any of the terms
or conditions of the Cooperative Agreement; or which
interferes with the Recipient's right to perform the project
in accordance with the terms and conditions of this
Cooperative Agreement.
16. Publications and Reports
a. NASA encourages the widest practicable
dissemination of research results at all times during the
course of the investigation consistent with the other terms
of this agreement.
b. All information disseminated as a result of the
cooperative agreement, shall contain a statement which
acknowledges NASA's support and identifies the cooperative
agreement by number.
c. Prior approval by the NASA Technical Representative
is required only where the Recipient requests that the
results of the research be published in a NASA scientific or
technical publication. Two copies of each draft publication
shall accompany the approval request.
d. For any technical reporting included under
Attachment A - Responsibilities, an original and two copies,
one of which shall be of suitable quality to permit micro
reproduction, shall be sent by Recipient as follows:
(1)Original--Contracting Officer. (2)Copy--Technical
Representative (3)Micro-reproducible copy--NASA
Center for
Aerospace Information (CASI), Attn: Accessioning
Department, 800 Elkridge Landing Road, Linthicum
Heights, Maryland 21090-2934.
17. Suspension or Revocation
a. This cooperative agreement may be suspended by NASA
or revoked in whole or in part by the Recipient or by NASA
after discussions between the parties. Suspension or
revocation shall be by written notice to the authorized
contractual representative of the other party. The
Recipient shall take all reasonable and necessary steps to
stop work and minimize further incurrence of costs after the
suspension or revocation takes effect.
b. Suspension of the cooperative agreement may occur
when the Recipient has failed to comply with the terms of
the cooperative agreement. Upon reasonable notice to the
Recipient, NASA may temporarily suspend the cooperative
agreement and withhold further payments, pending corrective
action by the Recipient or a decision by NASA to revoke the
cooperative agreement..
c. In the event of revocation, the Recipient shall be
paid milestones completed consistent with Article 11-
Milestone Payments. In addition, the Recipient shall be paid
a proportionate amount of the milestone payment for any
milestone partially completed. Said proportionate amount
shall be equal to the percentage of completion of the
milestone in progress, as determined jointly by NASA and the
Recipient. However, the GovernmentOs obligation is limited
to funds obligated on the cover page of this agreement or
modification thereto. In the event that the parties cannot
agree as to percentage of completion, the parties will turn
to the Disputes Article of this Agreement for resolution.
18. Equipment and Other Property
a. NASA cooperative agreements permit acquisition of
technical property required for the conduct of research.
Acquisition of property costing in excess of $5,000 and not
included in the approved proposal budget requires the prior
approval of the Contracting Officer unless the item is
merely a different model of an item shown in the approved
proposal budget.
b. Recipients may not purchase, as a direct cost to
the cooperative agreement, items of non-technical property,
examples of which include but are not limited to office
equipment and furnishings, air conditioning equipment,
reproduction and printing equipment, motor vehicles, and
automatic data processing equipment. If the Recipient
requests an exception, the Recipient shall submit a written
request for Contracting Officer approval, prior to purchase
by the Recipient, stating why the Recipient cannot charge
the property to indirect costs.
c. Under no circumstances shall cooperative agreement
funds be used to acquire land or any interest therein, to
acquire or construct facilities (as defined in FAR 45.301),
or to procure passenger carrying vehicles.
d. The government shall have title to equipment and
other personal property acquired with government funds. Such
property shall be disposed of pursuant to FAR Part 45.603.
The Recipient shall have title to equipment and other
personal property acquired with Recipient funds. Such
property shall remain with the Recipient at the conclusion
of the cooperative agreement.
e. Title to Government-furnished equipment (including
equipment, title to which has been transferred to the
Government pursuant to 14 C.F.R. S 1260.408(d) prior to
completion of the work) will remain with the Government.
f. The Recipient shall establish and maintain property
management standards for nonexpendable personal property and
otherwise manage such property as set forth in 14 C.F.R. S
1260.507.
g. Annually by October 31, the Recipient shall submit
2 copies of an inventory report which lists all Government
furnished equipment in their custody as of September 30.
The Recipient shall submit 2 copies of a final inventory
report by 60 days after the expiration date of the
cooperative agreement. The final inventory report shall
contain a list of all Recipient-acquired equipment and a
list of Government-furnished equipment. Annual and final
inventory reports shall reflect the elements required in 14
C.F.R. S 1260.507(a)(1) and be submitted to the contracting
officer. When Government-furnished equipment is no longer
needed, the Recipient shall notify the Contracting Officer,
who will provide disposition instructions.
19. Civil Rights (Jun. 1993)
Work on NASA cooperative agreements is subject to the
provisions of Title VI of the Civil Rights Act of 1964
(Public Law 88-352; 42 U.S.C. 2000d-l), Title IX of the
Education Amendments of 1972 (20 U.S.C. 1680 et seq.),
Section 504 of the Rehabilitation Act of 1973, as amended
(29 U.S.C. 794), the Age Discrimination Act of 1975 (42
U.S.C. 6101 et seq.), and the NASA implementing regulations
(14 CFR parts 1250, 1251, and 1252).
20. Subcontracts
a. NASA Contracting Officer consent is required for
subcontracts over $100,000 and may be requested through the
Contract Specialist. The Recipient shall provide the
following information to the Contract Specialist for
forwarding to the Contracting Officer:
(1) A copy of the proposed subcontract.
(2) Basis for subcontractor selection.
(3) Justification for lack of competition when
competitive bids or offers are not obtained. (4)
Basis for award cost or award price.
b. The Recipient shall utilize small business
concerns, small disadvantaged business concerns,
Historically Black Colleges and Universities, minority
educational institutions, and women-owned small business
concerns as subcontractors to the maximum extent
practicable.
21. Clean Air-Water Pollution Control Acts
If this cooperative agreement or supplement thereto is
in excess of $100,000, the Recipient agrees to notify the
Agreement Administrator promptly of the receipt, whether
prior or subsequent to the Recipient's acceptance of this
cooperative agreement, of any communication from the
Director, Office of Federal Activities, Environmental
Protection Agency (EPA), indicating that a facility to be
utilized under or in the performance of this cooperative
agreement or any subcontract thereunder is under
consideration to be listed on the EPA "List of Violating
Facilities" published pursuant to 40 CFR 15.20. By
acceptance of a cooperative agreement in excess of $100,000,
the Recipient (a) stipulates that any facility to be
utilized thereunder is not listed on the EPA "List of
Violating Facilities" as of the date of acceptance; (b)
agrees to comply with all requirements of Section 114 of the
Clean Air Act, as amended (42 U.S.C. 1857 et seq. as amended
by Public Law 91-604) and Section 308 of the Federal Water
Pollution Control Act, as amended (33 U.S.C. 1251 et seq. as
amended by Public Law 92-500) relating to inspection,
monitoring, entry, reports and information, and all other
requirements specified in the aforementioned Sections, as
well as all regulations and guidelines issued thereunder
after award of and applicable to the cooperative agreement;
and (c) agrees to include the criteria and requirements of
this clause in every subcontract hereunder in excess of
$100,000, and to take such action as the Contract
Administrator may direct to enforce such criteria and
requirements.
22. Debarment and Suspension and Drug-Free Workplace (Feb.
1992)
NASA cooperative agreements are subject to the
provisions of 14 CFR part 1265, Government-wide Debarment
and Suspension (Nonprocurement) and Government-wide
requirements for Drug-Free Workplace, unless excepted by 14
CFR SS 1265.110 or 1265.610. The certifications required by
that regulation must accompany renewal proposals.
23. Foreign National Employee Investigative Requirements
(May 1992)
a. The Recipient shall submit a properly executed Name
Check Request (NASA Form 531) and a completed applicant
fingerprint card (Federal Bureau of Investigation Card FD
258) for each foreign national participant requiring access
to a NASA Installation. These documents shall be submitted
to the Installation's Security Office at least 75 days prior
to the estimated duty date. The NASA Installation Security
Office will request a National Agency Check (NAC) for
foreign national employees requiring access to NASA
facilities. The NASA Form 531 and fingerprint card may be
obtained from the NASA Installation Security Office.
b. The Installation Security Office will request from
NASA Headquarters, International Relations Division (Code
IR), approval for each foreign national's access to the
Installation prior to providing access to the Installation.
If the access approval is obtained from NASA Headquarters
prior to completion of the NAC and performance of the
cooperative agreement requires a foreign national to be
given access immediately, the Technical Representative may
submit an escort request to the Installation's Chief of
Security.
24. Restrictions on Lobbying (Apr. 1990)
This award is subject to the provisions of 14 CFR part
1271 "New Restrictions on Lobbying."
25. Travel and Transportation
a. For travel funded by the government under this
agreement, Section 5 of the International Air Transportation
Fair Competitive Practices Act of 1974 (49 App. U.S.C. 1517)
(Fly America Act) requires the Recipient to use U.S.-flag
air carriers for international air transportation of
personnel and property to the extent that service by those
carriers is available.
b. Department of Transportation regulations, 49 CFR
part 173, govern Recipient shipment of hazardous materials
and other items.
26. Officials Not to Benefit
No member of or delegate to Congress, or resident
commissioner, shall be admitted to any share or part of this
agreement, or to any benefit arising from it. However, this
clause does not apply to this agreement to the extent that
this agreement is made with a corporation for the
corporation's general benefit.
27. Electronic Funds Transfer Payment Methods
Payments under this cooperative agreement will be made
by the Government either by check or electronic funds
transfer (through the Treasury Fedline Payment System
(FEDLINE) or the Automated Clearing House (ACH), at the
option of the Government. After award, but no later than 14
days before an invoice is submitted, the Recipient shall
designate a financial institution for receipt of electronic
funds transfer payments, and shall submit this designation
to the Contracting Officer or other Government official, as
directed.
a. For payment through FEDLINE, the Recipient shall
provide the following information:
(1) Name, address, and telegraphic abbreviation of the
financial institution receiving payment.
(2) The American Bankers Association 9-digit
identifying number for wire transfers of the financing
institution receiving payment if the institution has access
to the Federal Reserve Communication System.
(3) Payee's account number at the financial
institution where funds are to be transferred.
(4) If the financial institution does not have access
to the Federal Reserve Communications System, name, address,
and telegraphic abbreviation of the correspondent financial
institution through which the financial institution
receiving payment obtains wire transfer activity. Provide
the telegraphic abbreviation and American Bankers
Association identifying number for the correspondent
institution.
b. For payment through ACH, the Recipient shall
provide the following information:
(1) Routing transit number of the financial
institution receiving payment (same as American Bankers
Association identifying number used for FEDLINE).
(2) Number of account to which funds are to be
deposited.
(3) Type of depositor account ("C" for checking, "S"
for savings).
(4) If the Recipient is a new enrollee to the ACH
system, a "Payment Information Form," SF 3881, must be
completed before payment can be processed.
c. In the event the Recipient, during the performance
of this cooperative agreement, elects to designate a
different financial institution for the receipt of any
payment made using electronic funds transfer procedures,
notification of such change and the required information
specified above must be received by the appropriate
Government official 30 days prior to the date is to become
effective.
d. The documents furnishing the information required
in this clause must be dated and contain the signature,
title, and telephone number of the Recipient official
authorized to provide it, as well as the Recipient's name
and contract number.
e. Failure to properly designate a financial
institution or to provide appropriate payee bank account
information may delay payments of amounts otherwise properly
due.
28. Retention and Examination of Records
Financial records, supporting documents, statistical
records, and all other records (or microfilm copies)
pertinent to this cooperative agreement shall be retained
for a period of 3 years, except that (1) if any litigation,
claim, or audit is started before the expiration of the 3
year period, the records shall be retained until all
litigation, claims, or audit findings involving the records
have been resolved, and (2) records for nonexpendable
property acquired with cooperative agreement funds shall be
retained for 3 years after its final disposition. The
retention period starts from the date of the submission of
the final invoice. The Administrator of NASA and the
Comptroller General of the United States, or any of their
duly authorized representatives, shall have access to any
pertinent books, documents, papers, and records of the
Recipient and of subcontractors to make audits,
examinations, excerpts, and transcripts. All provisions of
this clause shall apply to any subcontractor performing
substantive work under this cooperative agreement.
29. Restrictions on Sale or Transfer of Technology to
Foreign Firms or Institutions
The parties agree that access to technology
developments under this Agreement by foreign firms or
institutions must be carefully controlled. For purposes of
this clause, a transfer includes a sale of the company, or
sales or licensing of the technology. Transfers do not
include:
(i) sales of products or components,
(ii) licenses of software or documentation related to
sales of products or components, or
(iii) transfers to foreign subsidiaries of the
Recipient for purposes related to this Agreement.
The Recipient shall provide timely notice to the
Contracting Officer in writing of any proposed transfer of
technology developed under this Agreement. If NASA
determines that the transfer may have adverse consequences
to the national security interests of the United States, or
to the establishment of a robust United States industry,
NASA and the Recipient shall jointly endeavor to find
alternatives to the proposed transfer which obviate or
mitigate potential adverse consequences of the transfer.
30. Recipient Key Personnel
The Recipient personnel specified in this clause are
considered to be essential to the project. Before diverting
any key person to other work, the Recipient shall notify the
Contracting Officer reasonably in advance and shall submit
justification (including proposed substitutions) in
sufficient detail to permit evaluation of the impact on the
project. No key person may be substituted without the
Contracting Officer's approval.
Name: ________________ - Program Manager ________________
- _______________
31. Modification
During the term of this Agreement, in the interest of
achieving program objectives, the parties may agree to
changes which affect the responsibilities, milestones, or
other provisions of this Agreement. In the event of a delay
in performance by either party, a modification to the
agreement may be executed to remedy the effect of the delay
upon the other party. Any changes to this Agreement will be
accomplished by a bilateral modification signed by the
Contracting Officer and the Recipient.
ATTACHMENTS
A. RESPONSIBILITIES
B. PAYMENT MILESTONES
I. PATENT RIGHTS - RETENTION BY THE CONTRACTOR (LARGE
BUSINESS)
II. PATENT RIGHTS - RETENTION BY THE CONTRACTOR (SMALL
BUSINESS)
III. REQUESTS FOR WAIVER OF RIGHTS - LARGE BUSINESS
IV. DESIGNATION OF NEW TECHNOLOGY REPRESENTATIVE AND PATENT
REPRESENTATIVE
ATTACHMENT A:
RESPONSIBILITIES
ATTACHMENT B:
PAYMENT MILESTONES
ATTACHMENT I
PATENT RIGHTS - RETENTION BY THE CONTRACTOR (LARGE BUSINESS)
[**Section 305(a) of the Space Act (42 U.S.C. 2457) applies
to all contractors other than a small business or nonprofit
organization.]
(a) Definitions.
(1) "Administrator," as used in this clause, means the
Administrator of the National Aeronautics and Space
Administration (NASA) or duly authorized representative.
(2) "Contract," as used in this clause, means any
actual or proposed contract, cooperative agreement,
agreement, under-standing, or other arrangement, and
includes any assignment, substitution of parties, or
subcontract executed or entered into thereunder.
(3) "Invention," as used in this clause, means any
invention or discovery which is or may be patentable or
otherwise protectable under title 35 of the U.S.C.
(4) "Made," as used in relation to any invention,
means the conception or first actual reduction to practice
such invention.
(5) "Nonprofit organization," as used in this clause,
means a domestic university or other institution of higher
education or an organization of the type described in
section 501(c)(3) of the Internal Revenue Code of 1954 (26
U.S.C. 501(c)) and exempt from taxation under section 501(a)
of the Internal Revenue Code (26 U.S.C. 501(a)), or any
domestic nonprofit scientific or educational organization
qualified under a State nonprofit organization statute.
(6) "Practical application," as used in this clause,
means to manufacture, in the case of a composition or
product; to practice, in the case of a process or method; or
to operate, in case of a machine or system; and, in each,
case, under such conditions as to establish that the
invention is being utilized and that its benefits are, to
the extent permitted by law or Government regulations,
available to the public on reasonable terms.
(7) "Reportable item," as used in this clause, means
any invention, discovery, improvement, or innovation of the
contractor, whether or not the same is or may be patentable
or otherwise protectable under Title 35 of the United States
Code, conceived or first actually reduced to practice in the
performance of any work under this contract or in the
performance of any work that is reimbursable under any
clause in this contract providing for reimbursement of costs
incurred prior to the effective date of this contract.
(8) "Small business firm," as used in this clause,
means a domestic small business concern as defined at 15
U.S.C. 632 and implementing regulations of the Administrator
of the Small Business Administration. (For the purpose of
this definition, the size standard contained in 13 CFR 121.38
for small business contractors and in 13 CFR 121.3-12 for
small business subcontractors will be used.)
(9) "Subject invention," as used in this clause, means
any reportable item which is or may be patentable or
otherwise protectable under Title 35 of the United States
Code, or any novel variety of plant that is or may be
protectable under the Plant Variety Protection Act (7 U.S.C.
2321, et seq).
(b) Allocation of principal rights.
(1) Presumption of title.
(i) Any reportable item that the Administrator
considers to be a subject invention shall be presumed
to have been made in the manner specified in paragraph
(1) or (2) of Section 305(a) of the National
Aeronautics and Space Act of 1958 (42 U.S.C. 2457(a))
(hereinafter called "the Act"), and the above
presumption shall be conclusive unless at the time of
reporting the reportable item the Recipient submits to
the Contracting Officer a written statement, containing
supporting details, demonstrating that the reportable
item was not made in the manner specified in paragraph
(1) or (2) of Section 305(a) of the Act.
(ii) Regardless of whether title to a given subject
invention would otherwise be subject to an advance
waiver or is the subject of a petition for waiver, the
Contractor may nevertheless file the statement
described in subdivision (i) above. The Administrator
will review the information furnished by the Contractor
in any such statement and any other available
information relating to the circumstances surrounding
the making of the subject invention and will notify the
Contractor whether the Administrator has determined
that the subject invention was made in the manner
specified in paragraph (1) or (2) of Section 305(a) of
the Act.
(2) Property rights in subject inventions.
Each subject invention for which the presumption of
subdivision (1)(i) above is conclusive or for which
there has been a determination that it was made in the
manner specified in paragraph (1) or (2) of Section
305(a) of the Act shall be the exclusive property of
the United States as represented by NASA unless the
Administrator waives all or any part of the rights of
the United States, as provided in subparagraph (3)
below.
(3) Waiver of rights.
(i) Section 305(f) of the Act provides for the
promulgation of regulations by which the Administrator
may waive the rights of the United States with respect
to any invention or class of inventions made or that
may be made under conditions specified in paragraph (1)
or (2) of Section 305(a) of the Act. The promulgated
NASA Patent Waiver Regulations, 14 CFR Section 1245,
Subpart 1, have adopted the Presidential memorandum on
Government Patent Policy of February 18, 1983, as a
guide in acting on petitions (requests) for such waiver
of rights.
(ii) As provided in 14 CFR 1245, Subpart 1, Contractors
may petition, either prior to execution of the contract
or within 30 days after execution of the contract, for
advance waiver of rights to any or all of the
inventions that may be made under a contract. If such a
petition is not submitted, or if after submission it is
denied, the Contractor (or an employee inventor of the
Contractor) may petition for waiver of rights to an
identified subject invention within eight months of
first disclosure of invention in accordance with
subparagraph (e)(2) below, or within such longer period
as may be authorized in accordance with 14 CFR
1245.105. Further procedures are provided in the
REQUESTS FOR WAIVER OF RIGHTS - LARGE BUSINESS clause
(ATTACHMENT III).
(c) Minimum rights reserved by the Government
(1) With respect to each contractor subject invention
for which a waiver of rights is applicable in accordance
with 14 CFR Section 1245, Subpart 1, the Government
reserves:
(i) An irrevocable, royalty-free license for the
practice of such invention throughout the world by or
on behalf of the United States or any foreign
government in accordance with any treaty or agreement
with the United States; and
(ii) Such other rights as stated in 14 CFR 1245.107.
(2) Nothing contained in this paragraph (c) shall be
considered to grant to the Government any rights with
respect to any invention other than a subject invention.
(d) Minimum rights to the Contractor
(1) The Contractor is hereby granted a revocable,
nonexclusive, royalty-free license in each patent
application filed in any country on a contractor subject
invention and any resulting patent in which the Government
acquires title, unless the Contractor fails to disclose the
subject invention within the times specified in subparagraph
(e)(2) below. The Contractor's license extends to its
domestic subsidiaries and affiliates, if any, within the
corporate structure of which the Contractor is a party and
includes the right to grant sublicenses of the same scope to
the extent the Contractor was legally obligated to do so at
the time the contract was awarded. The license is
transferable only with the approval of the Administrator
except when transferred to the successor of that part of the
Contractor's business to which the invention pertains.
(2) The Contractor's domestic license may be revoked
or modified by the Administrator to the extent necessary to
achieve expeditious practical application of the subject
invention pursuant to an application for an exclusive
license submitted in accordance with 14 CFR 1245, Subpart 2,
Licensing of NASA Inventions. This license will not be
revoked in that field of use or the geographical areas in
which the Recipient has achieved practical application and
continues to make the benefits of the invention reasonably
accessible to the public. The license in any foreign country
may be revoked or modified at the discretion of the
Administrator to the extent the Recipient, its licensees, or
its domestic subsidiaries or affiliates have failed to
achieve practical application in that foreign country.
(3) Before revocation or modification of the license,
the Contractor will be provided a written notice of the
Administrator's intention to revoke or modify the license,
and the Contractor will be allowed 30 days (or such other
time as may be authorized by the Administrator for good
cause shown by the Contractor) after the notice to show
cause why the license should not be revoked or modified. The
Contractor has the right to appeal, in accordance with 14
CFR 1245.211, any decision concerning the revocation or
modification of its license.
(e) Invention identification, disclosures, and reports.
(1) The Contractor shall establish and maintain active
and effective procedures to assure that reportable items are
promptly identified and disclosed to Contractor personnel
responsible for the administration of this clause within six
months of conception and/or first actual reduction to
practice, whichever occurs first in the performance of work
under this contract. These procedures shall include the
maintenance of laboratory notebooks or equivalent records
and other records as are reasonably necessary to document
the conception and/or the first actual reduction to practice
of the reportable items, and records that show that the
procedures for identifying and disclosing reportable items
are followed. Upon request, the Contractor shall furnish
the Contracting Officer a description of such procedures for
evaluation and for determination as to their effectiveness.
(2) The Contractor will disclose each reportable item
to the Contracting Officer within two months after the
inventor discloses it in writing to Contractor personnel
responsible for the administration of this clause or, if
earlier, within six months after the Recipient becomes aware
that a reportable item has been made, but in any event for
subject inventions before any on sale, public use, or
publication of such invention known to the Recipient. The
disclosure to the agency shall be in the form of a written
report and shall identify the contract under which the
reportable item was made and the inventor(s) or
innovator(s). It shall be sufficiently complete in technical
detail to convey a clear understanding, to the extent known
at the time of the disclosure, of the nature, purpose,
operation, and physical, chemical, biological, or electrical
characteristics of the reportable item. The disclosure
shall also identify any publication, on sale, or public use
of any subject invention and whether a manuscript describing
such invention has been submitted for publication and, if
so, whether it has been accepted for publication at the time
of disclosure. In addition, after disclosure to the agency,
the Contractor will promptly notify the agency of the
acceptance of any manuscript describing a subject invention
for publication or of any on sale or public use planned by
the Contractor for such invention.
(3) The Contractor shall furnish the Contracting
Officer the following:
(i) Interim reports every 12 months (or such longer
period as may be specified by the Contracting Officer)
from the date of the contract, listing reportable items
during that period, and certifying that all reportable
items have been disclosed (or that there are no such
inventions) and that the procedures required by
subparagraph (e) (1) above have been followed.
(ii) A final report, within three months after
completion of the contracted work, listing all
reportable items or certifying that there were no such
reportable items, and listing all subcontracts at any
tier containing a patent rights clause or certifying
that there were no such subcontracts.
(4) The Contractor agrees, upon written request of the
Contracting Officer, to furnish additional technical and
other information available to the Recipient as is necessary
for the preparation of a patent application on a subject
invention and for the prosecution of the patent application,
and to execute all papers necessary to file patent
applications on subject inventions and to establish the
Government's rights in the subject inventions.
(5) The Contractor agrees, subject to paragraph
27.302(j), of the Federal Acquisition Regulation (FAR), that
the Government may duplicate and disclose subject invention
disclosures and all other reports and papers furnished or
required to be furnished pursuant to this clause.
(f) Examination of records relating to inventions.
(1) The Contracting Officer or any authorized
representative shall, pursuant to clause 28 of the
cooperative agreement, have the right to examine any books
(including laboratory notebooks), records, and documents of
the Recipient relating to the conception or first actual
reduction to practice of inventions in the same field of
technology as the work under this contract to determine
whether --
(i) Any such inventions are subject inventions;
(ii) The Contractor has established and maintained the
procedures required by subparagraph (e)(1) of this
clause; and
(iii) The Contractor and its inventors have
complied with the procedures.
(2) If the Contracting Officer learns of an unreported
Contractor invention that the Contracting Officer believes
may be a subject inventions, the Contractor may be required
to disclose the invention to the agency for a determination
of ownership rights.
(3) Any examination of records under this paragraph
will be subject to appropriate conditions to protect the
confidentiality of the information involved.
(g) Subcontracts. [**37 CFR 401.14(g)**]
(1) Unless otherwise authorized or directed by the
Contracting Officer, the Contractor shall --
(i) Include this Attachment PATENT RIGHTS - RETENTION
BY THE CONTRACTOR - (LARGE BUSINESS) (suitably modified
to identify the parties) in any subcontract hereunder
(regardless of tier) with other than a small business
firm or nonprofit organization for the performance of
experimental, developmental, or research work; and
(ii) Include the Attachment PATENT RIGHT - RETENTION BY
THE CONTRACTOR - (SMALL BUSINESS) (suitably modified to
identify the parties) in any subcontract hereunder
(regardless of tier) with a small business firm or
nonprofit organization for the performance of
experimental, developmental, or research work.
(2) In the event of a refusal by a prospective
subcontractor to accept such a clause the Contractor --
(i) Shall promptly submit a written notice to the
Contracting Officer setting forth the subcontractor's
reasons for such refusal and other pertinent
information that may expedite disposition of the
matter; and
(ii) Shall not proceed with such subcontract without
the written authorization of the Contracting Officer.
(3) The Contractor shall promptly notify the
Contracting Officer in writing upon the award of any
subcontract at any tier containing a patent rights clause by
identifying the subcontractor, the applicable patent rights
clause, the work to be performed under the subcontract, and
the dates of award and estimated completion. Upon request
of the Contracting Officer, the Contractor shall furnish a
copy of such subcontract, and, no more frequently than
annually, a listing of the subcontracts that have been
awarded.
(4) The subcontractor will retain all rights provided
for the Contractor in the clause of subdivision (1) (i) or
(1) (ii) above, whichever is included in the subcontract,
and the Contractor will not, as part of the consideration
for awarding the subcontract, obtain rights in the
subcontractor's subject inventions.
(5) Notwithstanding subparagraph (4) above, and in
recognition of the contractor's substantial contribution of
funds, facilities and/or equipment to the work performed
under this cooperative agreement, the contractor is
authorized, subject to the rights of NASA set forth
elsewhere in this clause, to:
(a) Acquire by negotiation and mutual agreement
rights to a subcontractor's subject inventions as the
contractor may deem necessary to obtaining and maintaining
of such private support; and
(b) Request, in the event of inability to reach
agreement pursuant to (a), above, that NASA invoke
exceptional circumstances as necessary pursuant to 37 CFR
401.3(a)(2) if the prospective subcontractor is a small
business firm or organization, or for all other
organizations, request that such rights for the contractor
be included as an additional reservation in a waiver granted
pursuant to 14 CFR 1245.1. Any such requests to NASA should
be prepared in consideration of the following guidance and
submitted to the contract officer.
(i) Exceptional circumstances: A request that
NASA make an "exceptional circumstances"
determination pursuant to 37 CFR 401.3(a)(2) must
state the scope of rights sought by the
contractor pursuant to such determination;
identify the proposed subcontractor and the work
to be performed under the subcontract; and state
the need for the determination.
(ii) Waiver petition: The subcontractor should be
advised that unless it requests a waiver of title
pursuant to the NASA Patent Waiver Regulations
(14 CFR 1245.1), NASA will acquire title to the
subject invention (42 U.S.C. 2457, as amended,
Sec. 305). If a waiver is not requested or
granted, the contractor may request a license
from NASA (see licensing of NASA inventions, 14
CFR 1245.2). A subcontractor requesting a waiver
must follow the procedures set forth in the
attached clause REQUESTS FOR WAIVER OF RIGHTS
LARGE BUSINESS.
(h) Preference for United States manufacture The contractor
agrees that any products embodying subject inventions or
produced through the use of subject inventions shall be
manufactured substantially in the United States. However,
in individual cases, the requirements to manufacture
substantially in the United States may be waived by NASA
upon a showing by the Contractor that under the
circumstances domestic manufacture is not commercially
feasible.
(i) March-in rights. [**Required provision 35 U.S.C. 203**]
The Contractor agrees that, with respect to any subject
invention in which it has acquired title, NASA has the right
in accordance with the procedures in 37 CFR 401.6 and any
supplemental regulations of the agency to require the
Contractor, an assignee or exclusive licensee of a subject
invention to grant a nonexclusive, partially exclusive, or
exclusive license in any field of use to a responsible
applicant or applicants, upon terms that are reasonable
under the circumstances, and if the Subcontractor, assignee,
or exclusive licensee refuses such a request NASA has the
right to grant such a license itself if the Federal agency
determines that-
(1) Such action is necessary because the Contractor or
assignee has not taken, or is not expected to take within a
reasonable time, effective steps to achieve practical
application of the subject invention in such field of use;
(2) Such action is necessary to alleviate health or
safety needs which are not reasonably satisfied by the
Contractor, assignee, or their licensees;
(3) Such action is necessary to meet requirements for
public use specified by Federal regulations and such
requirements are not reasonably satisfied by the Contractor,
assignee, or licensees; or
(4) Such action is necessary because the agreement
required by paragraph (i) of this clause has not been
obtained or waived or because a licensee of the exclusive
right to use or sell any subject invention in the United
States is in breach of such agreement.
(end of clause)
ATTACHMENT II
PATENT RIGHTS - RETENTION BY THE CONTRACTOR (SMALL BUSINESS)
[**The disposition of rights in inventions made by small
business firms and educational and other nonprofit
organizations for the performance of experimental,
developmental, or research work is governed by Chapter 18 of
Title 35, United States Code. Implementing regulations are
found in 37 CFR 401 et seq.**]
(a) Definitions.
(1) "Invention," as used in this clause, means any
invention or discovery which is or may be patentable or
otherwise protectable under title 35 of the U.S.C.
(2) "Made," as used in this clause, when used in
relation to any invention means the conception or first
actual reduction to practice such invention.
(3) "Nonprofit organization," as used in this clause,
means a university or other institution of higher education
or an organization of the type described in section
501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C.
501(c)) and exempt from taxation under section 501(a) of the
Internal Revenue Code (26 U.S.C. 501(a)) or any nonprofit
scientific or educational organization qualified under a
state nonprofit organization statute.
(4) "Practical application," as used in this clause,
means to manufacture, in the case of a composition of
product; to practice, in the case of a process or method, or
to operate, in the case of a machine or system; and, in each
case, under such conditions as to establish that the
invention is being utilized and that its benefits are, to
the extent permitted by law or Government regulations,
available to the public on reasonable terms.
(5) "Small business firm," as used in this clause,
means a small business concern as defined at section 2 of
Pub. L. 85-536 (15 U.S.C. 632) and implementing regulations
of the Administrator of the Small Business Administration.
For the purpose of this clause, the size standards for small
business concerns involved in Government procurement and
subcontracting at 13 CFR 121.3-8 and 13 CFR 121.3-12,
respectively, will be used.
(6) "Subject invention," as used in this clause, means
any invention of the subcontractor conceived or first
actually reduced to practice in the performance of work
under this contract.
(b) Allocation of principal rights. [**37 CFR 401.14(b)**]
(1) The Contractor may retain the entire right, title,
and interest throughout the world to each subject invention
subject to the provisions of this clause and 35 U.S.C. 203.
With respect to any subject invention in which the
Contractor retains title, the Federal Government shall have
a nonexclusive, nontransferable, irrevocable, paid-up
license to practice or have practiced for or on behalf of
the United States the subject invention throughout the
world.
(c) Invention disclosure, election of title, and filing of
patent application by Contractor. [**35 U.S.C. 202(c)(1), 37
CFR 401.14(b)**]
(1) The Contractor will disclose each subject invention
to NASA within two months after the inventor discloses it in
writing to Contractor personnel responsible for patent
matters. The disclosure to the agency shall be in the form
of a written report and shall identify the contract under
which the invention was made and the inventor(s). It shall
be sufficiently complete in technical detail to convey a
clear understanding to the extent known at the time of the
disclosure, of the nature, purpose, operation, and the
physical, chemical, biological or electrical characteristics
of the invention. The disclosure shall also identify any
publication, on sale or public use of the invention and
whether a manuscript describing the invention has been
submitted for publication and, if so, whether it has been
accepted for publication at the time of disclosure. In
addition, after disclosure to the agency, the Contractor
will promptly notify the agency of the acceptance of any
manuscript describing the invention for publication or of
any sale or public use planned by the Contractor.
(2) The Contractor will elect in writing whether or
not to retain title to any such invention by notifying NASA
within two years of disclosure to the Federal agency.
However, in any case where publication, on sale or public
use has initiated the one-year statutory period wherein
valid patent protection can still be obtained in the United
States, the period for election of title may be shortened by
the agency to a date that is no more than 60 days prior to
the end of the statutory period.
(3) The Contractor will file its initial patent
application on a subject invention to which it elects to
retain title within one year after election of title or, if
earlier, prior to the end of any statutory period wherein
valid patent protection can be obtained in the United States
after a publication, on sale, or public use. The Contractor
will file patent applications in additional countries or
international patent offices within either 10 months of the
corresponding initial patent application of six months from
the date permission is granted by the Commissioner of
Patents and Trademarks to file foreign patent applications
where such filing has been prohibited by a Secrecy Order.
(4) Requests for extension of the time for disclosure
election, and filing under subparagraphs (c)(1), (2), and
(3) of this clause may, at the discretion of the agency, be
granted.
(d) Conditions when the Government may obtain title. [**37
CFR 401.14**]
The Contractor will convey to NASA, upon written request,
title to any subject invention -
(1) If the Contractor fails to disclose or elect title
to the subject invention within the times specified in
paragraph (c) of this clause, or elects not to retain title;
provided, that the agency may only request title within 60
days after learning of the failure of the Contractor to
disclose or elect within the specified times.
(2) In those countries in which the Contractor fails
to file patent applications within the times specified in
paragraph (c) of this clause; provided, however, that if the
Contractor has filed a patent application in a country after
the times specified in paragraph (c) of this clause, but
prior to its receipt of the written request of the Federal
agency, the Contractor shall continue to retain title in
that country.
(3) In any country in which the Contractor decides not
to continue the prosecution of any application for, to pay
the maintenance fees on, or defend in reexamination or
opposition proceeding on, a patent on a subject invention.
(e) Minimum rights to Contractor and protection of the
Contractor right to file. [**37 CFR 401.14(e)**]
(1) The Contractor will retain a nonexclusive, royalty
free license throughout the world in each subject invention
to which the Government obtains title, except if the
Contractor fails to disclose the invention within the times
specified in paragraph (c) of this clause. The Contractor's
license extends to its domestic subsidiary and affiliates,
if any, within the corporate structure of which the
Contractor is a party and includes the right to grant
sublicenses of the same scope to the extent the Contractor
was legally obligated to do so at the time the contract was
awarded. The license is transferable only with the approval
of NASA, except when transferred to the successor of that
part of the Contractor's business to which the invention
pertains.
(2) The Contractor's domestic license may be revoked
or modified by NASA to the extent necessary to achieve
expeditious practical application of subject invention
pursuant to an application for an exclusive license
submitted in accordance with applicable provisions at 37 CFR
Part 404 and agency licensing regulations (if any). This
license will not be revoked in that field of use or the
geographical areas in which the Subcontractor has achieved
practical application and continues to make the benefits of
the invention reasonable accessible to the public. The
license in any foreign country may be revoked or modified at
the discretion of NASA to the extent the Subcontractor, its
licensees, or the domestic subsidiaries or affiliates have
failed to achieve practical application in that foreign
country.
(3) Before revocation or modification of the license,
NASA will furnish the Contractor a written notice of its
intention to revoke or modify the license, and the
Contractor will be allowed 30 days (or such other time as
may be authorized by NASA for good cause shown by the
Contractor) after the notice to show cause why the license
should not be revoked or modified. The Contractor has the
right to appeal, in accordance with applicable regulations
in 37 CFR Part 404 and agency regulations, if any,
concerning the licensing of Government-owned inventions, any
decision concerning the revocation or modification of the
license.
(f) Contractor action to protect the Government's interest.
[**37 CFR 401.14(f)**]
(1) The Contractor agrees to execute or to have
executed and promptly deliver to NASA all instruments
necessary to (i) establish or confirm the rights the
Government has throughout the world in those subject
inventions to which the Subcontractor elects to retain
title, and, (ii) convey title to the Federal agency when
requested under paragraph (d) of this clause and to enable
the Government to obtain patent protection throughout the
world in that subject invention.
(2) The Contractor agrees to require, by written
agreement, its employees, other than clerical and
nontechnical employees, to disclose promptly in writing to
personnel identified as responsible for the administration
of patent matters and in a format suggested by the
Contractor each subject invention made under contract in
order that the Contractor can comply with the disclosure
provisions of paragraph (c) of this clause, and to execute
all papers necessary to file patent applications on subject
inventions and to establish the Government's rights in the
subject inventions. This disclosure format should require,
as a minimum, the information required by subparagraph
(c)(1) of this clause. The Contractor shall instruct such
employees, through employee agreements or other suitable
educational programs, on the importance of reporting
inventions in sufficient time to permit the filing of patent
applications prior to U.S. or foreign statutory bars.
(3) The Contractor will notify NASA of any decisions
not to continue the prosecution of a patent application, pay
maintenance fees, or defend in a reexamination or opposition
proceeding on a patent, in any country, not less than 30
days before the expiration of the response period required
by the relevant patent office.
(4) The Contractor agrees to include, within the
specification of any United States patent application and
any patent issuing thereon covering a subject invention the
following statement, "This invention was made with
Government support under (identify the agreement) awarded by
NASA. The Government has certain rights in the invention."
[**35 U.S.C. 202(c)(6)**]
(5) The Contractor shall provide the Contracting
Officer the following:
(i) A listing every 12 months (or such longer period
as the Contracting Officer may specify) from the date
of the contract, of all subject inventions required to
be disclosed during the period.
(ii) A final report prior to close-out of the contract
listing all subject inventions or certifying that there
were none.
(iii) Upon request, the filing date, serial number,
and title, a copy of the patent application, and patent
number and issue date for any subject invention in any
country in which the contractor has applied for
patents.
(iv) An irrevocable power to inspect and make copies of
the patent application file, by the Government, when a
Federal Government employee is a co-inventor.
(g) Subcontracts. [**37 CFR 401.14(g)**]
(1) Unless otherwise authorized or directed by the
Contracting Officer, the Contractor shall --
(i) Include this clause (PATENT RIGHTS - RETENTION BY
THE CONTRACTOR (SMALL BUSINESS)), suitably modified to
identify the parties, in all subcontracts, regardless
of tier, for experimental, developmental, or research
work to be performed by a small business firm or
domestic nonprofit organization.
(ii) Include in all other subcontracts, regardless of
tier, for experimental, developmental, or research work
the patent rights clause (PATENT RIGHTS - RETENTION BY
THE CONTRACTOR (LARGE BUSINESS)).
(2) In the event of a refusal by a prospective
subcontractor to accept such a clause the Contractor --
(i) Shall promptly submit a written notice to the
Contracting Officer setting forth the subcontractor's
reasons for such refusal and other pertinent
information that may expedite disposition of the
matter; and
(ii) Shall not proceed with such subcontract without
the written authorization of the Contracting Officer.
(3) The Contractor shall promptly notify the
Contracting Officer in writing upon the award of any
subcontract at any tier containing a patent rights clause by
identifying the subcontractor, the applicable patent rights
clause, the work to be performed under the subcontract, and
the dates of award and estimated completion. Upon request
of the Contracting Officer, the Contractor shall furnish a
copy of such subcontract, and, no more frequently than
annually, a listing of the subcontracts that have been
awarded.
(4) The subcontractor will retain all rights provided
for the Contractor in the clause of subdivision (1) (i) or
(1) (ii) above, whichever is included in the subcontract,
and the Contractor will not, as part of the consideration
for awarding the subcontract, obtain rights in the
subcontractor's subject inventions.
(5) Notwithstanding subparagraph (4) above, and in
recognition of the contractor's substantial contribution of
funds, facilities and/or equipment to the work performed
under this cooperative agreement, the contractor is
authorized, subject to the rights of NASA set forth
elsewhere in this clause, to:
(a) Acquire by negotiation and mutual agreement
rights to a subcontractor's subject inventions as
the contractor may deem necessary to obtaining and
maintaining of such private support; and
(b) Request, in the event of inability to reach
agreement pursuant to (a), above, that NASA invoke
exceptional circumstances as necessary pursuant to
37 CFR 401.3(a)(2) if the prospective subcontractor
is a small business firm or organization, or for all
other organizations, request that such rights for
the contractor be included as an additional
reservation in a waiver granted pursuant to 14 CFR
1245.1. Any such requests to NASA should be
prepared in consideration of the following guidance
and submitted to the contract officer.
(i) Exceptional circumstances: A request that
NASA make an "exceptional circumstances"
determination pursuant to 37 CFR 401.3(a)(2) must
state the scope of rights sought by the contractor
pursuant to such determination; identify the
proposed subcontractor and the work to be
performed under the subcontract; and state the
need for the determination.
(ii) Waiver petition: The subcontractor should be
advised that unless it requests a waiver of title
pursuant to the NASA Patent Waiver Regulations (14
CFR 1245.1), NASA will acquire title to the
subject invention (42 U.S.C. 2457, as amended,
Sec. 305). If a waiver is not requested or
granted, the contractor may request a license from
NASA (see licensing of NASA inventions, 14 CFR
1245.2). A subcontractor requesting a waiver must
follow the procedures set forth in the attached
clause REQUESTS FOR WAIVER OF RIGHTS - LARGE
BUSINESS.
(h) Reporting on utilization of subject inventions. [**35
U.S.C. 202(c)(5), 37 CFR 401.14(g)**] The Contractor agrees
to submit, on request, periodic reports no more frequently
than annually on the utilization of a subject invention or
on efforts at obtaining such utilization that are being made
by the Contractor or its licensees or assignees. Such
reports shall include information regarding the status of
development, date of first commercial sale or use, gross
royalties received by the Contractor, and such other data
and information as the agency may reasonably specify. The
Contractor also agrees to provide additional reports as may
be requested by the agency in connection with any march-in
proceeding under-taken by the agency in accordance with
paragraph (i) of this clause. As required by 35 U.S.C.
202(c)(5), the agency agrees it will not disclose such
information to persons outside the Government without
permission of the Contractor.
(i) Preference for United States manufacture: The
Contractor agrees that any products embodying subject
inventions or produced through the use of subject inventions
shall be manufactured substantially in the United States.
However, in individual cases, the requirement to manufacture
substantially in the United States may be waived by NASA
upon a showing by the Contractor that under the
circumstances domestic manufacture is not commercially
feasible.
(j) March-in rights. [**35 U.S.C. 203, 37 CFR 401.6, 37 CFR
401.14(j)**] The Contractor agrees that, with respect to any
subject invention in which it has acquired title, NASA has
the right in accordance with the procedures in 37 CFR 401.6
and any supplemental regulations of the agency to require
the Contractor, an assignee or exclusive licensee of a
subject invention to grant a nonexclusive, partially
exclusive, or exclusive license in any field of use to a
responsible applicant or applicants, upon terms that are
reasonable under the circumstances, and if the
Subcontractor, assignee, or exclusive licensee refuses such
a request NASA has the right to grant such a license itself
if the Federal agency determines that-
(1) Such action is necessary because the Contractor or
assignee has not taken, or is not expected to take within a
reasonable time, effective steps to achieve practical
application of the subject invention in such field of use;
(2) Such action is necessary to alleviate health or
safety needs which are not reasonably satisfied by the
Contractor, assignee, or their licensees;
(3) Such action is necessary to meet requirements for
public use specified by Federal regulations and such
requirements are not reasonably satisfied by the Contractor,
assignee, or licensees; or
(4) Such action is necessary because the agreement
required by paragraph (i) of this clause has not been
obtained or waived or because a licensee of the exclusive
right to use or sell any subject invention in the United
States is in breach of such agreement.
(k) Special provisions for contracts with nonprofit
organizations. [**35 U.S.C. 202(c)(7)**] If the Contractor
is a nonprofit organization, it agrees that -
(1) Rights to a subject invention in the United States
may not be assigned without the approval of NASA, except
where such assignment is made to an organization which has
one of its primary functions the management of inventions;
provided, that such assignee will be subject to the same
provisions as the Contractor;
(2) The Contractor will share royalties collected on a
subject invention with the inventor, including Federal
employee co-inventors (when NASA deems it appropriate) when
the subject invention is assigned in accordance with 35
U.S.C. 202(e) and 37 CFR 401.10;
(3) The balance of any royalties or income earned by
the Contractor with respect to subject inventions, after
payment of expenses (including payments to inventors)
incidental to the administration of subject inventions will
be utilized for the support of scientific research or
education; and
(4) It will make efforts that are reasonable under the
circumstances to attract licensees of subject inventions
that are small business firms, and that it will give a
preference to a small business firm when licensing a subject
invention if the Contractor determines that the small
business firm has a plan or proposal for marketing the
invention which, if executed, is equally as likely to bring
the invention to practical application as any plans or
proposals from applicants that are not small business firms;
provided that the Contractor is also satisfied that the
small business firm has the capability and resources to
carry out its plan or proposal. The decision whether to
give a preference in any specific case will be at the
discretion of the contractor. However, the Contractor
agrees that the Secretary of Commerce may review the
Contractor's licensing program and decisions regarding small
business applicants, and the Contractor will negotiate
changes to its licensing policies, procedures, or practices
with the Secretary of Commerce when the Secretary's review
discloses that the Contractor could take reasonable steps to
more effectively implement the requirements of this
paragraph (k)(4).
(l) A copy of all submissions or requests required by this
clause, plus a copy of any reports, manuscripts,
publications or similar material bearing on patent matters,
shall be sent to the installation Patent Counsel in addition
to any other submission requirements in the Cooperative
Agreement provisions. If any reports contain information
describing a OSubject inventionO for which the contractor
has elected or may elect title, NASA will use reasonable
efforts to delay public release by NASA or publication by
NASA in a NASA technical series, in order for a patent
application to be filed, provided that the Contractor
identify the information and the Osubject inventionO to
which it relates at the time of submittal. If required by
the Contracting Officer, the Contractor shall provide the
filing date, serial number and title, a copy of the patent
application, and a patent number and issue date for any
Osubject inventionO in any country in which the Contractor
has applied for patents.-
(end of clause)
ATTACHMENT III
REQUESTS FOR WAIVER OF RIGHTS - LARGE BUSINESS
[**NASA routinely and expeditiously grants waiver of title
pursuant to the Presidential Memorandum on Government Patent
Policy to the Heads of Executive Departments and Agencies
Dated February 18, 1983, and Section 1(b)(4) of Executive
Order 12591, dated April 10, 1987.**]
(a) In accordance with the NASA Patent Waiver Regulations,
14 CFR Section 1245; Subpart 1, waiver of rights to any or
all inventions made or that may be made under a NASA
contract or subcontract with other than a small business
firm or a domestic nonprofit organization may be requested
at different time periods. Advance waiver of rights to any
or all inventions that may be made under a contract or
subcontract may be requested prior to the execution of the
contract or subcontract, or within 30 days after execution
by the selected contractor. In addition, waiver of rights to
an identified invention made and reported under a contract
or subcontract may be requested, even though a request for
an advance waiver was not made or, if made, was not granted.
(b) Each request for waiver of rights shall be by petition
to the Administrator and shall include an identification of
the petitioner; place of business and address; if petitioner
is represented by counsel, the name, address, and telephone
number of the counsel; the signature of the petitioner or
authorized representative; and the date of signature. No
specific forms need be used, but the request should contain
a positive statement that waiver of rights is being
requested under the NASA Patent Waiver Regulations; a clear
indication of whether the request is for an advance waiver
or for a waiver of rights for an individual identified
invention; whether foreign rights are also requested and, if
so, the countries, and a citation of the specific section or
sections of the regulations under which such rights are
requested; and the name, address, and telephone number of
the party with whom to communicate when the request is acted
upon. Requests for advance waiver of rights should,
preferably, be included with the proposal, but in any event
in advance of negotiations.
(c) Petitions for advance waiver, prior to contract
execution, must be submitted to the Contracting Officer. All
other petitions will be submitted to the Patent
Representative designated in the contract.
(d) Petitions submitted with proposals selected for
negotiation of a contract will be forwarded by the
Contracting Officer to the installation Patent Counsel for
processing and then to the Inventions and Contributions
Board. The Board will consider these petitions and where the
Board makes the findings to support the waiver, the Board
will recommend to the Administrator that waiver be granted,
and will notify the petitioner and the Contracting Officer
of the Administrator's determination. The Contracting
Officer will be informed by the Board whenever there is
insufficient time or information or other reasons to permit
a decision to be made without unduly delaying the execution
of the contract. In the latter event, the petitioner will
be so notified by the Contracting Officer. All other
petitions will be processed by installation Patent Counsel
and forwarded to the Board. The Board shall notify the
petitioner of its action and if waiver is granted, the
conditions, reservations, and obligations thereof will be
included in the Instrument of Waiver. Whenever the Board
notifies a petitioner of a recommendation adverse to, or
different from, the waiver requested, the petitioner may
request reconsideration under procedures set forth in the
Regulations.
(end of clause)
ATTACHMENT IV
DESIGNATION OF NEW TECHNOLOGY REPRESENTATIVE AND PATENT
REPRESENTATIVE
[**37 CFR 401.5(b), 37 CFR 401.14(l)**]
(a) For purposes of administration of the clause of this
contract entitled "PATENT RIGHTS - RETENTION BY THE
CONTRACTOR (LARGE BUSINESS)" or "PATENT RIGHTS - RETENTION
BY THE CONTRACTOR (SMALL BUSINESS)" the following named
representatives are hereby designated by the Contracting
Officer to administer such clause:
Title Office Code Address (including
zip code)
New Technology LA10 George C. Marshall
Space
Representative Flight Center
National Aeronautics
and Space Administration
Marshall Space
Flight Center,
AL 35812
Patent CC01 Chief, Intellectual
Property
Representative Counsel, George C.
Marshall
Space Flight Center
National Aeronautics
and Space Administration
Marshall Space Flight Center,
AL 35812
(b) Reports of reportable items, and disclosure of subject
inventions, interim reports, final reports, utilization
reports, and other reports required by the clause, as well
as any correspondence with respect to such matters, should
be directed to the New Technology Representative unless
transmitted in response to correspondence or request from
the Patent Representative. Inquiries or requests regarding
disposition of rights, election of rights, or related
matters should be directed to the Patent Representative.
This clause shall be included in any subcontract hereunder
requiring "PATENT RIGHTS - RETENTION BY THE CONTRACTOR
(LARGE BUSINESS)" clause or "PATENT RIGHTS -RETENTION BY THE
CONTRACTOR (SMALL BUSINESS)" clause, unless otherwise
authorized or directed by the Contracting Officer. The
respective responsibilities and authorities of the above
named representatives are set forth in 18-27.375-3 of the
NASA FAR Supplement.
(end of clause)
APPENDIX E
POINTS OF CONTACT
REUSABLE LAUNCH VEHICLE
ADVANCED TECHNOLOGY DEMONSTRATOR: X - 33
APPENDIX E
POINTS OF CONTACT FOR POTENTIAL USE OF GOVERNMENT RESOURCES
FOR X-33/34
(Generalized listing of capabilitiesÍnot intended to
restrict coordination to specific Centers.)
Facility Point of Contact /
Telephone
(FAX)
Ames Research Center (ARC) Mike Green / 415-604-5595
(5244)
Í Thermal Protection Systems (and
Test)
Í Wind Tunnels
Í NAS
Dryden Flight Research Center Steve Ishmael / 805-258-
3222
(DFRC) (3725)
Í Atmospheric Flight Operations
Í Flight Simulation
Í Instrumentation
Johnson Space Center (JSC) Harry Erwin / 713-483-0267
(5800)
Í Avionics Testbed
Í Arc-Jet Test
Í Flight (Mission) Operatbility
Evaluation
Í Thermal Vacuum Facility
Í Rapid Prototype Simulations
Í CFD Testbed
Kennedy Space Center (KSC) Don Page / 407-867-4553
(4812)
: X-33
Í Launch Facilities Joel Blum / 407-867-3644
Í Landing Facilities (4812) : X-34
Í Range Support
Í Ground Support Equipment
Í Ground Operability Evaluation
Langley Research Center (LaRC) Del Freeman / 804-864-4451
(4449)
Í Structures/Thermal and Materials
Í Wind Tunnels
Í Test (all of the above)
Lewis Research Center (LeRC) Sol Gorland / 216-977-7561
(7500)
Í Propulsion (and Test)
Í Wind Tunnels
Marshall Space Flight Center Terry Greenwood / 205-544-
1585
(MSFC) (5860)
Í Propulsion
Í Structures/Thermal and Materials
Í Astrionics/GNC/Power
Í Fabrication
Í Test (all of the above)
Stennis Space Center (SSC) Patrick Scheuermann / 601-
688-
2486 (7885)
Í Structures and Propulsion Test
White Sands Test Facility (WSTF) Richard Lopez / 505-5245155
(5053)
Í Ground Propulsion Test
Department of Defense (DoD)
Installations
Í Flight Operations/Test Lt.Col. Jess Sponable /
505-
846-8927x127
Í Technology Tasks/Test Chris Andrews / 505-846-
8927x130
(both 8930)
APPENDIX F
OMB CIRCULAR A-110, SECTION 23
REUSABLE LAUNCH VEHICLE
ADVANCED TECHNOLOGY DEMONSTRATOR: X - 33
OMB CIRCULAR A110
58 FR 62992-01 PAGE 17
23 Cost sharing or matching.
(a)All contributions, including cash and third party in
kind, shall be accepted as part of the Recipient's cost
sharing or matching when such contributions meet all of the
following criteria.
(1)Are verifiable from the Recipient's records.
(2)Are not included as contributions for other federally-
assisted project or program.
(3)Are necessary and reasonable for proper and efficient
accomplishment of project or program objectives.
(4)Are allowable under the applicable cost principles.
(5)Are not paid by the Federal Government under another
award, except where authorized by Federal statute to be used
for cost sharing or matching.
(6)Are provided for in the approved budget when required
by the Federal awarding agency.
(7)Conform to other provisions of this Circular, as
applicable.
(b)Unrecovered indirect costs may be included as part of
cost sharing or marching only with The prior approval of the
Federal awarding agency.
(c)Values for Recipient contributions of services and
property shall be established in accordance with the
applicable cost principles. If a Federal agency authorizes
Recipients to donate buildings or land for
construction/facilities acquisition projects or long-term
use, the value of the donated property for cost sharing or
matching shall be the lesser of (1) or (2).
(1)The certified value of the remaining life of the
property recorded in the Recipient's accounting records at
the time of donation.
(2)The current fair market value. However, when there is
sufficient justification, the Federal awarding agency may
approve the use of the current fair market value of the
donated property, even if it exceeds the certified value at
the time of donation to the project.
(d)Volunteer services furnished by professional technical
personnel, consultants, and other skilled and unskilled
labor may be counted as cost sharing or matching if the
service is an integral and necessary part of an approved
project or program. Rates for volunteer services shall be
consistent with those paid for similar work in the
Recipient's organization. In those instances in which the
required skills are not found in the Recipient organization,
rates shall be consistent with those paid for similar work
in the labor market in which the Recipient competes for the
kind of services involved. In either case, paid fringe
benefits that are reasonable, allowable, and allocable may
be included in the valuation.
(e)When an employer other than the Recipient furnishes the
services of an employee, these services shall be valued at
the employee's regular rate of pay (plus an amount of fringe
benefits that are reasonable, allowable, and allowable, but
exclusive of overhead costs), provided these services are in
the same skill for which the employee is normally paid.
(f)Donated supplies may include such items as expendable
equipment, office supplies, laboratory supplies or workshop
and classroom supplies. Value assessed to donated supplies
included in the cost sharing or matching share shall be
reasonable and shall not exceed the fair market value of the
property at the time of the donation.
(g)The method used for determining cost sharing or
matching for donated
OMB CIRCULAR A110
58 FR 62992-01 PAGE 18
equipment, buildings and land for which title passes to the
Recipient may differ according to the purpose of the award,
if (1) or (2) apply.
(1)If the purpose of the award is to assist the Recipient
in the acquisition of equipment, buildings or land, the
total value of the donated property may be claimed as cost
sharing or matching.
(2) If the purpose of the award is to support activities
that require the use of equipment and buildings may be made.
However, the full value to equipment or other capital assets
and fair rental charges for land may be allowed, provided
that the Federal awarding agency has approved the charges.
(h)The value of donate property shall be determined in
accordance with the usual accounting policies of the
Recipient, with the following qualifications.
(1)The value of donated equipment shall not exceed the
fair market value at the time of donation to the Recipient
as established by an independent appraiser (e.g., certified
real property appraiser or General Services Administration
representative) and certified by a responsible official of
the Recipient.
(2)The value of donated equipment shall not exceed the
fair rental value of equipment of the dame age and condition
at the time of donation.
(3)The value of donated space shall not exceed the fair
rental value of comparable space as established by an
independent appraisal of comparable space and facilities in
a privately-owned building in ht same locality.
(4)The value of loaned equipment shall not exceed its fair
rental value.
(5)The following requirements pertain to the Recipient's
supporting records for in-kind contributions from third
parties.
(i)Volunteer services shall be documented and, to the
extent feasible, supported by the same methods used by the
Recipient for its won employees.
(ii) The basis for determining the valuation for
personal service, material, equipment, buildings and land
shall be documented.
This Page Intentionally Left Blank
APPENDIX G
ACRONYMS
REUSABLE LAUNCH VEHICLE
ADVANCED TECHNOLOGY DEMONSTRATOR:
X - 33
APPENDIX G
ACRONYMS
ADP Automated Data Processing
ASCII American Standard Code Information Interchange
CAN Cooperative Agreement Notice
CDT Central Daylight Time
CFR Code of Federal Regulation
Co-P Co-Partner
FAR Federal Acquisition Regulation
FAX Facsimile
FTP File Transfer Protocol
FY Fiscal Year
IR&D Independent Research and Development
klb Kilo-pound
LEO Low Earth Orbit
LP Lead Partner
MSFC Marshall Space Flight Center
NASA National Aeronautics and Space Administration
nm Nautical Mile
NRA NASA Research Announcement
OMB Office of Management and Budget
OSAT Office of Space Access and Transportation
RLV Reusable Launch Vehicle
RTF Rich Text Format
TBD To Be Determined
URL Uniform Resource Locator
VHM Vehicle Health Monitoring
WWW World Wide Web