2. Certifications and Other Proposal Requirements
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 at least annually 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 registers with SBA and/or updates their commercialization information, the offeror needs to obtain a PDF copy of the registration. 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 with the Firms Certification Form. Additional information in section 2.3 below.
2.2 System for Award Management (SAM) Registration
Offerors are encouraged to register with SAM prior to submitting a proposal in order to account for a potentially significant wait time in granting an active registration. To be eligible for SBIR awards, firms must be registered under the applicable North American Industry Classification System (NAICS) codes. For SBIR Phase I and II awards these codes are 541713 or 541715. Offerors without an active SAM registration by the beginning of the contract negotiation period (section 1.4) will be ineligible for award. Offerors who started the registration process but did not complete the registration by the contract negotiation period 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, maintained by the Department of Defense, 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. Note: It is recommended to list Purpose of Registration as “All Awards” on your SAM Registration.
Offerors must complete the Firm and Proposal Certifications by 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 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 Contracts Electronic Handbook (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 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 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/displayDir.cfm?t=NPR&c=7150&s=2.
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 firstname.lastname@example.org. Reference 14 CFR 1230 and 1232.
Due to the complexity of the approval process, use of human and/or animal subjects is not allowed for Phase I contracts.
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.