Effective Date: December 19, 2013
Expiration Date: December 19, 2019
Removed responsibility for the Office of Evaluation as this office was abolished in 2015
a. This NASA Policy Directive (NPD) provides the overall policy framework for NASA's strategic acquisition process with appropriate references to other key processes and directives. This strategic acquisition process complies with NASA obligations as a Federal agency and is applicable to each of NASA's major areas of investment (Flight Programs and Projects, Information Technology and Institutional Infrastructure, and Research and Technology) to ensure the efficient, effective use of the resources entrusted to the Agency.
b. NASA's strategic acquisition process supports obtaining, or advancing the development of, the systems, research, services, construction, and supplies to fulfill the Agency's mission and other activities which advance the Agency's statutory objectives. Within the framework of this strategic acquisition process, NASA utilizes multiple authorities to meet these objectives. NASA's authorities include, but are not limited to, grants, cooperative agreements, international agreements, and Space Act Agreements (SAAs), in addition to NASA's acquisition authority to contract for goods and services through procurements. The Agency also has the authority to enter into other types of arrangements depending on the circumstances, such as Inter-Agency Agreements (IAAs), leases, concession agreements, property loan agreements, and Cooperative Research and Development Agreements (CRADAs). This NPD establishes the strategic acquisition governance framework under which these authorities will be used.
c. This strategic acquisition process supports NASA's strategic management system, as defined in NPD 1000.0, Governance and Strategic Management Handbook, by augmenting the Agency governance structure for decision making with the processes necessary to support efficient, effective execution of Agency programs and projects. This strategic acquisition process begins with an idea or proposal that aligns with NPD 1001.0, NASA Strategic Plan, and fulfills an identified need or objective and ends with the completion of a program or project or the final disposition of a product or service (see Figure 1.0). The integration of the strategic acquisition process and the strategic management system ensures special attention is given to major acquisitions and significant adjustments to portfolio content. Major acquisitions that are directed at and critical to fulfilling the Agency's mission, entail the allocation of relatively large resources, or warrant special management attention.
REFER TO NID 1000.110 FOR REVISED LANGUAGE IN PARAGRAPH 1D.
d. This integration of the strategic acquisition process and the strategic management system is implemented by the Strategy Implementation Planning (SIP) process that guides specific budget and acquisition decisions. This allows the evaluation of issues such as the appropriate application of administration priorities, Agency strategic planning and new initiatives in a portfolio of programs and projects, and budget availability to assess both short-term and long-term alignment. The SIP process is implemented through select reviews conducted at the direction of the NASA Administrator, resulting in guidance to inform the strategic acquisition process. This guidance is incorporated into the Strategic Programming Guidance of the Planning, Programming, Budget, and Execution (PPBE) process and further applied to decisions made in the Agency Acquisition Strategy Meetings (ASM), conducted by the NASA Associate Administrator. See attachment D. -- Figure 1.0-NASA Strategic Acquisition Process.
e. It is NASA policy to:
(1) Have a strategic acquisition process that complies with:
(a) All applicable laws and regulations.
(b) Applicable Agency and Center directives, requirements, procedures, and processes.
(c) The Agency's core values.
(2) Execute the strategic acquisition process through a disciplined strategic management system employing:
(a) Clearly defined roles, responsibilities, processes, and requirements for planning and execution.
(b) Both a short-term and long-term perspective.
(c) Monitoring and/or metrics that ensure effective implementation.
(d) Appropriate authorizations and approvals that ensure decisions are made in a timely manner. Decisions, approvals, and authorizations are documented in signed agreements. A signed agreement between authorized employees of NASA organizations serves as a binding agreement between those organizations. A change requires renewed approvals and authorizations or creation of a new agreement.
(e) A process that integrates applicable lessons learned and knowledge sharing.
(f) Appropriate consideration of all NASA authorities when developing the acquisition strategy.
(3) Have checks and balances built into the strategic acquisition process that ensure:
(a) NASA capabilities, as required by senior Agency management to efficiently and effectively implement the NASA Strategic Plan, are maintained, including workforce and infrastructure, over both the short term and long term.
(b) Existing NASA capabilities are used rather than acquiring new capabilities when existing capabilities are available and are considered necessary for NASA's strategic future.
(c) All major new acquisitions and significant adjustments to portfolio content are reviewed by senior Agency management to ensure they fulfill an identified need that is aligned with the NASA Strategic Plan and are compatible with expected resources and capabilities.
(d) The acquisition strategy is reviewed and agreed upon by senior Agency management before authorizing resource expenditures for major acquisitions.
(e) Application of Technical Authority, Dissenting Opinion, independent review, safety, quality assurance, and tailoring principles, as defined in NASA policies and procedural requirements, are applied and tailored for the selected authority.
(4) Ensure that personnel involved in the strategic acquisition process have the appropriate skills, competencies, and certifications across the range of management, technical, and business disciplines necessary to carry out their individual acquisition responsibilities.
(5) Ensure that organizations having a substantive interest in the acquisition strategy are effectively integrated into the strategic acquisition process as early as appropriate and throughout the duration of their interest in order to include their needs, benefit from their experience, and encourage communication.
(6) Ensure acquisitions that require cost, schedule, and/or confidence level estimates are based on realistic estimates and achievable schedules that:
(a) Cover all costs associated with meeting the need or achieving the objective, including:
(1) Costs such as institutional support requirements, technology investments, and multi-Center operations.
(2) Costs associated with Agency constraints.
(b) For major acquisitions, are based on probabilistic cost and scheduleestimate(s) and confidence level(s) that have been approved by the decision authority.
(7) Ensure when acquisition decisions are made the strategy, direction, and execution phases have consistent acquisition commitments to assure overall alignment for all authorities using Agency resources with cost estimates by fiscal year and applicable Federal budget account projections.
(8) Ensure organizations meet programmatic, institutional, technical, cost, and schedule commitments to fulfill the NASA acquisition strategy, as determined by the selected NASA authority.
(9) Incorporate a risk-informed decision-making process that includes the identification, analysis, and management of programmatic, institutional, technical, cost, schedule, environmental, safety, management, industry, and external policy risks that might jeopardize the successful execution of the Agency's acquisition strategies.
(10) Consider, when developing an acquisition strategy, the full spectrum of acquisition approaches, as appropriate, to advance the Agency's objectives, taking into consideration providing best value, maximizing competition, and preserving the Agency's core capabilities. Seek to optimize the use of NASA's, industry's, and academia's expertise, and maintain the required supporting workforce and industrial base.
(11) Ensure that execution of the acquisition strategy respects and appropriately maintains the relationship between NASA and its suppliers or partners, including their separate roles and responsibilities.
(12) Promote competition and small business participation throughout the strategic acquisition process.
(13) Require disclosure of financial interests from those persons participating in the strategic acquisition process, and avoid personal conflicts of interest to the greatest extent possible in all acquisitions.(14) Ensure that organizational conflicts of interest are identified and resolved throughout the strategic acquisition process.
REFER TO NID 1000.110 FOR ADDED LANGUAGE TO INCLUDE PARAGRAPH 1F.
a. This NPD is applicable to NASA Headquarters and NASA Centers, including Component Facilities and Technical and Service Support Centers. This language applies to contractors, grant recipients, or parties to agreements only to the extent specified or referenced in the appropriate contracts, grants, or agreements.
b. In this directive, all document citations are assumed to be the latest version unless otherwise noted.
c. In this NPD, "shall" denotes a mandatory action, "may" or "can" denotes discretionary privilege or permission, "should" denotes a good practice and is recommended, but not required, "will" denotes expected outcome, and "are/is" denotes descriptive material.
a. Office of Federal Procurement Policy Act, Chief Acquisition Officers and Senior Procurement Executives, 41 U.S.C. 1702.
b. National Aeronautics and Space Act of 1958, as amended, 51 U.S.C. § 20101.
c. Services Acquisition Reform Act of 2003 (SARA), Public Law 108-136, enacted as title 14 of the Fiscal Year 2004 National Defense Authorization Act.
d. The Federal Acquisition Regulation (FAR), issued as 48 Code of Federal Regulations (C.F.R.), Chapter 1.
e. NPD 1000.0, NASA Governance and Strategic Management Handbook.
f. NPD 1000.3, The NASA Organization.
a. The NASA FAR Supplement (NFS), issued as 48 C.F.R., Chapter 18.
b. NPD 1001.0, NASA Strategic Plan.
a. The Administrator shall:
(1) Issue Agency strategic guidance and ensure all major new acquisition initiatives fulfill an identified need aligned with the NASA Strategic Plan.
(2) Appoint the Agency's Chief Acquisition Officer (CAO), as defined in 41 U.S.C. 1702 (b), to ensure that the Agency's mission is achieved through the management of the Agency's acquisition activities.
b. The NASA Associate Administrator shall:
(1) Ensure that proposed acquisition strategies have resulted from consideration of the full spectrum of acquisition approaches.
(2) Approve Agency acquisition strategies.
(3) Balance acquisition strategy decisions for individual programs and projects against the Agency portfolio, such that the portfolio remains consistent with Agency strategic guidance.
(4) Ensure the execution of all program and project acquisitionstrategies through NASA's disciplined strategic management system.
c. The Associate Deputy Administrator for Strategy and Policy shall:
(1) Facilitate the NASA Administrator's strategic planning processes to provide strategic acquisition guidance.
(2) Ensure objective, transparent, and multidisciplinary analysis of acquisition approaches to inform strategic decision making.
(3) Provide leadership in the development and application of NASA's acquisition policy.
d. The NASA Chief Financial Officer shall:
(1) Oversee all financial management activities relating to acquisition.
(2) Ensure that, through the PPBE process, Agency resources are strategically aligned and managed to meet the Agency's acquisition goals and plans.
e. The Chief Technologist shall:
(1) Oversee policy development that ensures technology development acquisitions provide critical capabilities that support missions and are aligned with established priorities and longer-term national needs.
(2) Participate in the strategic acquisition process to ensure applicable technology transfer and commercialization requirements are incorporated into acquisition strategy.
f. The NASA Chief Information Officer shall ensure that the acquisition requirements of information technology products and services meet Federal laws and directives, and are consistent with the NASA EnterpriseArchitecture and IT standards.
g. The NASA Chief Engineer shall:
(1) Develop program and project management procedural requirements that appropriately address strategic acquisition processes.
(2) Oversee engineering management functions that support NASA acquisitions, including assessment of engineering capabilities and integration, and the implementation of the engineering Technical Authority processes.
(3) Oversee, assess, and ensure integration of the program and project management functions and capabilities that support NASA acquisitions.
(4) Manage services that promote effective knowledge management and ensure integration of lessons learned in NASA acquisition policy.
h. The NASA Chief Safety and Mission Assurance Officer shall ensure that safety, reliability, and quality requirements are properly considered and incorporated into NASA strategic acquisition processes in accordance with Federal regulations, Agency policy, and other authorities.
i. The Office of the General Counsel shall:
(1) Ensure the consistent application of NASA policies, applicable statutes, regulations, and/or other authorities.
(2) Ensure that identified potential personal conflicts of interest are avoided or mitigated to the extent possible.
(3) Work with Mission Directorates, Program and Project Offices, and the Office of Procurement to identify and address organizational conflict of interest issues.
(4) Prescribe Agency-wide policies governing the conduct of activities arising under NASA's "other transaction" authority provided in 51 U.S.C. §20113(e) and under authority to enter into Cooperative Research and Development Agreements under 15 U.S.C. 3710a.
j. The Office of International and Interagency Relations shall:
(1) Coordinate all NASA international cooperative and reimbursable activities and partnerships, as well as Agency-level policy interactions with executive branch departments and agencies.
(2) Review procurements from foreign entities, as defined in the NASA FAR Supplement.
k. The Associate Administrator for Small Business Programs shall promote small business participation in NASA acquisitions in accordance with 48 C.F.R. 19.201.
l. Mission Directorate Associate Administrators shall:
(1) Ensure all new acquisition initiatives and ongoing programs and projects in their portfolio fulfill an identified need aligned with the NASA Strategic Plan and meet the Agency statutory objectives.
(2) Consider the full spectrum of acquisition authorities when developing and proposing an acquisition strategy, ensuring the proposed strategy is matched to the requirement and appropriate legal authority.
(3) Base acquisitions on realistic cost estimates and schedules.
(4) Ensure that a risk-informed strategic acquisition process is included in their risk management activities.
(5) Ensure consistency between acquisition cost estimates and commitments by fiscal year and applicable budget account projections to ensure overall alignment with expected resources.
(6) Ensure that individual programs and projects are budgeted and have funding strategies in accordance with NASA acquisition policies and as approved by the relevant decision authority of the responsible management council.
(7) Promote competition and small business participation throughout the strategic acquisition process.
m. The Mission Support Directorate Associate Administrator shall:
(1) Develop, manage, and sustain the Agency's institutional capabilities required for execution of NASA's acquisition authorities.
(2) Ensure institutional capabilities are developed and maintained to support acquisition delivery through all subordinate organizations, with specific acquisition responsibilities delegated to the Assistant Administrators for Procurement and Strategic Infrastructure as articulated below.
n. The Assistant Administrator (AA) for Procurement shall:
(1) Serve as the Agency's Deputy CAO, Senior Procurement Executive, and Competitive Sourcing Official. As Deputy CAO, the AA for Procurement shall support the CAO to ensure that the Agency's mission is achieved through the management of the Agency's FAR-based acquisition activities in accordance with 41 U.S.C. Section 1702(b).
(2) Provide functional management and policy guidance on grants and cooperative agreements.
o. The Assistant Administrator for Strategic Infrastructure shall manage Agency acquisition activities related to real property programs that include NASA aircraft, facility design and construction, facility maintenance and repair, utilities systems and supplies, operations, utilization and real estate acquisition and disposal management, and management of the Construction of Facilities resources.
p. Center Directors shall:(1) Develop, manage, and sustain the Center's institutional capabilities required for support of NASA's acquisitions. (2) Ensure the appropriate integration of these institutional requirements, capabilities, and resources in support of the acquisitions of programs, projects, and missions assigned to the Center.
(3) Monitor the status and progress of acquisitions executed at their Center.
(4) Ensure the Center is capable of accomplishing the acquisitions in support of programs, projects, and other activities assigned to it in accordance with Agency policy and the Center's best practices and institutional policies.
(5) Ensure training is provided to personnel involved in the strategic acquisition process necessary to carry out their individual responsibilities.
(6) Ensure that Center risk management activities include a risk-informed strategic acquisition process.
(7) Promote competition and small business participation throughout the strategic acquisition process.
q. Program and project managers or equivalent shall:
(1) Consider the full spectrum of acquisition approaches when developing an acquisition strategy for their program or project, and base acquisitions on realistic planning, cost, and schedule.
(2) Ensure that organizations having a substantive interest in an acquisition are effectively integrated into the strategic acquisition process as early as appropriate and throughout the duration of the organizations' interest.
(3) Document program or project commitments (and changes) and be accountable for performance of the acquisitions for which they are responsible.
(4) Ensure that a risk-informed strategic acquisition process is included in their risk management activities.
(5) Respect and appropriately maintain the relationship between NASA and its contractors and suppliers, including their separate roles and responsibilities.
r. The NASA Chief Acquisition Officer shall:
(1) Serve at the appointment of the NASA Administrator.
(2) Ensure that the Agency's mission is achieved through the management of the Agency's acquisition activities in accordance with 41 U.S.C. 1702
a. Compliance with this policy will be measured by senior management's evaluation of performance.
b. Compliance with this policy will be ensured by internal and external management control systems and reporting.
NPD 1000.5, NASA Acquisition Policy, dated January 15, 2009.
Acquisition - Obtaining, or advancing the development of, the systems, research, services, construction, and supplies to fulfill the Agency's mission and other activities which advance the Agency's statutory objectives. (The definition of acquisition in this document is used in a broader context than the FAR definition to encompass the spectrum of various NASA acquisition authorities and approaches to achieve the Agency's mission and activities).
REFER TO NID 1000.110 FOR REVISED DEFINITION
Acquisition Strategy - The plan or approach for using NASA's acquisition authorities to achieve the mission of a program or project. It includes the recommendations from make/buy analyses, the recommendations from competed/directed analyses, proposed partnerships and contributions, proposed infrastructure use and needs, budget, and any other applicable considerations.
Acquisition Strategy Meeting (ASM) - A decision-making forum where senior Agency management reviews and approves program and project acquisition strategies. The ASM focuses on considerations such as impacting the Agency workforce, maintaining core capabilities, make-or- buy decisions, supporting Center assignments, potential partnerships, and risk.
Approval - Permission by an authorized employee to proceed with a proposed course of action. Approvals must be documented.
Competition - An acquisition strategy whereby more than one entity is sought to bid or propose in order to provide capabilities. The awardee is selected on the basis of criteria established by the activity for which the work is to be performed.
Cooperative Research and Development Agreements (CRADA) - CRADA means any agreement between one or more Federal laboratories and one or more non-Federal parties under which the Government, through its laboratories, provides personnel, services, facilities, equipment, intellectual property, or other resources with or without reimbursement (but not funds to non-Federal parties) and the non-Federal parties provide funds, personnel, services, facilities, equipment, intellectual property, or other resources toward the conduct of specified research or development efforts which are consistent with the missions of the laboratory; a CRADA does not include a procurement contract or cooperative agreement.
Major Acquisition - Acquisitions that are directed at and critical to fulfilling the Agency's mission, entail the allocation of relatively large resources, or warrant special management attention.
Procurement - The acquiring by contract with appropriated funds of supplies or services (including construction) by and for the use of the Federal Government through purchase or lease, whether the supplies or services are already in existence or must be created, developed, demonstrated, and evaluated.
Space Act Agreements (SAA) - The National Aeronautics and Space Act of 1958 (herein, the Space Act), as amended (51 U.S.C. 20113(e)), authorizes NASA "to enter into and perform such ... other transactions as may be necessary in the conduct of its work and on such terms as it may deem appropriate, with any agency or instrumentality of the United States, or with any state, territory, or possession, or with any political subdivision thereof, or with any person, firm, association, corporation, or educational institution."
Strategic Management/Strategic Management System - A series of integrated activities that enable the Agency to establish and execute strategy, make decisions, allocate resources, formulate and implement programs and projects, and measure performance. The comprehensive set of processes that NASA follows is collectively called the strategic management system, which is described in NPD 1000.0.
Strategy Implementation Planning Process (SIP)- The SIP process represents an integrated Agency-level activity to transform high-level Agency strategy into guidance for implementing NASA's portfolio and budget planning.
Supplier - An individual, partnership, company, corporation, association, or other service having a contract or agreement for the design, development, manufacture, maintenance, modification, or supply of items under the terms of a contract or agreement. A government activity performing any or all of the above is considered a supplier.
CAO Chief Acquisition Officer
CFR Code of Federal Regulations
COR Contracting Officer's Representative
CRADA Cooperative Research and Development Agreements
FAR Federal Acquisition Regulation
NFS NASA FAR Supplement
NPD NASA Policy Directive
NPR NASA Procedural Requirements
PPBE Planning, Programming, Budget, and Execution
SAA Space Act Agreements
U.S.C. United States Code
C.1 Small Business Act, 15 U.S.C. 644.
C.2 Export Administration Regulations (EAR), 15 C.F.R. Parts 730-774.
C.3 Stevenson-Wydler Technology Innovation Act of 1980, 15 U.S.C. 3701 et seq.
C.4 International Traffic in Arms Regulations (ITAR), 22 C.F.R. Parts 120-130.
C.5 The Clinger-Cohen Act of 1996 (Section 808 of Pub. L. 104-208; renaming, in pertinent part, the Information Technology Management Reform Act, Division E of Pub. L. 104-106), 40 U.S.C. 11101.
C.6 Federal Acquisition Regulation, 48 C.F.R. Chapter 1.
C.7 NASA Federal Acquisition Regulation (FAR) Supplement (NFS), 48 C.F.R. Chapter 18.
C.8 Small Business Programs, 48 C.F.R. Chapter 19.201.
C.9 NASA FAR Supplement, C.F.R. 48, Part 1807.170, Procurement Strategy Meeting.
C.10 NASA FAR Supplement, C.F.R 48, Part 1807.71, Master Buy Plan.
C.11 OMB Circular A-11, Preparation, Submission, and Execution of the Budget.
C.12 OMB Circular A-76, Performance of Commercial Activities.
C.13 OMB Circular A-110, Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations.
C.14 NASA library: NASA Acquisition Internet Service.
C.15 Office of Procurement Home Page.
C.16 NASA Lessons Learned Information System (LLIS).
C.17 NASA Cost Estimating Handbook.
C.18 NASA Advisory Implementing Instruction, NAII 1050-1C, "Space Act Agreements Guide."
C.19 NASA Strategic Sourcing Program (NSSP) C.21 ANSI/EIA 748, Earned Value Management Systems.
C.20 DoDD 5000.1, The Defense Acquisition System, May 12, 2003.
C.21 Framework for Assessing the Acquisition Function at Federal Agencies, U.S. Government Accountability Office, September 2005.
D.1 NPD 1000.0, NASA Governance and Strategic Management Handbook.
D.2 NPD 1000.3, The NASA Organization.
D.3 NPD 1001.0, 2011 NASA Strategic Plan.
D.4 NPD 1050.1, Authority to Enter Into Space Act Agreements.
D.5 NPD 1080.1, Policy for the Conduct of NASA Research and Technology (R&T).
D.6 NPD 1210.2, NASA Surveys, Audits, and Reviews Policy.
D.7 NPD 1360.2, Initiation and Development of International Cooperation in Space and Aeronautics Programs.
D.8 NPD 2086.1, Coordination of Remedies for Fraud and Corruption Related to NASA Acquisition Activities.
D.9 NPD 5000.2, Small Business Subcontracting Goals.
D.10 NPD 5101.1, Requirements for Legal Review of Procurement Matters.
D.11 NPD 5101.32, Procurement.
D.12 NPD 7100.8, Protection of Human Research Subjects.
D.13 NPD 7120.4, NASA Engineering and Program/Project Management Policy.
D.14 NPD 7330.1, Approval Authorities for Facility Projects.
D.15 NPD 7410.1, Management of Contract and Grant Support Services Obtained From External Sources.
D.16 NPD 7500.2B, NASA Innovative Partnerships Program.
D.17 NPD 8700.1, NASA Policy for Safety and Mission Success.
D.18 NPD 8730.5, NASA Quality Assurance Program Policy.
D.19 NPD 8820.2, Design and Construction of Facilities.
D.20 NPD 8900.5, NASA Health and Medical Policy for Human Space Exploration.
D.21 NPD 9250.1A, Capital Asset Identification and Treatment.
D.22 NPD 9501.1, NASA Contractor Financial Management Reporting System.
D.23 NPR 1080.1, Requirements for the Conduct of NASA Research and Technology (R&T).
D.24 NPR 2190.1, NASA Export Control Program.
D.25 NPR 5100.4, Federal Acquisition Regulation Supplement (NASA/FAR Supplement).
D.26 NPR 5101.33, Procurement Advocacy Programs.
D.27 NPR 5800.1, Grant and Cooperative Agreement Handbook.
D.28 NPR 5810.1, Standard Format for NASA Research Announcements (NRAs) and other Announcements for Grants and Cooperative Agreements.
D.29 NPR 5900.1, NASA Spare Parts Acquisition.
D.30 NPR 7120.5, NASA Space Flight Program and Project Management Requirements.
D.31 NPR 7120.6, Lessons Learned Process.
D.32 NPR 7120.7, NASA Information Technology and Institutional Infrastructure Program and Project Management Requirements.
D.33 NPR 7120.8, NASA Research and Technology Program and Project Management Requirements.
D.34 NPR 7123.1, NASA Systems Engineering Processes and Requirements.
D.35 NPR 7500.1, NASA Technology Commercialization Process w/Change.
D.36 NPR 8000.4, Agency Risk Management Procedural Requirements.
D.37 NPR 8580.1, NASA National Environmental Policy Act Management Requirements.
D.38 NPR 8705.2, Human-Rating Requirements for Space Systems.
D.39 NPR 8705.5, Technical Probabilistic Risk Assessment (PRA) Procedures for Safety and Mission Success for NASA Programs and Projects.
D.40 NPR 8715.3, NASA General Safety Program Requirements.
D.41 NPR 8735.2, Management of Government Quality Assurance Functions for NASA Contracts.
D.42 NPR 8820.2, Facility Project Requirements.
D.43 NPR 9090.1, Reimbursable Agreements.
D.44 NPR 9250.1, Property, Plant, and Equipment and Operating Materials and Supplies.
D.45 NPR 9420.1, Budget Formulation.
D.46 NPR 9470.1, Budget Execution.
D.47 NPR 9501.2, NASA Contractor Financial Management Reporting.