2. Registrations, Certifications, and Other Completed Proposal Package Information
2.1 Small Business Administration (SBA) Company Registry
All SBCs that are applying to any SBIR solicitation are required to register with the SBIR Company Registry which is managed by the SBA. In addition, all SBCs must update their commercialization status through the SBIR Company Registry. Information related to the steps necessary to register with the SBIR Company Registry can be found at https://www.sbir.gov/registration.
After an SBC registers with SBA and/or updates their commercialization information, the offeror needs to obtain a portable document format (PDF) copy of the SBC registration. In addition, the SBC must provide their unique SBC Control ID (assigned by SBA upon completion of the Company Registry registration) and must upload the PDF copy of the SBC registration in the Firm Certifications form in the EHB and will be provided instructions on how to complete it at time of submission. Firm Certifications are applicable across all proposal packages submitted by an SBC for the specific solicitation and only need to be completed once per solicitation.
2.2 System for Award Management (SAM) Registration
Offerors are required to register with SAM prior to submitting a proposal package. To be eligible for SBIR awards, firms must be registered under the applicable North American Industry Classification System (NAICS) codes for the SBIR Phase II awards (codes 541713 or 541715). It is recommended to list the Purpose of Registration as “All Awards” on your SAM Registration.
Offerors without an active SAM registration by the due date for a proposal package will be ineligible for award. Offerors who started the registration process but did not complete the registration by the due date for a proposal package will be ineligible for award. Offerors who are not registered should consider applying for registration immediately upon receipt of this solicitation. Typically, SAM registration and updates to SAM registration have required a processing period of several weeks.
SAM, maintained by the GSA’s Federal Acquisition Service, is the primary repository for contractor information required to conduct business with NASA. To be registered in SAM, all mandatory information, including the Unique Entity Identifier (UEI) and a Commercial and Government Entity (CAGE) code, must be validated in SAM. Offerors and contractors may obtain information on SAM registration and annual confirmation requirements at https://www.sam.gov/SAM/pages/public/index.jsf or by calling 866-606-8220.
Offerors must complete the Firm and Proposal Certifications section in the Electronic Handbook (EHB), answering “Yes” or “No” to certifications as applicable. Firms should carefully read each of the certification statements. The Federal Government relies on the information to determine whether the business is eligible for an SBIR program award. A similar certification will be used to ensure continued compliance with specific program requirements at the time of award and during the life of the contract. The definitions for the terms used in these certifications are set forth in the Small Business Act, SBA regulations (13 CFR Part 121), the SBIR/STTR programs Policy Directive, and any statutory and regulatory provisions referenced in those authorities.
All SBIR Phase II contractors shall complete the life cycle certifications at the midpoint and at the end of the contract period of performance. The certifications shall be completed by the contractor via the EHB unless otherwise authorized or directed by the Contracting Officer.
If the Contracting Officer believes that the business may not meet certain eligibility requirements at the time of award, the business is required to file a size protest with the SBA, who will determine eligibility. At that time, SBA will request further clarification and supporting documentation to assist in the eligibility determination. Additionally, the Contracting Officer may request further clarification and supporting documentation regarding eligibility to determine whether a referral to SBA is required.
2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries
Each offeror is required to complete the “Disclosures of Foreign Affiliations or Relationships to Foreign Countries” form as part of their proposal submission. Please note that even if you do not have any foreign relationships, you must complete this form to represent that such relationships do not exist. Failure to submit this form will result in the declination of your proposal during the administrative screening process and your proposal will not be evaluated. The disclosure of information related to foreign involvement or investment is required and does not independently disqualify an offeror but failing to disclose such affiliations or relationships may result in denial of an award.
The disclosures require the following information:
(A) the identity of all owners and covered individuals of the small business concern who are a party to any
foreign talent recruitment program of any foreign country of concern, including the People’s Republic of
(B) the existence of any joint venture or subsidiary of the small business concern that is based in, funded by,
or has a foreign affiliation with any foreign country of concern, including the People’s Republic of China;
(C) any current or pending contractual or financial obligation or other agreement specific to a business
arrangement, or joint venture-like arrangement with an enterprise owned by a foreign state or any foreign
(D) whether the small business concern is wholly owned in the People’s Republic of China or another foreign
country of concern;
(E) the percentage, if any, of venture capital or institutional investment by an entity that has a general partner
or individual holding a leadership role in such entity who has a foreign affiliation with any foreign country
of concern, including the People’s Republic of China;
(F) any technology licensing or intellectual property sales to a foreign country of concern, including the
People’s Republic of China, during the five-year period preceding submission of the proposal; and
(G) any foreign entity, offshore entity, or entity outside the United States related to the small business concern.
After reviewing the above-listed disclosures of the offeror, and if determined appropriate by NASA, the program may ask the offeror to provide true copies of any contractual or financial obligation or other agreement specific to a business arrangement or joint venture-like arrangement with an enterprise owned by a foreign state or any foreign entity in effect during the five-year period preceding submission of the proposal with respect to which the offeror made the disclosures.
Throughout the duration of the award, the awardee will be required to regularly report to NASA any changes to a required disclosure.
2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses
SAM contains required certifications that offerors may access at https://www.acquisition.gov/browsefar as part of the required registration (see FAR 4.1102). Offerors must complete these certifications to be eligible for an award.
Offerors should be aware that SAM requires all offerors to provide representations and certifications electronically via the website and to update the representations and certifications as necessary, but at least annually, to keep them current, accurate, and complete. NASA will not enter into any contract wherein the contractor is not compliant with the requirements stipulated herein.
In addition, there are clauses that offerors will need to be aware of if selected for a contract. For a complete list of FAR and NASA clauses see Appendix C.
2.5 Software Development Standards
Offerors proposing projects involving the development of software may be required to comply with the requirements of NASA Procedural Requirements (NPR) 7150.2A, NASA Software Engineering Requirements, available online at https://nodis3.gsfc.nasa.gov/npg_img/N_PR_7150_002C_/N_PR_7150_002C_.pdf.
2.6 Human and/or Animal Subject
Offerors should be aware of the requirement that an approved protocol by a NASA review board is required if the proposed work includes human or animal subjects. An approved protocol shall be provided to the Contracting Officer prior to the initiation of any human and/or animal subject research. Offerors shall identify the use of human or animal subjects in the Proposal Certifications form. For additional information, contact the NASA SBIR/STTR Program Support Office at firstname.lastname@example.org. Reference 14 CFR 1230 and 1232.
2.7 Flight Safety Standards
If you are proposing projects involving the delivery of a spacecraft, you must comply with NASA Procedural Requirements (NPR) 8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space Environment Protection, available online at https://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=8079&s=1.
2.8 Homeland Security Presidential Directive 12 (HSPD-12)
Offerors that require access to Federally controlled facilities or access to a Federal information system (Federally controlled facilities and Federal information systems are defined in FAR 2.101(b)(2)) for 6 consecutive months or more must adhere to Homeland Security Presidential Directive 12 (HSPD-12), Policy for a Common Identification Standard for Federal Employees and Contractors, and Federal Information Processing Standards Publication (FIPS PUB) Number 201, Personal Identity Verification (PIV) of Federal Employees and Contractors, which require agencies to establish and implement procedures to create and use a Government-wide secure and reliable form of identification no later than October 27, 2005. See https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-2.pdf.
This is in accordance with FAR clause 52.204-9, Personal Identity Verification of Contractor Personnel, which states in part that the contractor shall comply with the requirements of this clause and shall ensure that individuals needing such access shall provide the personal background and biographical information requested by NASA.
Note: Additional information regarding PIV credentials can be found at https://csrc.nist.gov/Projects/PIV.