NASA SBIR/STTR Program Solicitation Details | 2. Certifications and Other Proposal Information

2. Certifications and Other Proposal Information

2.1 SBA Firm Registry

SBA maintains and manages a Company Registry at to track ownership and affiliation requirements for all companies applying to the SBIR/STTR Program.  The SBIR and STTR Policy Directives require each small business concern (SBC) applying for a Phase I or Phase II award to register in the Company Registry prior to submitting an application. A PDF document with the SBC registration information is available for download by the SBC upon successful registration. This PDF document must be saved by the SBC for inclusion in applications submitted to SBIR/STTR agencies.  All SBCs must report and/or update ownership information to SBA prior to each SBIR/STTR application submission or if any information changes prior to award. 

In the NASA SBIR/STTR Proposal Submissions Electronic Handbook (EHB), the SBC must provide their unique SBC Control ID that gets assigned by SBA upon completion of the Company Registry registration, as well as upload the PDF document validating their registration.  This information is submitted to NASA via the Firm Certifications form and is applicable across all proposals submitted by the SBC for that specific solicitation. 

2.2 System for Award Management (SAM) Registration

Offerors should be aware of the requirement to register in SAM prior to contract award.

Note: To avoid a potential delay in contract award, offerors are required to register prior to submitting a proposal.  To be eligible for SBIR/STTR awards firms must be registered under the applicable NAICS code.  SBIR/STTR Phase I and II awards use NAICS codes 541713 or 541715. Offerors that are not registered should consider applying for registration immediately upon receipt of this solicitation.  Offerors and contractors may obtain information on SAM registration and annual confirmation requirements at or by calling (866) 606-8220. In the past, registration and updates to registration have required a notarized letter with a processing period of several weeks.

SAM is the primary repository for contractor information required for the conduct of business with NASA. It is maintained by the Department of Defense. To be registered in SAM, all mandatory information, which includes the Data Universal Numbering System (DUNS) or DUNS+4 number, and a Commercial and Government Entity (CAGE) code, must be validated in SAM.

  • The DUNS number is a 9-digit number assigned by Dun and Bradstreet Information Services to identify unique business entities. The DUNS+4 is similar, but includes a 4-digit suffix that may be assigned by a parent (controlling) business concern. To obtain a DUNS number please follow instructions at
  • The CAGE code is assigned by the Defense Logistics Information Service (DLIS) to identify a commercial or government entity. If an SBC does not have a CAGE code, one will be assigned during the SAM registration process.

Note: It is recommended to list Purpose of Registration as “All Awards” on your SAM Registration. 

2.3 FAR Certifications

SAM contains required certifications offerors may access at as part of required registration (see FAR 4.1102).  Offerors must complete these certifications to be eligible for award. 

Offerors should be aware that SAM requires all offerors 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.

2.3.1 52.222-37 Employment Reports on Special Disabled Veterans, Veterans of the Vietnam-Era and Other Eligible Veterans

In accordance with Title 38, United States Code, Section 4212(d), the U.S. Department of Labor (DOL) Veterans' Employment and Training Service (VETS) collects and compiles data on the Federal Contractor Program Veterans' Employment Report (VETS-4212 Report) from federal contractors and subcontractors who receive federal contracts that meet the threshold amount of $100,000. The VETS-4212 reporting cycle begins annually on August 1 and ends September 30. Any federal contractor or prospective contractor that has been awarded or will be awarded a federal contract with a value of $100,000 or greater must have a current VETS-4212 report on file. Please visit the DOL VETS-4212 website at NASA will not enter into any contract wherein the firm is not compliant with the requirements stipulated herein.

2.4 Firm Certifications

Offerors must complete the Firm Certifications section of the Proposal Submissions Electronic Handbook, 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 a SBIR or STTR Program award.  A similar certification will be used to ensure continued compliance with specific program requirements during the life of the funding agreement.  The definitions for the terms used in this certification are set forth in the Small Business Act, SBA regulations (13 C.F.R. Part 121), the SBIR and STTR Policy Directives and any statutory and regulatory provisions referenced in those authorities. 

If the Contracting Officer believes that the business may not meet certain eligibility requirements at the time of award, they are required to file a size protest with the U.S. Small Business Administration (SBA), who will determine eligibility.  At that time, SBA will request further clarification and supporting documentation in order 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.

2.5 NASA Clauses

The following NASA clauses are necessary to implement restrictions in NASA appropriations. Offerors must comply with these clauses to be eligible for award. 

1852.203-71 Requirement to Inform Employees of Whistleblower Rights (Aug 14)

(a)     The Contractor shall inform its employees in writing, in the predominant native language of the workforce, of contractor employee whistleblower rights and protections under 10 U.S.C. 2409, as described in subpart 1803.9 of the NASA FAR Supplement.

(b)    The Contractor shall include the substance of this clause, including this paragraph (b), in all subcontracts.

1852.225-72 Restriction on funding Activity with China – Representation.

(a)     Definition - “China” or “Chinese-owned” means the People’s Republic of China, any company owned by the People’s Republic of China or any company incorporated under the laws of the People’s Republic of China.

(b)    Public Laws 112-10, Section 1340(a) and 112-55, Section 536, restrict NASA from contracting to participate, collaborate, or coordinate bilaterally in any way with China or a Chinese-owned company with funds appropriated on or after April 25, 2011. Contracts for commercial and non-developmental items are excepted from the prohibition as they constitute purchase of goods or services that would not involve participation, collaboration, or coordination between the parties.

(c)     Representation. By submission of its offer, the offeror represents that the offeror is not China or a Chinese-owned company.

2.6 False Statements

Note: Knowingly and willfully making any false, fictitious or fraudulent statements or representations may be a felony under the Federal Criminal False Statement Act (18 U.S.C. Sec 1001), punishable by a fine and imprisonment of up to five years in prison. The Office of the Inspector General (OIG) has full access to all proposals submitted to NASA.

Pursuant to NASA policy, any company representative who observes crime, fraud, waste, abuse, or mismanagement or receives an allegation of crime, fraud, waste, abuse or mismanagement from a federal employee, contractor, grantee, contractor or grantee employee, or any other source will report such observation or allegation to the OIG. NASA contractor employees and other individuals are also encouraged to report crime, fraud, waste and mismanagement in NASA's programs to the OIG. The OIG offers several ways to report a complaint:

NASA OIG Hotline
TDD: 1-800-535-8134

NASA OIG Cyber Hotline

NASA OIG Headquarters
Office of Investigations fax number: 202-358-3914

Or by mail:

NASA Office of Inspector General
P.O. Box 23089
L'Enfant Plaza Station
Washington, DC 20026

2.7 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” which are available online at

2.8 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 subject.  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 subject in the Proposal Certifications form. For additional information, contact the NASA SBIR/STTR Program Management Office at Reference 14 CFR 1230 and 1232.

Note: Due to the complexity of the approval process, use of human and/or animal subjects is not allowed for Phase I contracts.

2.9 HSPD-12

Firms that require access to federally controlled facilities or access to a federal information system (federally  controlled facilities and federal information system are defined in FAR 2.101(b)(2)) for six 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: In accordance with the 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