1、CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE MWI 5000.1 REVISION H EFFECTIVE DATE: November 24, 2008 EXPIRATION DATE: November 24, 2013 MARSHALL WORK INSTRUCTION PS01 PROCESSING NASA RESEARCH ANNOUNCEMENTS (NRAs
2、) AND COOPERATIVE AGREEMENT NOTICES (CANs) Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Work Instruction PS01 MWI 5000.1 Revision: H Processing NASA Research Announcements (NRAs) and Cooperative Agreement Notices (CANs) Date: November 24,
3、 2008 Page 2 of 13 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE DOCUMENT HISTORY LOG Status (Baseline/ Revision/ Canceled) Document Revision Effective Date Description Baseline 5/14/99 Document converted from MS
4、FC-P06.1-C02 to a Directive. Previous history retained in system as part of canceled or superseded ISO Document files. Revision A 8/16/99 Changes made to reflect new organizational codes. Revision B 6/25/01 Updated paragraph 3, Applicable Documents, to reflect revised NASA FAR Supplement Reference.
5、Revised 6.2 Responsibilities, Subparagraph 6.2.3, to delete the requirement for providing copies of NRAs and CANs to PS10. Revision C 4/21/03 Throughout the document, changed Selecting to Selection Official, and changed procurement to purchase request; Changed 5.5, to allow additional appointments f
6、or individual solicitations; revised 6.1.2 to address that certain requirements may be waived at the discretion of grant officers on grant/cooperative agreement awards; Added 6.3: Congressional Notification for NASA Sponsored Research Resulting from Competitive Solicitations Issued by the MSFC; Adde
7、d 6.3 to Flowchart; Added MSFC Form 4440 to 9.2. Revision D 6/28/2004 Throughout the document, revised MPR to reflect NPR. Throughout the document, made grammatical and formatting revisions as needed. Throughout the document, revised name of MSFC Form 4440 from MSFC Grant/Cooperative Agreement Congr
8、essional Notification to Congressional Notification of Research Selection. Throughout the document, revised to spell out acronyms Paragraph 5.2, added CANs to BAA and changed from two to three. Paragraph 6.3.1 Revised to include Research Selection. Paragraph 9.2 added a title for the MSFC Form 4440
9、Congressional Notification of Research Selection. Paragraph 12 Cancellation revised from MWI 5000.1C dated April 21, 2003 to MWI 5000.1b dated June 25, 2001 and revised Directors name from A.G. Stephenson to David King. Revision E 9/26/2004 Throughout the document, denoted requirements with the verb
10、 “shall“. Throughout the document, revised references from PRG to IPR, MPR to MPR and NPR to NPR. Revision F 8/8/2005 Changed Revision E to Revision F. Throughout the document, revised references from Procurement Office to Office of Procurement. Section 9.2 and 9.3, reformatted and renumbered sectio
11、n. Revision G 11/28/2007 Made editorial, grammatical, numerical, and formatting corrections as needed. Revised Procurement Office to Office of Procurement, and organization to department. In 3. Applicable documents, added FAR 4.8, MPR 1440.2, NFS 1804.8, NPR 1441.1, and NPR 5800.1, “Grants and Coope
12、rative Agreement Handbook.” Added titles to identify directives, forms, and PS10. In 1. Purpose, identified acronym for CANs and NRAs. In 1.1, added information on the resulting agreements for NRA and CAN. In 6.2.1, revised instruction to address CANs or NRAs exceeding the Master Buy Plan thresholds
13、, or exceeding $10 million. In 6.3.3.2, revised title of Government and Community to the External Relations Office (CS30). In 6.3.4.2 thru 6.3.4.4 , added S&MA review requirement for agreements involving hazardous operations or testing. In 9. Records, added reference to Records Retention 5/37/A and
14、Note for retention of Program Project files. In Appendix, revised reference numbering and added Termination points to Flow Diagram. Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Work Instruction PS01 MWI 5000.1 Revision: H Processing NASA
15、Research Announcements (NRAs) and Cooperative Agreement Notices (CANs) Date: November 24, 2008 Page 3 of 13 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE Revision H 11/24/2008 Made editorial, grammatical, and for
16、matting corrections as needed. Revised applicability statement. In 1.1.a. corrected reference to Graduate Student Researchers Project. In 3.3, corrected title of NRRS. In 9.1, deleted reference to MSFC Form 4409 and replaced with Checklist and url. Provided by IHSNot for ResaleNo reproduction or net
17、working permitted without license from IHS-,-,-Marshall Work Instruction PS01 MWI 5000.1 Revision: H Processing NASA Research Announcements (NRAs) and Cooperative Agreement Notices (CANs) Date: November 24, 2008 Page 4 of 13 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directi
18、ves.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 1. PURPOSE This Marshall Work Instruction (MWI) establishes responsibilities and procedures for the decision and implementing process to use NASA Research Announcements (NRAs) and Cooperative Agreement Notices (CANs). 1.1 NASAs policy is to
19、use competitive procedures to award grants whenever possible. A grant can result from: (a) A proposal submitted in response to a Broad Agency Announcement (BAA) such as an NRA, an Announcement of Opportunity (AO), and a CAN, an Agency-wide program announcement such as the Graduate Student Researcher
20、s Project, or other forms of announcements approved by the Associate Administrator for Procurement. NRAs are described in the NASA Federal Acquisition Regulations (FAR) Supplement (NFS) 48 CFR 1835.016. AOs are described in 48 CFR Part 1872. (b) An unsolicited proposal for new and innovative ideas.
21、(See the Grant and Cooperative Agreement Handbook 1260.17.) 1.2 This MWI does not address the processing of AOs. 2. APPLICABILITY This MWI applies to the personnel, programs, projects, and activities at Marshall Space Flight Center (MSFC) and MSFCs Michoud Assembly Facility (MAF), including contract
22、ors and resident agencies to the extent specified in their respective contracts or agreements. (“Contractors,” for purposes of this paragraph, include contractors, grantees, Cooperative Agreement recipients, Space Act Agreement partners, or other agreement parties.) 3. APPLICABLE DOCUMENTS 3.1 FAR 4
23、.8, “Storage, Handling, and Disposal of Contract Files,” and 35.016, “Broad Agency Announcement” 3.2 NFS 1804.8, “Government Contract Files,” and 1835.016-71, “NASA Research Announcements” 3.3 NPR 1441.1, “NASA Records Retention Schedules (NRRS)” 3.4 NPR 5800.1, “Grant and Cooperative Agreement Hand
24、book” 3.5 MPR 1440.2, “MSFC Records Management Program” Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Work Instruction PS01 MWI 5000.1 Revision: H Processing NASA Research Announcements (NRAs) and Cooperative Agreement Notices (CANs) Date:
25、 November 24, 2008 Page 5 of 13 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 3.6 MPR 5000.1, “Purchasing” 3.7 PS-OWI-05, “Review and Execution of Procurement Documents” 4. REFERENCES None 5. DEFINITIONS 5.1 AO.
26、A form of BAA primarily used to competitively announce flight opportunities for space flight experiments (acquisition of investigations) and AOs usually issued at NASA Headquarters-level by Program Associate Administrators with input and support from the Centers. 5.2 BAA. A general announcement of a
27、n Agencys research interest (e.g., basic and applied research, that part of development not related to development of a specific system or hardware procurement), including criteria for selecting proposals and soliciting the participation of all offerors capable of satisfying the Governments needs. A
28、n NRA, AO, and CAN are the three forms of a BAA. 5.3 CAN. A competitive solicitation where NASA envisions a cooperative agreement as the award instrument. 5.4 Cognizant Office of Procurement (PS01) Office Manager. The head of the individual offices within PS01 who reports to the Procurement Officer.
29、 5.5 Grant Officer. A Federal employee delegated responsibility for award and administration of grants for NASA (e.g., a NASA Grant Officer who has retained grant administration responsibilities, or an Office of Naval Research Grant Officer delegated grant administration by a NASA Grant Officer). 5.
30、6 NRA. A form of BAA used to competitively announce research interests in support of NASAs programs which provides for submission of competitive project ideas, conceived by the offerors, in one or more program areas of interest. 5.7 NRA/CAN Steering Committee. A standing committee, established by th
31、is MWI, composed of the Director or Deputy Director of the Engineering Directorate, the Procurement Officer (Chairperson), and the Chief Counsel. 5.8 Procurement Officer. The Director of PS01, who has overall responsibility for managing the procurement activity. Provided by IHSNot for ResaleNo repro
32、duction or networking permitted without license from IHS-,-,-Marshall Work Instruction PS01 MWI 5000.1 Revision: H Processing NASA Research Announcements (NRAs) and Cooperative Agreement Notices (CANs) Date: November 24, 2008 Page 6 of 13 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/dire
33、ctives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 5.9 Records. Refer to MPR 1440.2 for the definition of records. 6. INSTRUCTIONS 6.1 General 6.1.1 All Center organizations shall consider the use of NRAs and CANs when doing acquisition planning and implementation. 6.1.1.1 Cent
34、er organizations shall consult with their supporting procurement personnel in deciding if an NRA or CAN is appropriate, and in preparing the various documentation required in the CAN or NRA process. 6.1.2 Actions being awarded in response to NRAs, CANs, or AOs issued by NASA Headquarters or other in
35、stallations shall require the issuing organization to submit copies of the solicitation document, successful proposals, technical evaluations, and source selection statement to PS01. 6.1.2.1 The Grant Officer shall have the discretion to waive the requirements for providing a copy of the solicitatio
36、n statement in the case of grant awards. 6.1.2.2 The responsible Center organization shall provide the required funding through a certified procurement requisition, and any updated or revised technical evaluation documentation. 6.1.2.3 The requiring organization shall also support negotiations leadi
37、ng to award (including preparation of statement of work and identifying any reporting requirements, if applicable). 6.1.3 All NRA actions shall be conducted in accordance with FAR 35.016 and NFS 1835.016-71. 6.1.3.1 All CAN actions shall be conducted in accordance with NPR 5800.1, “Grant and Coopera
38、tive Agreement Handbook,” Section 1274.2. 6.1.4 In contrast to traditional solicitations, communication with offerors prior to receipt of proposals is permitted to ensure that the technical areas of research and objectives identified in the NRA or CAN are clearly understood. 6.1.4.1 This communicati
39、on shall not extend to providing comments or suggestions on draft proposals or strategic approaches. 6.2 Responsibilities Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Marshall Work Instruction PS01 MWI 5000.1 Revision: H Processing NASA Research A
40、nnouncements (NRAs) and Cooperative Agreement Notices (CANs) Date: November 24, 2008 Page 7 of 13 CHECK THE MASTER LIST at https:/repository.msfc.nasa.gov/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 6.2.1 Directors or Managers of Center organizations, or their delega
41、ted representatives, shall: 6.2.1.1 Coordinate candidate NRA or CAN actions with PS01 to determine whether the actions exceed the applicable Master Buy Plan thresholds, or exceed $10 million where cooperative agreement awards to commercial firms are anticipated. 6.2.1.2 Work NRA or CAN actions that
42、exceed the applicable thresholds outside the NRA/CAN Steering Committee process. 6.2.1.3 Schedule a presentation to the Steering Committee on all other NRA or CAN actions for further consideration and approval. 6.2.2 Directors or Managers of Center organizations, or their delegated representatives,
43、shall distribute to each Steering Committee member a proposed copy of the NRA or CAN for review in advance of the scheduled meeting. 6.2.3 The presentation to the Steering Committee shall include the following documentation: 6.2.3.1 A proposed NRA prepared in accordance with NFS 1835.016-71(c), or a
44、 proposed CAN prepared in accordance with NPR 5800.1, “Grant and Cooperative Agreement Handbook.” 6.2.3.2 A draft synopsis. 6.2.3.3 A proposed Evaluation Plan, including a Proposal Evaluation Chairperson. 6.2.4 Pursuant to NFS 1835.016-71(b)(1), the Steering Committee shall: 6.2.4.1 Make the final d
45、ecision on whether a CAN or NRA is the appropriate solicitation. 6.2.4.2 Identify any required changes to the NRA, CAN, synopsis, or Evaluation Plan. 6.2.4.3 Appoint the Selection Official (SO) via designation in the NRA or CAN. 6.2.4.4 Review and comment on the evaluation-findings presentation pack
46、age before the meeting with the SO. 6.2.4.5 Participate as advisors in the meeting where evaluation findings are presented to the SO. 6.2.5 PS01 personnel shall: 6.2.5.1 Cooperate with requirements-initiating personnel to review and assist with NRA or CAN preparation. Provided by IHSNot for ResaleNo
47、 reproduction or networking permitted without license from IHS-,-,-Marshall Work Instruction PS01 MWI 5000.1 Revision: H Processing NASA Research Announcements (NRAs) and Cooperative Agreement Notices (CANs) Date: November 24, 2008 Page 8 of 13 CHECK THE MASTER LIST at https:/repository.msfc.nasa.go
48、v/directives/directives.htm VERIFY THAT THIS IS THE CORRECT VERSION BEFORE USE 6.2.5.2 Advise and assist technical personnel in preparing the presentation material for the Steering Committee. 6.2.5.3 Assign a unique NRA or CAN number, and publish the synopsis in the NASA Acquisition Internet Service
49、 and Federal Business Opportunities. 6.2.5.4 Issue the NRA or CAN after the applicable synopsis period expires. 6.2.5.5 Advise and/or participate in the evaluation of proposals. 6.2.5.6 Lead the preparation of the source selection statement and the debriefing of unsuccessful offerors. 6.2.5.7 Lead the negotiation, award, and administration of the grants, co
