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 leg