NASA SBIR/STTR 2021 Program Solicitation Details | 2. Registrations, Certifications and Other Proposal Information

2. Registrations, Certifications and Other Proposal Information

2.1 Small Business Association (SBA) Firm Registry

All SBCs that are submitting an application to any SBIR solicitation are required to register with the SBIR Firm Registry.  In addition, all SBCs must update their commercialization status through the SBIR Firm Registry.  Information related to the steps necessary to register with the SBIR Firm Registry can be found at https://www.sbir.gov/registration.

Each SBC applying for a Phase II award is required to update its commercialization information on the SBA Firm Registry for all its prior Phase II awards. Phase II applicants must have updated their information and commercialization status no more than 6 months prior to the date of a proposal submission. 

After an SBC registers with SBA or updates their commercialization information, the offeror must submit a portable document format (PDF) document of the registration and any required certifications with its application following the directions in the EHB.

In the NASA SBIR/STTR Proposal Submissions Electronic Handbook (EHB), the SBC must provide their unique SBC Control ID (assigned by SBA upon completion of the Company Registry registration) and must 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 selection for 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 North American Industry Classification System (NAICS) code. SBIR/STTR Phase I and II awards use NAICS codes 541713 or 541715. Offerors who 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 https://www.sam.gov/SAM/pages/public/index.jsf or by calling 866-606-8220.SAM registration and updates to SAM registration have required 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 http://www.dnb.com.
  • 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 Federal Acquisition Regulation (FAR) Certifications

SAM contains required certifications 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 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.

2.3.1 FAR 52.204-24, Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment (August 2020)

The Offeror shall not complete the representation at paragraph (d)(1) of this provision if the Offeror has represented that it “does not provide covered telecommunications equipment or services as a part of its offered products or services to the Government in the performance of any contract, subcontract, or other contractual instrument” in the provision at FAR 52.204-26, Covered Telecommunications Equipment or Services—Representation, or in paragraph (v) of the provision at FAR 52.212-3, Offeror Representations and Certifications—Commercial Items.

(a) Definitions. As used in this provision—

Backhaul, covered telecommunications equipment or services, critical technology, interconnection arrangements, reasonable inquiry, roaming, and substantial or essential component have the meanings provided in the clause FAR 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment.

(b) Prohibition.

(1) Section 889(a)(1)(A) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115-232) prohibits the head of an executive agency on or after August 13, 2019, from procuring or obtaining, or extending or renewing a contract to procure or obtain, any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. Nothing in the prohibition shall be construed to—

(i) Prohibit the head of an executive agency from procuring with an entity to provide a service that connects to the facilities of a third-party, such as backhaul, roaming, or interconnection arrangements; or

(ii) Cover telecommunications equipment that cannot route or redirect user data traffic or cannot permit visibility into any user data or packets that such equipment transmits or otherwise handles.

 

(2) Section 889(a)(1)(B) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115-232) prohibits the head of an executive agency on or after August 13, 2020, from entering into a contract or extending or renewing a contract with an entity that uses any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. This prohibition applies to the use of covered telecommunications equipment or services, regardless of whether that use is in performance of work under a Federal contract. Nothing in the prohibition shall be construed to—

(i) Prohibit the head of an executive agency from procuring with an entity to provide a service that connects to the facilities of a third-party, such as backhaul, roaming, or interconnection arrangements; or

(ii) Cover telecommunications equipment that cannot route or redirect user data traffic or cannot permit visibility into any user data or packets that such equipment transmits or otherwise handles.

 

(c) Procedures. The Offeror shall review the list of excluded parties in the System for Award Management (SAM) (https://www.sam.gov) for entities excluded from receiving federal awards for “covered telecommunications equipment or services”. 

(d) Representation. The Offeror represents that—

(1) It __ will, __ will not provide covered telecommunications equipment or services to the Government in the performance of any contract, subcontract or other contractual instrument resulting from this solicitation. The Offeror shall provide the additional disclosure information required at paragraph (e)(1) of this section if the Offeror responds “will” in paragraph (d)(1) of this section; and

 

(2) After conducting a reasonable inquiry, for purposes of this representation, the Offeror represents that—It  does,  does not use covered telecommunications equipment or services, or use any equipment, system, or service that uses covered telecommunications equipment or services. The Offeror shall provide the additional disclosure information required at paragraph (e)(2) of this section if the Offeror responds “does” in paragraph (d)(2) of this section.

(e) Disclosures. 

(1) Disclosure for the representation in paragraph (d)(1) of this provision. If the Offeror has responded “will” in the representation in paragraph (d)(1) of this provision, the Offeror shall provide the following information as part of the offer:

(i) For covered equipment—

(A) The entity that produced the covered telecommunications equipment (include entity name, unique entity identifier, CAGE code, and whether the entity was the original equipment manufacturer (OEM) or a distributor, if known);

(B) A description of all covered telecommunications equipment offered (include brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); and

(C) Explanation of the proposed use of covered telecommunications equipment and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(1) of this provision.

(ii) For covered services—

(A) If the service is related to item maintenance: A description of all covered telecommunications services offered (include on the item being maintained: Brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); or

(B) If not associated with maintenance, the Product Service Code (PSC) of the service being provided; and explanation of the proposed use of covered telecommunications services and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(1) of this provision.

(2) Disclosure for the representation in paragraph (d)(2) of this provision. If the Offeror has responded “does” in the representation in paragraph (d)(2) of this provision, the Offeror shall provide the following information as part of the offer:

(i) For covered equipment—

(A) The entity that produced the covered telecommunications equipment (include entity name, unique entity identifier, CAGE code, and whether the entity was the OEM or a distributor, if known);

(B) A description of all covered telecommunications equipment offered (include brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); and

(C) Explanation of the proposed use of covered telecommunications equipment and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(2) of this provision.

(ii) For covered services—

(A) If the service is related to item maintenance: A description of all covered telecommunications services offered (include on the item being maintained: Brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); or

(B) If not associated with maintenance, the PSC of the service being provided; and explanation of the proposed use of covered telecommunications services and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(2) of this provision.

2.3.2 FAR 52.204-26 Covered Telecommunications Equipment or Services-Representation.

As prescribed in 4.2105(c), insert the following provision:

COVERED TELECOMMUNICATIONS EQUIPMENT OR SERVICES-REPRESENTATION (DEC 2019)

      (a) Definitions. As used in this provision, “covered telecommunications equipment or services” has the meaning provided in the clause 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment.

      (b) Procedures. The Offeror shall review the list of excluded parties in the System for Award Management (SAM) (https://www.sam.gov) for entities excluded from receiving federal awards for “covered telecommunications equipment or services”.

      (c) Representation. The Offeror represents that it □ does, □ does not provide covered telecommunications equipment or services as a part of its offered products or services to the Government in the performance of any contract, subcontract, or other contractual instrument.

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

In accordance with Title 38, U.S.C., 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 $150,000. 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 $150,000 or greater must have a current VETS-4212 report on file. Please visit the DOL VETS-4212 website at https://www.dol.gov/agencies/vets/programs/vets4212. NASA will not enter into any contract wherein the firm is not compliant with the requirements stipulated herein.

2.4 Certifications

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 a SBIR or STTR program award. A similar certification will be used to ensure continued compliance with specific program requirements at time of award and 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 CFR Part 121), the SBIR and STTR Policy Directives, and any statutory and regulatory provisions referenced in those authorities. 

For Phase I awards, in addition to the final invoice certification and as a condition for payment of the final invoice, a life cycle certification shall be completed in the EHB. The life cycle certification is preset in the EHB, and it shall be completed along with the final invoice certification before uploading the final invoice in the Department of Treasury’s Invoice Processing Platform (IPP). 

For Phase II awards, two life cycle certifications shall be completed in the EHB. A life cycle certification shall be completed along with the second invoice certification as a condition of payment of the second invoice. Another life cycle certification shall be completed along with the final invoice certification as a condition of payment of the final invoice. The life cycle certifications are preset in the EHB.

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 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. 

2.5.1 Clause 1852.203-71 Requirement To Inform Employees of Whistleblower Rights

  1. 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.
  2. The Contractor shall include the substance of this clause, including this paragraph (b), in all subcontracts.

2.5.2 Clause 1852.225-71 Restriction on Funding Activity With China

(a)    Definition - “China” or “Chinese-owned company” 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 539, restrict NASA from contracting to participate, collaborate, coordinate bilaterally in any way with China or a Chinese-owned company using funds appropriated on or after April 25, 2011. Contracts for commercial and non developmental items are exempted from the prohibition because they constitute purchase of goods or services that would not involve participation, collaboration, or coordination between the parties.

(c)    This contract may use restricted funding that was appropriated on or after April 25, 2011. The contractor shall not contract with China or Chinese-owned companies for any effort related to this contract except for acquisition of commercial and non-developmental items. If the contractor anticipates making an award to China or Chinese-owned companies, the contractor must contact the contracting officer to determine if funding on this contract can be used for that purpose.

(d)    Subcontracts - The contractor shall include the substance of this clause in all subcontracts made hereunder.

2.5.3 Clause 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., section 1001), punishable by a fine and imprisonment of up to 5 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, 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: 1-800-424-9183 (TDD: 1-800-535-8134)

NASA OIG Cyber Hotline: http://oig.nasa.gov/cyberhotline.html

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, available online at http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=7150&s=2.

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 Support Office at sbir@reisystems.com . 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 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.