2024 NASA SBIR Ignite Solicitation.pdf

National Aeronautics and

Space Administration (NASA)

Small Business Innovation Research (SBIR)

SBIR Ignite Solicitation

Fiscal Year 2024

Complete Proposal Package Due Date and Time:

July 30, 2024 by 5:00 p.m. ET

Contents

Executive Summary

1. Program Description

1.1 Legislative Authority and Background

1.1.1 Due Diligence Program to Assess Security Risks

1.2 Purpose and Priorities

1.3 Three-Phase Program

1.4 Availability of Funds

1.5 Eligibility Requirements

1.5.1 Small Business Concern (SBC) Certification

1.5.2 SBC Size

1.5.3 SBIR Restrictions on Level of Small Business Participation

1.5.4 Place of Performance and American-made Products and Equipment

1.5.5 Principal Investigator (PI) Employment Requirement

1.5.6 Novated/Successor in Interested/Revised Funding Agreements

1.5.7 Restrictions on Venture-Capital-Owned Businesses

1.5.8 Joint Ventures or Limited Partnerships

1.5.9 Required Benchmark Transition Rate

1.6 NASA Technology Available (TAV) for SBIR Use

1.6.1 Use of NASA Software

1.6.2 Use of NASA Patent

1.7 I-Corps™

1.8 Technical and Business Assistance (TABA)

1.9 Small Business Administration (SBA) Applicant Resources

1.10 NASA Mentor-Protégé Program (MPP)

1.11 Fraud, Waste and Abuse and False Statements

1.12 NASA Procurement Ombudsman Program

1.13 Questions About This Solicitation and Means of Contacting NASA SBIR Program

1.14 Definitions

2. Certifications and Other Proposal Requirements

2.1 Small Business Administration (SBA) Company Registry

2.2 System for Award Management (SAM) Registration

2.3 Certifications

2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries

2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses

2.5 Software Development Standards

2.6 Human and/or Animal Subject

2.7 Flight Safety Standards

2.8 HSPD-12

3. Proposal Preparation Instructions and Requirements

3.1 Multiple Proposal Submissions

3.2 Requirements to Submit a Complete Phase I Proposal Package

3.2.1 General Requirements

3.2.2 Format Requirements

3.2.3 Complete Phase I Proposal Package

3.2.3.4 Proposal Summary

3.3 Requirements to Submit a Complete Phase II Proposal Package

3.3.1 General Requirements

3.3.2 Format Requirements

3.3.3 Complete Phase II Proposal Package

3.4 Understanding the Patent Landscape

3.5 Proprietary Information in the Proposal Submission

3.6 Release of Certain Proposal Information

4. Method of Selection and Evaluation Criteria

4.1 Phase I Evaluation Process and Evaluation Criteria

4.1.1 Administrative Review

4.1.2 Proposal Responsiveness

4.1.3 Evaluation Criteria

4.1.4 Scoring of Factors and Weighting to Determine the Most Highly Rated Proposals

4.1.5 Price Evaluation

4.1.6 Panel Review

4.1.7 Selection

4.1.8 Determination of cost/price reasonableness and responsibility

4.1.9 I-Corps Evaluation Process

4.2 Phase II Evaluation Process and Evaluation Criteria

4.2.1 Administrative Review

4.2.2 Evaluation Criteria

4.2.3 Scoring of Factors and Weighting to Determine the Most Highly Rated Proposals

4.2.4 Price Evaluation

4.2.5 Panel Review

4.2.6 Selection

4.2.7 Determination of cost/price reasonableness and responsibility

4.3 Technical and Business Assistance (TABA)

4.4. Access to Proprietary Data by Non-NASA Personnel

4.4.1 Non-NASA Reviewers

4.4.2 Non-NASA Access to Confidential Business Information

4.5 Notification and Feedback to Offerors

4.5.1 Providing Feedback

5. Considerations

5.1 Requirements for Negotiations

5.1.1 Requirements for Contracting

5.2 Awards

5.2.1 Anticipated number of Awards

5.2.2 Award Conditions

5.2.3 Type of Contract

5.2.4 Model Contracts

5.3 Reporting and Required Deliverables

5.4 Payment Schedule

5.5 Profit or Fee

5.6 Cost Sharing

5.7 Rights in Data Developed Under SBIR Funding Agreements

5.8 Copyrights

5.9 Invention Reporting, Election of Title, Patent Application Filing, and Patents

5.11 Government-Furnished and Contractor-Acquired Property

5.12 Essentially Equivalent Awards and Prior Work

5.13 Additional Information

5.13.1 Precedence of Contract Over this Solicitation

5.13.2 Evidence of Contractor Responsibility

5.14 Use of Government Resources

5.15 Agency Recovery Authority and Ongoing Reporting

6. Submission of Proposals

6.1 How to Submit Your Proposal Package

6.1.1 Electronic Submission Requirements via ProSAMS

6.1.2 Deadlines for Submitting a Complete Proposal Package

6.1.3 Proposal Package Submission

6.1.4 Acknowledgment of Receipt of a Complete Proposal Package

6.1.5 Withdrawal of Complete Proposal Packages

6.1.6 Service of Protests

7. Scientific and Technical Information Sources

7.1 NASA Organizational and Programmatic Information

7.2 United States Small Business Administration (SBA)

7.3 National Technical Information Service

8. Submission Forms

8.1 SBIR Phase I Checklist

8.2 SBIR Phase II Checklist

9. Research Topics for the SBIR Ignite Solicitation

Topic Ai02.24: Aviation-Ready Electrical Energy Storage for All-Electric or Hybrid Electric Aircraft

Topic Hi02.24: Leak-Free Cryogenic Valves and Quick Disconnects

Topic Si02.24: Decision Support Tools Using NASA Earth Science Data

Appendices

Appendix A: Technology Readiness Level (TRL) Descriptions

Appendix B: SBIR and the Technology Taxonomy

Appendix C: List of NASA SBIR Phase I Clauses, Regulations and Certifications

Fiscal Year 2024 SBIR Ignite Solicitation Section 1: Program Description

Executive Summary

The NASA Small Business Innovation Research (SBIR) program focuses on transforming scientific discovery into products and services through innovations that have potential for infusion into NASA programs and missions, potential for commercialization into commercial markets, and societal benefit. Unlike fundamental research, the

NASA SBIR program supports small businesses in the creation of innovative, disruptive technologies and enables the application of research advancements from concept to market. Unlike most investors, the NASA SBIR program provides non-dilutive funding at the earliest stages of company and technology development.

The SBIR Ignite Solicitation is a limited pilot initiative focused on technologies with a strong commercial pull. The topic areas of interest for this solicitation have been specifically selected for their commercial relevance.

Offerors must demonstrate how their technology meets a need within the commercial market and provide a strong plan for commercialization of the technology to be competitive for award.

If you are familiar with the traditional NASA annual SBIR and STTR solicitations, you will notice significant differences in section 3: Proposal Preparation Instructions and Requirements; section 4: Method of Selection and

Evaluation Criteria; section 6: Submission of Proposals; and section 8: Submission Forms. Be sure to read each of these sections carefully to ensure your proposal makes it through administrative screening to be considered.

For Phase I, the technical proposal will be separated into 2 distinct parts:

• A White Paper

• A Slide Deck

Firms may be invited to present to a panel made up of NASA subject matter experts and/or 3rd party reviewers.

Like the 2024 NASA SBIR Phase I solicitation, proposal submission will occur through ProSAMS rather than the standard Electronic Handbook (EHB) platform.

Phase II proposals will be due 120 days from the start of the Phase I period of performance. Firms will be notified of the exact date when they receive their Phase I award. The goal is to reduce the time between the end of the

Phase I and the beginning of the Phase II periods of performance.

The SBIR Ignite program aims to accelerate the advancement of technology to market. Firms are encouraged to propose the shortest Phase II period of performance that is required to reach their proposed milestones and not to default to the maximum 24-month period of performance. Note: The Phase I period of performance is expected to be the standard 6 months.

NASA requests Small Business Concerns (SBCs) to submit proposals for the SBIR Ignite solicitation during fiscal year

(FY) 2024.This solicitation includes instructions for you to submit complete proposal packages as well as background information, eligibility and certification requirements, evaluation criteria, and contracting considerations. Details on the research topic areas appear in section 9. Communication between NASA and firms is through email during the solicitation period. The SBIR Ignite proposal submission period begins Monday, June 10, 2024 and ends at 5 p.m. Eastern Time on Tuesday, July 30, 2024.

1. Program Description

1.1 Legislative Authority and Background

Congress created the Small Business Innovation Research (SBIR) program to support scientific excellence and technological innovation through the investment of federal research funds. The purpose of this investment is to build a strong national economy, strengthen the role of small business in meeting federal research and development needs, increase the commercial application of research results, and foster and encourage participation by socially and economically disadvantaged and women-owned small businesses.

The Small Business Administration (SBA) provides policy through the combined Small Business Innovation Research

(SBIR) and Small Business Technology Transfer (STTR) programs. The SBIR and STTR Extension Act of 2022 amended the Small Business Act (15 U.S.C. 638) to extend the SBIR and STTR programs until September 30, 2025.

1.1.1 Due Diligence Program to Assess Security Risks

The SBIR and STTR Extension Act of 2022 requires NASA, in coordination with the SBA, to establish and implement a due diligence program to assess security risks presented by offerors seeking a federally funded award. As noted above, the NASA SBIR/STTR Programs follow the policies and practices of the SBA SBIR/STTR Policy Directive.

Revisions to the Policy Directive are in effect as of May 3, 2023, and can be viewed through the Federal Register

Notice. This revision is incorporated into this solicitation, including Appendix III, “Disclosures of Foreign Affiliations or Relationships to Foreign Countries” as reflected in the Disclosures of Foreign Affiliations or Relationships to

Foreign Countries form (see section 2.3.1).

In accordance with section 4 of the SBIR and STTR Extension Act of 2022, NASA will review all proposals submitted in response to this solicitation to assess security risks presented by offerors seeking an SBIR or STTR award. NASA will use information provided by the offeror in response to the Disclosures of Foreign Affiliations or Relationships to Foreign Countries form and the proposal to conduct a risk-based due diligence review on the cybersecurity practices, patent analysis, employee analysis, and foreign ownership of a small business concern, including the financial ties and obligations (which shall include surety, equity, and debt obligations) of the offeror and its employees to a foreign country, foreign person, or foreign entity.

1.2 Purpose and Priorities

This solicitation sets the requirements for you, the offeror, to submit a proposal to NASA for Small Business

Innovation Research (SBIR) Program Ignite Phase I projects in fiscal year (FY) 2024. NASA will release its FY 2024

Phase I SBIR Ignite solicitation on Monday, June 10, 2024. You must submit completed proposal packages by

Tuesday, July 30, 2024, 5:00 p.m. Eastern.

The Space Technology Mission Directorate (STMD) directs implementation of the NASA SBIR and STTR programs.

The NASA SBIR/STTR Program Management Office (PMO), hosted at the NASA Ames Research Center, operates the programs together with NASA mission directorates and centers. The NASA Shared Services Center (NSSC) manages

SBIR and STTR procurements.

Each year NASA mission directorates, programs, and projects identify the research problems and technology needs that the SBIR program will solicit. The range of problems and technologies is broad, and the list of research subtopics varies from year to year to maintain alignment with current interests.

https://www.congress.gov/bill/117th-congress/senate-bill/4900/text https://www.sbir.gov/about https://www.federalregister.gov/documents/2023/04/03/2023-06870/small-business-innovation-research-program-and-small-business-technology-transfer-program-policy https://www.federalregister.gov/documents/2023/04/03/2023-06870/small-business-innovation-research-program-and-small-business-technology-transfer-program-policy

1.3 Three-Phase Program

NASA SBIR projects advance through three phases and are described in detail on the NASA SBIR/STTR website:

https://sbir.nasa.gov/.

Phase I

Phase I projects should demonstrate technical feasibility of the proposed innovation and the potential for use in a NASA program or mission and/or the commercial market. The NASA SBIR Program does not make awards solely directed toward system studies, market research, routine engineering, development of existing product(s), proven concepts, or modifications of existing products without substantive innovation.

Maximum value and period of performance (POP) for Phase I:

Phase I Contracts SBIR

Maximum Contract Value $150,000

Period of Performance 6 months

Phase II

Phase II proposals continue the research and development started in Phase I to bring the innovation closer to use in a NASA program or mission and/or the commercial market. Phase II requires a more detailed proposal of the technical effort and commercialization strategy. Only Phase I awardees are eligible to submit a Phase II proposal within 120 days from the start of the Phase I period of performance. Firms will be notified of the exact date when they receive their Phase I award. The goal is to reduce the time between the end of the Phase I and the beginning of the Phase II periods of performance. Firms are encouraged to propose the shortest Phase II period of performance that is required to reach their proposed milestones and not to default to the maximum

24-month period of performance.

Phase II Contracts SBIR

Maximum Contract Value $850,000

Maximum Period of Performance 24 months

Post-Phase II Opportunities for Continued Technology Development

Phase I and II awards may not be sufficient in either dollars or time to prepare the project for government or commercial use. Therefore, NASA supports small businesses beyond Phase I and II awards with several Post

Phase II initiatives. Please refer to the NASA SBIR/STTR website for eligibility, application deadlines, matching requirements and further information.

Phase III

Phase III is the commercialization of innovative technologies, products, and services resulting from either a

Phase I or Phase II contract. This includes further development of technologies for transition into NASA programs, other Government agencies, or the private sector. Phase III contracts are funded from sources other https://sbir.nasa.gov/ than the SBIR and STTR programs and may be awarded without further competition. SBIR awardees are eligible to receive sole-source Phase III contracts any time after award of their Phase I contracts. Please refer to https://sbir.nasa.gov/content/post-phase-ii-initiatives#Phase-III for Phase III information.

1.4 Availability of Funds

NASA does not commit to fund any proposal or to make a specific number of awards. NASA may elect to make several or no awards in any specific research subtopic. NASA will determine the number of awards based on the level of appropriated funding provided to the program in FY 2024.

NASA will not accept more than 1 proposal packages from any one offeror. NASA does not plan to award more than one (1) SBIR contracts to any offeror. See sections 3.1 and chapter 4.

1.5 Eligibility Requirements

1.5.1 Small Business Concern (SBC) Certification

You must submit a certification stating that the SBC meet the size, ownership, and other requirements of the SBIR program at the time of proposal package submission, award, and at any other time set forth in SBA’s regulations at

13 CFR §§ 121.701-121.705. NASA encourages socially and economically disadvantaged and women-owned SBCs to propose.

1.5.2 SBC Size

You, combined with affiliates, must not have more than 500 employees.

1.5.3 SBIR Restrictions on Level of Small Business Participation

You must be the primary performer of the proposed research effort. To be awarded an SBIR Phase I contract, you must perform at least two-thirds or 67% of the effort, and subcontractors or consultants may perform up to one-third or 33% of the effort.

1.5.4 Place of Performance and American-made Products and Equipment

Congress intends that the Awardee of a Funding Agreement under the SBIR/STTR program should, when purchasing any equipment or a product with funds provided through the Funding Agreement, purchase only

American-made equipment and products, to the extent possible, in keeping with the overall purposes of this program.

If a rare and unique circumstance exists (for example, if a supply, material, equipment, product, subcontractor/ consultant, or project requirement is not available in the United States), NASA requires you to provide justification by completing the Foreign Vendor Form. This form must be submitted within the Proposal Budget Form, see section 3.2.3.5 NASA will consider a deviation request during contract negotiation and either approve or decline before award.

If a foreign vendor is proposed, the Phase I contract may be delayed or not awarded.

NASA will not approve purchases from or work with countries that appear on the Designated Country list. For reference, please see https://www.nasa.gov/oiir/export-control.

https://sbir.nasa.gov/content/post-phase-ii-initiatives#Phase-III https://www.govinfo.gov/content/pkg/CFR-2013-title13-vol1/pdf/CFR-2013-title13-vol1-sec121-702.pdf https://www.nasa.gov/oiir/export-control

1.5.5 Principal Investigator (PI) Employment Requirement

Requirements SBIR

Primary Employment Principal investigator must be primarily employed with the SBC

Employment Certification For Phase I, the principal investigator must be primarily employed with the SBC at the time of award and during the conduct of the proposed project. Primary employment means that more than one-half of the PI employment time is spent in the employ of the SBC, based on a 40-hour workweek. NASA considers a 19.9-hour or more workweek elsewhere to conflict with this rule.

Co-PIs Not allowed

Deviation Request NASA will review any deviation requests during negotiation and either approve or decline before award.

Misrepresentation of Qualifications If you mispresent qualifications, NASA will decline the proposal package or terminate the contract.

Substitution of PIs To substitute PIs, you must request approval from NASA after award

1.5.6 Novated/Successor in Interested/Revised Funding Agreements

An SBIR awardee may include, and SBIR work may be performed by, those identified via a “novated” or “successor in interest” or similarly revised funding agreement. In addition, an SBIR awardee may include those that have merely reorganized with the same key staff, regardless of whether they have been assigned a different tax identification number. In cases where there is a novation or similarly revised funding agreement, agencies may require the original awardee to relinquish its rights and interests in an SBIR project in favor of another applicant as a condition for that applicant's eligibility to participate in the programs for that project.

1.5.7 Restrictions on Venture-Capital-Owned Businesses

Small businesses owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms are not eligible to submit a proposal to this solicitation.

1.5.8 Joint Ventures or Limited Partnerships

Both joint ventures and limited partnerships are permitted, provided the entity created qualifies as an SBC defined in 1.5.1. Include in the proposal package a copy or summary of the joint venture or partnership agreement that includes, at a minimum, a statement of how the workload will be distributed, managed, and charged. See definitions for Joint Ventures along with examples at 13 CFR 121.103(h).

1.5.9 Required Benchmark Transition Rate

More experienced firms (SBCs with 21 or more Phase I awards) must meet performance benchmark requirements to continue participating in SBIR and STTR programs. The purpose of these benchmarks is to ensure that Phase I offerors that have won multiple prior SBIR and STTR awards are progressing towards commercialization. SBA will notify companies failing the benchmarks as well as the relevant officials at participating agencies like NASA.

Please refer to https://www.sbir.gov/performance-benchmarks for more information.

https://www.govinfo.gov/content/pkg/CFR-2013-title13-vol1/pdf/CFR-2013-title13-vol1-sec121-103.pdf https://www.sbir.gov/performance-benchmarks https://www.sbir.gov/performance-benchmarks

1.6 NASA Technology Available (TAV) for SBIR Use

You may use technology developed by NASA, or Technology Available (TAV), on SBIR projects. NASA has over 1,400 patents available for licensing, including many patents related to sensors and materials, and over 1,000 available software applications/tools in the Portfolio and Software Catalog via the NASA Technology Transfer Portal, http://technology.nasa.gov.

NASA provides these technologies "as is" and makes no representation or guarantee that additional effort will result in infusion or commercial viability. Whether or not an offeror proposes the use of a NASA patent or computer software within its proposed effort will not in any way be a factor in the selection for award.

1.6.1 Use of NASA Software

If you intend to use NASA software, a Software Usage Agreement (SUA), on a nonexclusive, royalty-free basis, is necessary, and the clause at 48 C.F.R. 1852.227-88, Government-Furnished Computer Software and Related

Technical Data, will apply to the contract. Awardees will request the SUA from the appropriate NASA Center

Software Release Authority (SRA) after contract award.

1.6.2 Use of NASA Patent

If you intend to use a NASA patent, you must apply for a nonexclusive, royalty-free evaluation license prior to submitting a proposal. After you have identified a patent to license in the NASA patent portfolio

(http://technology.nasa.gov), click the link on the patent webpage (“Apply Now to License this Technology”) to

NASA’s Automated Licensing System (ATLAS) to finalize your license with the appropriate field center technology transfer office. You must provide the completed evaluation license application with the proposal following the directions in section 3.3.3.7.

The evaluation license will automatically terminate at the end of the SBIR contract. License applications are treated in accordance with federal patent licensing regulations in 37 CFR Part 404. In addition to an evaluation license, if the proposed work includes the making, using, or selling of products or services incorporating a NASA patent, successful awardees will be given the opportunity to negotiate a nonexclusive commercialization license or, if available, an exclusive commercialization license to the NASA patent. Commercialization licenses are also provided in accordance with 37 CFR Part 404.

An SBIR awardee that has been granted a nonexclusive, royalty-free evaluation license to use a NASA patent under the SBIR award may, if available and on a noninterference basis, also have access to NASA personnel knowledgeable about the NASA patent. Licensing executives located at the appropriate NASA field center will be available to assist awardees requesting information about a patent that was identified in the SBIR contract and, if available and on a noninterference basis, provide access to the inventor or surrogate for the purpose of knowledge transfer.

Access to the inventor for the purpose of knowledge transfer will require the requestor to enter into a non-disclosure agreement (NDA) or other agreement, such as a Space Act Agreement. The awardee may be required to reimburse NASA for knowledge transfer activities. This is a time-consuming process and therefore, NASA does not recommend it for Phase I projects.

1.7 I-Corps™

NASA partners with the National Science Foundation (NSF) to give Phase I awardees the opportunity to participate in the NSF Innovation Corps (I-Corps™) program. I-Corps enables you to conduct customer discovery to learn your http://technology.nasa.gov/ http://technology.nasa.gov/ customers' needs, to obtain a better understanding of your company's value proposition, and to develop an outline of a business plan for moving forward. This training is designed to lower the market risk inherent in bringing a product or innovation to market, thereby improving the chances for a viable business. For more information on the NASA I-Corps program, visit the NASA SBIR/STTR website.

If you are selected for Phase I contract negotiations, you will be provided the opportunity to opt into and participate in the NASA SBIR/STTR I-Corps program as indicated in section 4.1.9

The amount of funding is up to $10,000 to support participation in the shortened I-Corps version for SBIR awardees. I-Corps awards will be made separately with a modification with the Phase I contract.

1.8 Technical and Business Assistance (TABA)

Under the Small Business Act, you may request a Technical and Business Assistance (TABA) supplement up to

$6,500 above the award amount of the Phase I contract. At Phase II, you may request a TABA supplement up to

$50,000. If your project is selected for award and the TABA supplement is authorized by NASA, you must use the

TABA supplement to contract with one or more vendors to receive services to assist in:

• Making better technical decisions concerning this SBIR project

• Solving technical problems that arise during the conduct of this SBIR project

• Minimizing technical risks associated with this SBIR project

• Commercializing new products and processes resulting from this SBIR project

TABA may include, for example:

• Access to a network of non-NASA scientists and engineers

• Assistance with product sales

• Intellectual property (IP) protections

• Market research

• Market validation

• Development of regulatory and manufacturing plans

• Access to technical and business literature available through online databases

TABA vendors may include private commercialization assistance or business development service providers, public-private partnerships, other entrepreneurial support organizations (ESOs), and attorneys or other IP or licensing professionals. TABA funds may not be used to fund activities conducted internally by the small business awardee.

For information on how to request a TABA supplement at Phase I, please see section 3.2.3.9, Request for Use of

Technical and Business Assistance Funds. NASA does not guarantee approval of requests for a TABA supplement.

Awardees who receive a TABA supplement must deliver a description of services obtained, and results at completion of their Phase I contract. For reference, see https://www.sbir.gov/node/2088581.

1.9 Small Business Administration (SBA) Applicant Resources

The SBA works with several local partners of various organizational types to train and support potential SBIR/STTR applicants around the country from proposal assistance to SAM registration, and commercialization support to industry connections. To find local assistance visit: https://www.sbir.gov/local-assistance.

To find out more information on the specific types of SBA federal resources available, visit:

https://www.sbir.gov/resources.

https://www.govinfo.gov/content/pkg/COMPS-1834/pdf/COMPS-1834.pdf https://www.sbir.gov/node/2088581 https://www.sbir.gov/local-assistance https://www.sbir.gov/resources

1.10 NASA Mentor-Protégé Program (MPP)

The purpose of the NASA Mentor-Protégé Program (MPP) is to provide incentives to NASA contractors, performing under at least one active approved subcontracting plan negotiated with NASA, to assist protégés in enhancing their capabilities to satisfy NASA and other contract and subcontract requirements. The NASA MPP established under the authority of Title 42, United States Code (U.S.C.) 2473(c)(1) and managed by the Office of Small Business

Programs (OSBP), includes an Award Fee Pilot Program. Under the Award Fee Pilot Program, a mentor is eligible to receive an award fee at the end of the agreement period based upon the mentor’s performance of providing developmental assistance to an active SBIR/STTR Phase II contractor in a NASA Mentor-Protégé agreement (MPA).

For more information on the Mentor-Protégé Program, please visit https://www.nasa.gov/osbp/mentor-protege-program/.

1.11 Fraud, Waste and Abuse and False Statements

Fraud is “any false representation about a material fact or any intentional deception designed to deprive the

United States unlawfully of something of value or to secure from the United States a benefit, privilege, allowance, or consideration to which an individual or business is not entitled.”

NASA reserves the right to decline any proposal packages that include plagiarism and false claims. Further, 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 proposal packages 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: https://oigforms.nasa.gov/wp_cyberhotline.html

Or by mail:

NASA Office of Inspector General

P.O. Box 23089

L'Enfant Plaza Station

Washington, DC 20026

1.12 NASA Procurement Ombudsman Program

The NASA Procurement Ombudsman Program is available under this solicitation as a procedure for addressing concerns and disagreements concerning the terms of the solicitation, the processes used for evaluation of proposal packages, or any other aspect of the SBIR procurement. The clause at NASA Federal Acquisition

Regulation (FAR) Supplement (NFS) 1852.215-84 (“Ombudsman”) is incorporated into this solicitation.

https://www.nasa.gov/osbp/mentor-protege-program/ https://www.nasa.gov/osbp/mentor-protege-program/

The cognizant ombudsman is:

Marvin Horne, Procurement Ombudsman

Office of Procurement

NASA Headquarters

Washington, DC 20546-0001

Telephone: 202-358-4483

Email: nhq-dl-op-comp-advocate-vendor-engagement@mail.nasa.gov

In accordance with NFS 1852.215-84, the ombudsman does not participate in any way with the evaluation of proposal packages, the source selection process, or the adjudication of formal contract disputes. Therefore, before consulting with the ombudsman, you must first address your concerns, issues, disagreements, and/or recommendations to the Contracting Officer for resolution. The process set forth in this solicitation provision (and described at NFS 1852.215-84) does not change your right to file a bid protest or the period in which to timely file a protest.

1.13 Questions About This Solicitation and Means of Contacting NASA SBIR Program

To ensure fairness, NASA will not answer questions about the intent and/or content of research subtopics in this solicitation during the open solicitation period.

If you have questions requesting clarification of proposal package instructions and administrative matters, refer to the NASA SBIR/STTR website or contact the NASA SBIR/STTR Helpdesk. The Helpdesk will not guarantee a timely answer to questions received after July 23, 2024, at 5:00 p.m. ET.

1. NASA SBIR/STTR Website: http://sbir.nasa.gov

2. Helpdesk:

a. Email: agency-sbir@mail.nasa.gov

b. You must provide the name and telephone number of the person to contact, the organization name and address, and the specific questions or requests.

1.14 Definitions

NASA strongly encourages you to review the list of definitions available at https://www.nasa.gov/sbir_sttr/program-definitions/. These definitions include those from the combined

SBIR/STTR Policy Directives as well as terms specific to NASA.

mailto:nhq-dl-op-comp-advocate-vendor-engagement@mail.nasa.gov http://sbir.nasa.gov/ mailto:sbir@reisystems.com https://www.nasa.gov/sbir_sttr/program-definitions/

FY 2024 SBIR Ignite Solicitation Section 2: Certifications

2. Certifications and Other Proposal Requirements

2.1 Small Business Administration (SBA) Company Registry

You must register with SBA’s Company Registry and update your commercialization status. See https://www.sbir.gov/registration. You must provide your unique SBC Control ID (assigned by SBA upon completion of the Company Registry registration) and upload a PDF copy of the SBA Company Registry registration with the Firm Certification From.

2.2 System for Award Management (SAM) Registration

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. You 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.

You must start the registration process with SAM prior to submitting a proposal package. To be eligible for SBIR awards, you must have an active SAM registration under North American Industry Classification System (NAICS) code 541713 or 541715 at the time of proposal selection.

If you do not have an active SAM registration at the time of proposal selection, you will be ineligible for award. If you have started the registration process but did not complete the registration by the time of proposal selection, you will be ineligible for award.

If you are not registered, you should consider applying for registration immediately upon receipt of this solicitation. Typically, SAM registration and updates to SAM registration take several weeks. NASA recommends to list Purpose of Registration as “All Awards” on your SAM Registration.

2.3 Certifications

You must complete the Firm and Proposal Certifications by answering “Yes” or “No” to certifications as applicable in the Proposal Submissions and Award Management System (ProSAMS). Carefully read each of the certification statements. The Federal Government relies on the information to determine whether you are eligible for a SBIR program award. ProSAMS requires firm registration and login. To access ProSAMS, go to https://prosams.nasa.gov.

Additional guidance is available in the ProSAMS SBC Registration and Login Digital Guide:

https://prosams.nasa.gov/training/ProSAMS_SBIR_STTR_Digital_Guide_Registration_and_Login_R4_02162024.pdf

NASA uses a similar certification to ensure continued compliance with specific program requirements at time of award and at the time of final payment. 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 invoice certifications and as a condition for payment, a life cycle certification shall be completed in ProSAMS. The life cycle certification shall be completed along with the final invoice certification before uploading the final invoice in the Department of Treasury’s Invoice

Processing Platform (IPP).

https://www.sbir.gov/registration https://www.sam.gov/SAM/pages/public/index.jsf https://www.sam.gov/SAM/pages/public/index.jsf https://prosams.nasa.gov/ https://prosams.nasa.gov/training/ProSAMS_SBIR_STTR_Digital_Guide_Registration_and_Login_R4_02162024.pdf

If the Contracting Officer believes that you may not meet certain eligibility requirements for award, they may request you provide clarification or supporting documentation. If the Contracting Officer still believes you are not eligible, you must file a size protest with the SBA, who will determine eligibility.

For Phase II awards, two life cycle certifications shall be completed in ProSAMS. 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.

2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries

You must complete the “Disclosures of Foreign Affiliations or Relationships to Foreign Countries” form as part of your proposal submission. Even if you do not have any foreign relationships, you must complete this form to represent that such relationships do not exist. If you do not submit this form, NASA will decline your proposal during the administrative screening process, and it will not be evaluated. Foreign involvement or investment does not independently disqualify you but failing to disclose such affiliations or relationships may result in denial of an award.

The disclosures require the following information:

• 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

China;

• 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;

• 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 entity;

• whether the small business concern is wholly owned in the People’s Republic of China or another foreign country of concern;

• 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;

• 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

• any foreign entity, offshore entity, or entity outside the United States related to the small business concern.

After reviewing the above listed disclosures, and if determined appropriate by NASA, the program may ask you 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 before proposal submission.

During award, you must 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 you may access at https://www.acquisition.gov/browsefar as part of the required registration (see FAR 4.1102). You must complete these certifications to be eligible for award. You must provide representations and certifications electronically via the website and update the representations and certifications as necessary, and at least annually, to keep them current, accurate, and complete. NASA will not enter any contract if you do not comply with these requirements.

In addition, you will need to be aware of the clauses that will be included in the contract if selected for a contract.

For a complete list of FAR and NASA clauses see Appendix C.

2.5 Software Development Standards

If you are proposing projects involving the development of software, you may be required to comply with NASA

Procedural Requirements (NPR) 7150.2D, NASA Software Engineering Requirements, available online at https://nodis3.gsfc.nasa.gov/npg_img/N_PR_7150_002D_/N_PR_7150_002D__Preface.pdf.

2.6 Human and/or Animal Subject

NASA requires a protocol approved by a NASA review board if proposed work includes human or animal subjects.

Due to the complexity of the approval process, NASA does not allow use of human and/or animal subjects for

Phase I projects. For additional information, contact the NASA SBIR/STTR Program Office at agency-sbir@mail.nasa.gov. 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 HSPD-12

If your project is selected for award and requires access to federally controlled facilities or access to a federal information system (as defined in FAR 2.101(b)(2)) for 6 consecutive months or more, you must apply for and receive appropriate Personal Identify Verification (PIV) credentials.

FAR clause 52.204-9, Personal Identity Verification of Contractor Personnel, states in part that the contractor must ensure that individuals needing such access provide the personal background and biographical information requested by NASA. See https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-3.pdf.

https://www.acquisition.gov/browsefar https://nodis3.gsfc.nasa.gov/npg_img/N_PR_7150_002D_/N_PR_7150_002D__Preface.pdf mailto:sbir@reisystems.com mailto:sbir@reisystems.com https://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=8079&s=1 https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-3.pdf

Section 3: Proposal Preparation Instructions and Requirements

3. Proposal Preparation Instructions and Requirements

3.1 Multiple Proposal Submissions

NASA will not accept more than one (1) proposal package from any one firm.

3.2 Requirements to Submit a Complete Phase I Proposal Package

3.2.1 General Requirements

NASA will be using ProSAMS for the submission of these proposal packages. This solicitation guides firms through the steps for submitting a complete proposal package. All submissions will be completed through the secure

ProSAMS URL and most communication between NASA and the firm is through email. To access ProSAMS, go to https://prosams.nasa.gov. Additional details are available in section 6.

The complete Phase I proposal package must contain a slide deck, white paper, and all required forms as described in section 3.2.3 below.

Be thoughtful in selecting a subtopic to ensure the proposal is responsive to the subtopic. NASA will not move a proposal between subtopics or programs.

3.2.2 Format Requirements

NASA administratively screens all elements of a completed proposal package and will reject any proposal that does not conform to the following formatting requirements:

Page Limitations and Margins

A Phase I technical proposal shall contain 2 elements:

• The Slide Deck:

o Must not exceed 15 slides.

• The White Paper:

o Must not exceed 7 standard 8.5- by 11-inch (21.6- by 27.9-cm) pages.

o Margins must be 1.0 inch (2.5 cm). Offerors must ensure that the margins comply before uploading.

NASA will not accept technical proposal uploads with any page(s) over the required page limits. The additional forms required for proposal package submission do not count against the page limits.

Type Size

Use type size 10 point or larger for text or tables, except as legends on reduced drawings.

Header/Footer Requirements

Include the SBC name, proposal number, and project title in the slide deck title bars and the header on each page of the proposal. Include the page number and proprietary legend (see section 3.5), if applicable, in the footer on each page of the proposal. You may use margins for header/footer information.

Classified Information

NASA will reject any proposal package that contains classified information.

Project Title

The proposal project title must be concise and descriptive of the proposed effort. Do not use the NASA research subtopic title, acronyms, or words like "development of" or "study of."

Templates

Templates for the slide deck and white paper are available on the NASA SBIR/STTR Ignite website

(https://www.nasa.gov/sbir_sttr/sbir-ignite/). Use of the templates is not required but is highly recommended to ensure compliance with formatting requirements.

3.2.3 Complete Phase I Proposal Package

To be considered complete, each Phase I proposal package submitted shall contain the following items:

1. Proposal Information

2. Contacts

3. Proposal Certifications

4. Proposal Summary (must not contain proprietary data)

5. Budget (including letters of commitment for government resources and subcontractors/consultants, other direct costs, and the foreign vendor form, if applicable)

6. Slide Deck

7. White Paper

8. NASA Evaluation License Application (only if TAV is being proposed)

9. Technical and Business Assistance (TABA) request (optional)

10. Letters indicating financial support/funding commitments

11. I-Corps Interest Form

12. Firm-Level Forms (completed once for all proposals submitted by a firm to a single solicitation)

a. Firm Information

b. Firm Certifications

c. Disclosures of Foreign Affiliations or Relationships to Foreign Countries

d. Audit Information

e. Prior Awards Addendum (for firms with more than 15 Phase II awards in the past 5 years)

f. Commercialization Metrics Survey (CMS)

Note: The program will not consider additional items such as relevant technical papers, product samples, videotapes, slides, or other ancillary item during the review process.

3.2.3.1 Proposal Information

You must provide the selected topic for your proposal, the proposal title, and certify you have read and understand the requirements for proposal submission.

3.2.3.2 Proposal Contacts

You must provide complete information for each contact person and submit the form as required. Contact

Information is public information and may be disclosed.

3.2.3.3 Proposal Certifications

You must provide complete information for each question in the form and certify its accuracy as required.

3.2.3.4 Proposal Summary

You must provide complete information for each section of the form as required. The Proposal Summary, including the technical abstract, is public information and may be disclosed.

3.2.3.5 Proposal Budget Form

You must complete the Proposal Budget form following the instructions provided. See 5.5 Profit for Fee and 5.6

Cost Sharing. The total requested funding for the Phase I effort must not exceed $150,000 or $156,500 (if requesting $6,500 for Technical and Business Assistance (TABA), see section 1.9 and 3.2.3.8 for more information on the TABA opportunity). more information on the TABA opportunity).

All proposed cost is supported with documentation, such as a quote, previous purchase order, published price lists, etc. NASA is not responsible for any monies you expend for proposal preparation and submission.

In addition, you must submit the following information in the Proposal Budget form, as applicable:

• Use of a Foreign Vendor. If you are requesting to purchase products and equipment from a foreign vendor, you must complete the Foreign Vendor Form (see section 1.5.4 for more information).

• Use of Government Resources. If you plan to use government resources (such as, services, equipment, facilities, laboratories, etc.), as described in Part 8 of the technical proposal instructions, you must provide the following:

1. Statement, signed by the appropriate Federal department or agency official, verifying that the resources are available during the proposed period of performance, authorizing their use, and if applicable, including the associated cost.

2. Signed letter on your company letterhead explaining why your SBIR research project requires the use of government resources. Include data that verifies the absence of non-federal facilities or personnel capable of supporting the research effort, and, if applicable, the associated cost estimate.

Due to the complexity and length of time for the approval process, NASA strongly discourages you from requesting the use of government resources during the performance of a Phase I. Approval for the use of government resources for a Phase I technical proposal requires a strong justification at the time of submission and will require approval by the Contracting Officer during negotiations if selected for award.

• Use of Subcontractors and Consultants. You may establish business arrangements with other entities or individuals to perform some of the proposed research/research and development (R/R&D) effort, within the limits in section 1.5 and below. Subcontractors' and consultants' work must also be performed in the

United States (see section 1.5.4 for more information).

If you propose using subcontractors or consultants, you must submit the following:

1. List of consultants by name with the number of hours and hourly costs identified for each consultant.

2. Subcontractor budget that aligns with your Proposal Budget form and includes direct labor, other direct costs, and profit, as well as indirect rate agreements.

3. A letter of commitment for each subcontractor and/or consultant, dated and signed by the appropriate person with contact information.

a. If a university is proposed as a subcontractor, the signed letter must be on the university letterhead from the Office of Sponsored Programs.

b. If an independent consultant is proposed, the signed letter must not be on university letterhead.

The proposed subcontracted business arrangements for Phase I contracts, including consultants, must not exceed 33 percent of the research and/or analytical work.