5.1 Requirement for Contracting
To simplify making contract awards and to reduce processing time, all contractors selected for Phase I and Phase II contracts shall ensure that:
- All information in your proposal is current, e.g., your address has not changed, the proposed PI is the same, etc. If changes have occurred since submittal of your proposal, notify the Contracting Officer immediately.
- Your firm is registered with System for Award Management (SAM) (section 2.2).
- Your firm is in compliance with the VETS-4212 requirement (section 2.3.1). Confirmation of that the report has been submitted to the Department of Labor is current shall be provided to the Contracting Officer within 10 business days of the notification of selection for negotiation.
- Your firm HAS NOT proposed a Co-Principal Investigator.
- STTR selectees should provide a copy of their executed Allocation of Rights Agreement to the Contracting Officer within 10 business days of receiving notification of selection for negotiation.
- Your firm is required to provide timely responses to all communications from the NSSC Contracting Officer.
- All proposed cost is supported with documentation such as a quote, previous purchase order, published price lists, etc. All letters of commitment are dated and signed by the appropriate person. If a University is proposed as a subcontractor or a RI, the signed letter shall be on the University letterhead from the Office of Sponsored Programs. If an independent consultant is proposed, the signed letter should not be on a University letterhead. If the use of government facility or equipment is proposed, your firm shall submit a signed letter from the government facility stating the availability, cost if any, and authorizing the use of it, and a signed letter from your firm justifying the need to use the facility.
From the time of proposal notification of selection for negotiation, until the award of a contract, all communications shall be submitted electronically to NSSC-SBIR-STTR@nasa.gov.
Note: Costs incurred prior to and in anticipation of award of a contract are entirely the risk of the contractor in the event that a contract is not subsequently awarded. A notification of selection for negotiation is not to be misconstrued as an award notification to commence work.
5.2.1 Model Contracts
An example of the Phase I and II contracts can be found in the NASA SBIR/STTR Firm Library: http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.
Note: Model contracts are subject to change.
5.3 Reporting and Required Deliverables
An IT Security Management Plan is required at the beginning of the contract. Contractors interested in doing business with NASA and/or providing IT services or solutions to NASA should use the list found at the website of the Office of the Chief Information Officer (OCIO) as a reference for information security requirements - https://www.nasa.gov/content/security-requirements-policies. An example of the IT Security Management Plan can be found in the NASA SBIR/STTR Firm Library: http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. For more information see NASA FAR Supplement clause 1852.204-76
All contracts shall require the delivery of technical reports that present: (1) the work and results accomplished; (2) the scientific, technical and commercial merit and feasibility of the proposed innovation, and project results; (3) its relevance and significance to one or more NASA interests (section 9); and (4) the strategy for development, transition of the proposed innovation, and project results into products and services for NASA mission programs and other potential customers. Deliverables may also include the demonstration of the proposed innovation and/or the delivery of a prototype or test unit, product or service for NASA testing and utilization.
The technical reports and other deliverables are required as described in the contract and are to be provided to NASA. These reports shall document progress made on the project and activities required for completion. Periodic certification for payment will be required as stated in the contract. A final report must be submitted to NASA upon completion of the Phase I or Phase II R/R&D effort in accordance with applicable contract provisions.
A final New Technology Summary Report (NTSR) is due at the end of the contract, and New Technology Report(s) (NTR) are required if technology(s) are developed under the award, prior to submission of the final invoice. For additional information on NTSR and NTR requirements and definitions see section 1.12 and 5.8.
Report deliverables shall be submitted electronically via the EHB. For any reports that require an upload NASA requests the submission in PDF or MS Word format.
Note: To access contract management in the EHB you will be required to have an identity in the NASA Account Management System (NAMS). This is the agency’s centralized system for requesting and maintaining accounts for NASA IT systems and applications. The system contains user account information, access requests and account maintenance processes for NASA employees, contractors, and remote users such as educators and foreign users. A basic background check is required for this account. Instructions will be provided during contract negotiations.
5.4 Payment Schedule
All NASA SBIR and STTR contracts are firm-fixed-price contracts. The exact payment terms will be included in the contract.
Although invoices are submitted electronically through the Department of Treasury’s Invoice Processing Platform (IPP), as a condition for payment, invoice certifications shall be completed in the EHB for each individual invoice. The certification is pre-set in the EHB and it shall be completed before uploading each invoice in IPP. Upon completion of the certification, a link to IPP is automatically provided in the EHB.
5.5 Profit or Fee
Contracts may include a reasonable profit. The reasonableness of proposed profit is determined by the Contracting Officer during contract negotiations. Reference FAR 15.404-4.
5.6 Rights in Data Developed Under SBIR Funding Agreements
The clause at FAR 52.227-20, Rights in Data—SBIR/STTR Program, governs rights to data used in, or first produced under, any Phase I, Phase II or federally funded SBIR Phase III contract.
Rights in technical data, including software developed under the terms of any funding agreement resulting from applications submitted in response to this solicitation, shall remain with the contractor, except that the government shall have the limited right to use such data for government purposes and shall not release such SBIR/STTR data outside the government without permission of the recipient for a period of not less than 4 years from delivery of the last deliverable under that agreement (either Phase I, Phase II or federally funded SBIR Phase III). Agencies are released from obligation to protect SBIR data upon expiration of the protection period except that any such data that is also protected and referenced under a subsequent SBIR award must remain protected through the protection period of that subsequent SBIR award. However, effective at the conclusion of the 4-year period, the government shall have unlimited rights in any data delivered under the award.
The contractor may copyright and publish (consistent with appropriate national security considerations, if any) material developed with NASA support. NASA receives a royalty-free license for the federal government and requires that each publication contain an appropriate acknowledgment and disclaimer statement.
5.8 Invention Reporting, Election of Title, Patent Application Filing and Patents
Consistent with the SBIR/STTR Program requirements, the Contractor shall complete their electronic submission of the New Technology Report (NTR), for any new subject inventions; and the New Technology Summary Report (NTSR) for the interim and final contract periods, via the SBIR/STTR EHB at http://sbir.nasa.gov under the Handbooks section.
NASA SBIR and STTR contracts will includes FAR 52.227-11 Patent Rights – Ownership by the Contractor and NFS 1852.227-11 Patent Rights – Ownership by the Contractor (APR 2015), which requires SBIR/STTR contractors to disclose all subject inventions to NASA within two (2) months of the inventor’s report to the contractor. A subject invention means any invention of the Contractor made in the performance of work under this contract. Once the contractor discloses a subject invention, the contractor has up to 2 years to notify the government whether it elects to retain title to the subject invention. If the contractor elects to retain title, a patent application covering the subject invention must be initiated within the 1 year statutory period. If the contractor fails to do any of these within time specified periods, the government has the right to obtain title.
Small business concerns normally may elect to retain ownership of any subject invention. In such circumstances, the government shall have a nonexclusive, nontransferable, irrevocable, royalty-free license for federal government use. Further, the government reserves the right to require the patent holder to license others in certain circumstances and may require that anyone exclusively licensed to sell the invention in the United States must normally manufacture it domestically. To the extent authorized by 35 U.S.C. 205, the government will not make public any information disclosing a government-supported invention for a minimum 4-year period (that may be extended by subsequent SBIR funding agreements) to allow the contractor a reasonable time to pursue a patent.
5.9 1852.225-70 Export Licenses
The contractor shall comply with all U.S. export control laws including Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR). Offerors are responsible for ensuring that all employees who will work on this contract are eligible under export control laws, EAR and ITAR. Any employee who is not a U.S. citizen or a permanent resident may be restricted from working on this contract if the technology is restricted under export control laws, ITAR, or EAR unless the prior approval of the Department of State or the Department of Commerce is obtained via a technical assistance agreement or an export license. Violations of these regulations can result in criminal or civil penalties.
For additional information on ITAR, please visit the Code of Federal Regulations at https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title22/22cfr120_main_02.tpl. For additional information on EAR, please visit https://www.bis.doc.gov/index.php/regulations/export-administration-regulations-ear. For additional training, refer to http://sbir.gsfc.nasa.gov/content/training-resources. For additional assistance contact the NASA SBIR helpdesk at firstname.lastname@example.org.
5.10 Government Furnished and Contractor Acquired Property
Title to property furnished by the government will remain with the government. A property loan agreement shall be executed which will include the requirements for return of the property.
Title to property acquired with government funds will be vested with NASA, unless it is determined that transfer of title to the contractor would be more cost effective than recovery of the equipment by NASA.
Note: Use of government facilities is covered in section 5.13 Use of Federal Services, Facilities or Equipment.
5.11 Essentially Equivalent Awards and Prior Work
If an award is made pursuant to a proposal submitted under either SBIR or STTR Solicitations, the firm will be required to certify with every invoice that it has not previously been paid nor is currently being paid for essentially equivalent work by any agency of the federal government. Failure to report essentially equivalent or duplicate efforts can lead to the termination of contracts and/or civil or criminal penalties.
5.12 Additional Information
Precedence of Contract over Solicitation
This Program Solicitation reflects current planning. If there is any inconsistency between the information contained herein and the terms of any resulting SBIR/STTR contract, the terms of the contract take precedence over the solicitation.
Evidence of Contractor Responsibility
In addition to the information required to be submitted for Phase II proposals as stated in in section 3.4.12, before award of an SBIR or STTR contract, the government may request the offeror to submit certain organizational, management, personnel and financial information to establish responsibility of the offeror. Contractor responsibility includes all resources required for contractor performance, i.e., financial capability, work force and facilities.
5.13 Use of Federal Services, Facilities or Equipment
Federal Departments and Agencies
Use of SBIR funding for unique federal/non-NASA services, equipment or facilities from a federal department or agency which does not meet the definition of a federal laboratory as defined in the SBA Policy Directive on the SBIR/STIR Program, requires a waiver from the SBA. Proposals requiring waivers must include an explanation of why the waiver is appropriate. NASA will provide the offeror’s request, along with an explanation to SBA during the negotiation process. NASA cannot guarantee that a waiver can be obtained from SBA. Specific proposal instructions to request use of Federal Services, Facilities or Equipment are in section 3.3 of the solicitation.
Note: NASA Facilities qualify as Federal Laboratories.
Agreement to Use Any Federal Facility
An executed SBIR/STTR Use Agreement, available in the Firm Library (http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html), is required before a contractor can use NASA services, facilities, or equipment. Offerors should not include an executed SBIR/STTR Use Agreement in the proposals. NASA expects selected offerors to execute the SBIR/STTR Use Agreement during their negotiations with NSSC. The information required in the proposals should facilitate executing the SBIR/STTR Use Agreement.
Contractor Responsibilities for Costs
In accordance with the Federal Acquisition Regulations (FAR) Part 45, it is NASA's policy not to provide services, equipment or facilities (resources) [capital equipment, tooling, test and computer facilities, etc.] for the performance of work under SBIR/STTR contracts. Generally, any contractor will furnish its own resources to perform the proposed work on the contract.
In all cases, the Contractor shall be responsible for any costs associated with services, equipment or facilities provided by NASA or another federal department or agency, and such costs shall result in no increase in the price of this contract.
Note: The Facility Use Agreement has been updated to include additional requirements related to NASA IT Security under Section C. Terms and Conditions (of the Facility Use Agreement).