2. Registrations, Certifications and Other Completed Proposal Package Information
2.1 Small Business Administration (SBA) Firm Registry
All SBCs that are applying to any SBIR solicitation are required to register with the SBIR Firm Registry that is managed by the SBA. 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.
After an SBC register 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 EHB. Offerors should complete the Firm Certifications form in the EHB and will be provided instructions how to complete at time of submission. Firm Certifications are applicable across all completed proposal packages submitted by the SBC for the specific solicitation and the EHB will provide guidance on how to complete these certifications.
2.2 System for Award Management (SAM) Registration
Offerors are required to register with SAM prior to submitting a completed 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 I and II awards (codes 541713 or 541715). Offerors without an active SAM registration by the due date for a completed 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 completed 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.
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 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, including the Unique Entity Identifier (UEI), an existing Data Universal Numbering System (DUNS) or DUNS+4 number and a Commercial and Government Entity (CAGE) code, must be validated in SAM.
- By April of 2022, the federal government will stop using the DUNS number to uniquely identify entities. At that point, entities doing business with the federal government will use a Unique Entity Identifier (UEI) created in SAM.gov. They will no longer have to go to a third-party website to obtain their identifier. This transition allows the government to streamline the entity identification and validation process, making it easier and less burdensome for entities to do business with the federal government.
- If your entity is registered in SAM.gov today, your Unique Entity ID (UEI) has already been assigned and is viewable in SAM.gov. This includes inactive registrations. The Unique Entity ID is currently located below the DUNS Number on your entity registration record. Remember, you must be signed in to your SAM.gov account to view entity records. To learn how to view your Unique Entity ID (UEI) go to this help article.
- Refer to the Guide to Getting a Unique Entity ID if you want to get a Unique Entity ID (UEI) for your organization.
- 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 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 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/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).
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.
2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses
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.
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 D.
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 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.
2.7 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.
