NASA 2026-2027 SBIR STTR BAA Amendment 2.pdf

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning or (c) By separate letter or electronic communication which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by letter or electronic communication, provided each letter or electronic communication makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

E. IMPORTANT: Contractor is not is required to sign this document and return copies to the issuing office.

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE

2. AMENDMENT/MODIFICATION NUMBER 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQUISITION NUMBER 5. PROJECT NUMBER (If applicable)

7. ADMINISTERED BY (If other than Item 6) CODE

STANDARD FORM 30 (REV. 11/2016)

Prescribed by GSA FAR (48 CFR) 53.243

FACILITY CODE

9A. AMENDMENT OF SOLICITATION NUMBER

9B. DATED (SEE ITEM 11)

10A. MODIFICATION OF CONTRACT/ORDER NUMBER

10B. DATED (SEE ITEM 13)

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers is extended. is not extended.

12. ACCOUNTING AND APPROPRIATION DATA (If required) copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted;

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS.

IT MODIFIES THE CONTRACT/ORDER NUMBER AS DESCRIBED IN ITEM 14.

CHECK ONE A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER

NUMBER IN ITEM 10A.

B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation data, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

D. OTHER (Specify type of modification and authority)

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

15C. DATE SIGNED

15A. NAME AND TITLE OF SIGNER (Type or print)

16C. DATE SIGNED

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)

PAGE OF PAGES

6. ISSUED BY CODE

8. NAME AND ADDRESS OF CONTRACTOR (Number, street, county, State and ZIP Code) (X)

CODE

15B. CONTRACTOR/OFFEROR

(Signature of person authorized to sign)

16B. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

Previous edition unusable

National Aeronautics and Space Administration

Small Business Innovation Research (SBIR) and

Small Business Technology Transfer (STTR) Programs

Fiscal Year 2026-2027 Broad Agency Announcement (BAA) Broad Agency Announcement Omnibus 80NSSC26R0003

Original Release: April 17, 2026

Effective through September 30, 2027

Refer to Appendices for Proposal Due Dates

Disclaimer: This document is a Broad Agency Announcement Omnibus which, by itself, is not a solicitation. Solicitations will come in the form of appendices to this document that will be released as NASA needs warrant.

SBIR/STTR BAA Change Log

Version Description of Changes Date

Original Release ----- Apr. 17, 2026

Amendment 1 - Modified 4.1.3 and 4.1.4 to remove reference to Apr. 28, 2026 “weighting, and definitions” and 4.2 to remove reference to “opportunity-specific rubric”

- Clarified language in 3.1.5.4 and 5.13 for required signatories for government resource usage.

Amendment 2 - Modified 3.1.3 to provide additional guidance on Phase II Sep. 30, 2026 solicitation notification

- Modified 3.1.5.11 to change name from “Commercialization Metrics Report” to “Company Commercialization Report”

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)

1.5.2 SBC Size

1.5.3 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™(Phase I Only)

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 General Information

1.13.1 Questions About This Solicitation and Means of Contacting NASA SBIR/STTR Program

1.13.2 Fiscal Year vs Program Year

1.14 Definitions

2. Registrations, Certifications and Other Information

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 Commercial Air Service and NASA Airworthiness Requirements

2.9 Homeland Security Presidential Directive 12 (HSPD-12)

3. Proposal Preparation Instructions and Requirements

3.1 Requirements to Submit a Proposal Package

3.1.1 General Requirements

3.1.2 Phase I

3.1.3 Phase II

3.1.4 Format Requirements

3.1.5 Proposal Package

3.2 Multiple Proposal Submissions

3.3 Understanding the Patent Landscape

3.4 Proprietary Information in the Proposal Submission

3.5 Release of Certain Proposal Information

4. Method of Selection and Evaluation Criteria

4.1 Selection Process and Evaluation Criteria

4.1.1 Administrative Review

4.1.2 Technical Responsiveness

4.1.3 Commercial Potential Evaluation Criteria

4.1.4 Technical Evaluation Criteria

4.1.5 Price Evaluation

4.2 Scoring and Weighting to Determine the Most Highly Rated Proposals

4.3 Prioritization

4.4 Selection

4.5 Determination of cost/price reasonableness and responsibility

4.6 I-Corps Evaluation Process (Phase I only)

4.7 TABA Evaluation

4.8 Access to Proprietary Data by Non-NASA Personnel

4.8.1 Non-NASA Reviewers

4.8.2 Non-NASA Access to Confidential Business Information

4.9 Notification and Feedback to Offerors

4.9.1 Feedback

5. Considerations for Contracting and Additional Information

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

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

5.10 Export Control

5.10 Government-Furnished and Contractor-Acquired Property

5.11 Essentially Equivalent Awards and Prior Work

5.12 Additional Information

5.12.1 Precedence of Contract Over this Solicitation

5.12.2 Evidence of Contractor Responsibility

5.13 Use of Government Resources

5.14 Agency Recovery Authority and Ongoing Reporting

6. Submission of Proposals

6.1 How to Submit Your Proposal Package

7. Proposal, 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

9. Research Subtopics Attachment A: Technology Readiness Level (TRL) Descriptions

NASA SBIR/STTR Program Fiscal Year 2026-2027 Broad Agency Announcement

Executive Summary The NASA SBIR/STTR Program is moving to a Broad Agency Announcement (BAA) (See more in FAR 35.016 https://www.acquisition.gov/far/35.016) to procure research and development activities from small businesses. This Broad Agency Announcement (BAA) sets the requirements for you, the offeror, to submit a proposal to NASA for Small Business Innovation Research (SBIR) (including SBIR Ignite) and Small Business Technology Transfer (STTR) Program Phase I and Phase II projects. NASA will solicit proposals for specific funding opportunities by releasing appendices to this BAA throughout the effective period of this BAA.

This document contains the objectives, funding information, proposal preparation instructions, and eligibility criteria. Each released appendix will contain instructions to submit a proposal package and the solicited research and technology subtopics for the specific funding opportunity. Requirements specific to each opportunity will be included in the appendices. In any instance where specific requirements in appendices conflict with requirements in the BAA, the specific requirements in the appendices take precedence for that opportunity. As of the release of this BAA, NASA does not have an exact number of planned appendices, but the program anticipates releasing 2 to 3 appendices each fiscal year. More information about the release schedule can be found on our website: https://www.nasa.gov/sbir_sttr/

The NASA SBIR/STTR program supports small business to create innovative, disruptive technologies that benefit society and may be used in NASA programs and missions, other government agencies, and/or sold in commercial markets. Different from most investors, the NASA SBIR/STTR Program provides equity-free funding for early or "seed" stage research and development.

The NASA SBIR/STTR program focuses on the following:

1. stimulate technological innovation

2. use small business to meet Federal R/R&D needs

3. foster and encourage participation by emerging and undercapitalized SBCs in technological innovation

4. increase private sector commercialization of innovations derived from Federal R/R&D, thereby increasing competition, productivity and economic growth

Important considerations:

Ensure you have the following registrations complete and up to date. If you are not registered, NASA recommends you start immediately.

• SAM.gov registration at https://sam.gov/. You must have a unique Entity Identifier (UEI)

• Registration with the SBIR Company Registry at https://app.www.sbir.gov/company-registration/overview

Active SAM.gov registration is required at submissions and at the time of contract award. Your North American Industry Classification System (NAICS) code must be 541713 or 541715 at the time of contract award.

Agencies must assess the security risks presented by offerors with financial ties or obligations to certain foreign countries. SBIR programs may not make awards to businesses with certain connections to foreign entities. See sections 1.1.1 Due Diligence Program to Assess Security Risks and 2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries for additional details.

Important Changes for 2026-2027:

• The SBIR/STTR will be utilizing a BAA, and appendices will be released that describe the specific dates, eligibility, submissions system, and technical subtopics for that funding opportunity.

• Guidance for both Phase I and Phase II opportunities are contained in the BAA. Follow instructions carefully.

• Maximum award values have increased by 50% to $225,000 for Phase I and $1,275,000 for Phase II.

• TABA funds are now included within the total award value and must comply with the applicable maximum award limits.

• For SBIR and STTR Phase I proposals Part 6 has been renamed from “Market Opportunity” to

“Commercialization and Business Plan.”

https://www.acquisition.gov/far/35.016 https://www.nasa.gov/sbir_sttr/ https://sam.gov/ https://sam.gov/ https://app.www.sbir.gov/company-registration/overview

1. Program Description

1.1 Legislative Authority and Background

Congress created the Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs 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 Small Business Innovation and Economic Security Act amended the Small Business Act (15 U.S.C. 638) to extend the SBIR and STTR programs until September 30, 2031. The NASA SBIR/STTR Programs follow the policies and practices of the SBA SBIR/STTR Policy Directive. Revisions to the Policy Directive can be viewed through the Federal Register Notice.

1.1.1 Due Diligence Program to Assess Security Risks

Title 15 of the United States Code 638, section vv, [15 U.S.C. 638 (vv)], 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, 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 15 U.S.C 638 (vv), NASA will review all proposals submitted in response to this solicitation to assess security risks presented by offerors seeking a 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 any 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. Additionally, the due diligence review will conduct a risk-based due diligence review of foreign affiliations of a covered individual, owner, or other key personnel of a small business concern with an entity in a foreign country of concern; investment relationships of small business concern with an individual or entity in a foreign country of concern; technology licensing agreements or joint ventures (including joint venture like agreements) with an individual or entity in a foreign country of concern; and ‘business relationships between a covered individual, owner, or other key personnel of a small business concern and an individual or entity in a foreign country of concern. This review includes any foreign risk connecting the small business concern to an entity, including any affiliates of the entity, or individual on any relevant prohibited lists defined by law. NASA will also assess proposals utilizing open-source analysis and analytical tools, all valid means for the nondisclosures of the information set forth in 15 U.S.C. § 638 (9)(g)(17).

1.2 Purpose and Priorities

This BAA sets the requirements for you, the offeror, to submit a proposal to NASA for Small Business Innovation Research (SBIR)/Small Business Technology Transfer (STTR) Programs. This BAA includes both Phase I and Phase II opportunities. Only SBCs that are eligible to submit a Phase II proposal will be allowed to submit. Unless otherwise noted in the appendices, you must follow the proposal requirements set in this BAA. Furthermore, program background information, eligibility requirements for participants, information on the three program phases, and information for preparing proposal packages are contained herein. NASA will release appendices containing funding opportunity details throughout the effective period of the BAA.

https://www.sba.gov/ https://www.congress.gov/bill/119th-congress/senate-bill/3971/text https://www.congress.gov/bill/119th-congress/senate-bill/3971/text https://www.sbir.gov/about/policies https://www.sbir.gov/about/policies https://www.federalregister.gov/documents/2023/04/03/2023-06870/small-business-innovation-research-program-and-small-business-technology-transfer-program-policy https://uscode.house.gov/view.xhtml?hl=false&edition=2024&req=granuleid%3AUSC-prelim-title15-section638&num=0 https://uscode.house.gov/view.xhtml?hl=false&edition=2024&req=granuleid%3AUSC-prelim-title15-section638&num=0

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

Each year NASA mission directorates, programs, projects, and centers identify the research problems and technology needs that the SBIR/STTR 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 NASA priorities.

The purpose of Phase II is to continue the R/R&D developed under Phase I with a goal to commercialize and bring the innovation to either Federal or commercial markets, or both, as the Phase II project completes. Phase II will require a more comprehensive application, outlining the proposed effort in detail and the commercialization strategy for the effort. When further research is required to bring the project results to the marketplace, completion of the research under these circumstances may have to be carried into Post Phase II opportunities or Phase III.

A separate BAA will not be issued requesting Phase II proposals, and unsolicited proposals will not be accepted. All proposing SBCs that receive a Phase I award from this BAA will be eligible to participate in Phase II competitions and potential Phase III awards.

1.3 Three-Phase Program

NASA SBIR/STTR projects advance through three phases and are described in detail on the NASA SBIR/STTR website: https://www.nasa.gov/sbir_sttr/.

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/STTR 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 (unless otherwise noted in the appendix for the specific opportunity):

Phase I Contracts SBIR SBIR Ignite STTR Maximum Contract Value $225,000 $225,000 $225,000 Period of Performance 6 months 6 months 13 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.

Maximum value and period of performance (POP) for Phase II (unless otherwise noted in the appendix for the specific opportunity):

Phase II Contracts SBIR SBIR Ignite STTR Maximum Contract Value $1,275,000 $1,275,000 $1,275,000 Maximum Period of Performance 24 months 24 months or less 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.

https://www.nasa.gov/sbir_sttr/ https://www.nasa.gov/sbir_sttr/post-phase-ii/

Phase III SBIR/STTR awardees are eligible to receive sole-source Phase III contracts any time after award of their Phase I contracts. In Phase III, customers outside the SBIR and STTR programs—including NASA programs, other government agencies, or the private sector—fund the further development or use of innovative technologies, products, and services resulting from either a Phase I or Phase II award. Please refer to the NASA SBIR/STTR website 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.

1.5 Eligibility Requirements

1.5.1 Small Business Concern (SBC)

You must submit a certification stating that the SBC meets 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.

1.5.2 SBC Size

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

1.5.3 Restrictions on Level of Small Business Participation

You must be the primary performer of the proposed research effort. SBIR and STTR opportunities have different requirements for the percentage of work that must be performed by you and any subcontractors, consultants, or research institutions.

SBIR (including SBIR Ignite)

Phase I: 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. See section 3.1.5.4.

Phase II: To be awarded an SBIR Phase II contract, you must perform a minimum of 50% of the research or analytical effort during Phase II; correspondingly, an outside party such as consultants or subcontractors may perform a maximum of 50% of the effort. Involvement of university, government, or other outside personnel in the planning and research stages of the project as consultants or through subcontracting arrangements is permitted and may be particularly helpful to small businesses.

STTR

Phase I and II: To be awarded a STTR contract, you must perform at least 40% of the effort, and a single research institution must perform at least 30% 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 with your Proposal Budget documentation, see section 3.1.5.4. NASA will consider a deviation request during contract negotiation and either approve or decline before award.

https://www.nasa.gov/sbir_sttr/phase-iii/ https://www.nasa.gov/sbir_sttr/phase-iii/ https://www.govinfo.gov/content/pkg/CFR-2013-title13-vol1/pdf/CFR-2013-title13-vol1-sec121-702.pdf https://www.nasa.gov/sbir_sttr/firms_library/

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.

1.5.5 Principal Investigator (PI) Employment Requirement

Phase I and II PI Requirements SBIR (including Ignite) STTR Primary Employment: PI must be primarily employed with the SBC.

PI must be primarily employed with the SBC or Research Institution (RI).

Employment Certification: Primary employment means that more than one-half of the PI employment time is spent in the employ of the SBC or RI, based on a 40-hour workweek.

The PI must be primarily employed with the SBC at the time of award and during the conduct of the proposed project.

The PI must be primary employed with the SBC or the RI at the time of award and during the conduct of the proposed project.

Co-PIs Not allowed Not allowed Deviation Request NASA will review any deviation requests during negotiation and either approve or decline before award.

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.

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

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

Note: NASA considers full-time employment to include salaried employees and employees who regularly work a 40-hour workweek. NASA considers a 19.9-hour or more workweek elsewhere to conflict with this rule. In rare occasions, minor deviations from this requirement may be necessary; however, any minor deviation must be approved in writing prior to the award by the Contracting Officer after consultation with the NASA SBIR/STTR Program Manager.

1.5.6 Novated/Successor in Interested/Revised Funding Agreements An SBIR or STTR awardee may include, and work may be performed by, those identified via a “novated” or “successor in interest” or similarly revised funding agreement. In addition, an 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

Unless otherwise noted, small businesses owned in majority part by multiple venture capital operating companies (VCOCs), hedge funds, or private equity firms are not eligible to submit a proposal to this solicitation. See detailed definitions at 29 CFR 2510.3-101(d)

1.5.8 Joint Ventures or Limited Partnerships

Both joint ventures and limited partnerships are permitted, provided the entity created qualifies as an SBC as defined in 1.5.1. Include in the proposal package a copy or summary of the joint venture or partnership agreement that https://www.nasa.gov/oiir/export-control https://www.ecfr.gov/current/title-29/section-2510.3-101#p-2510.3-101(d) 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.

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 to License”) 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 3.1.5.8.

Inventor Knowledge Transfer An SBIR/STTR awardee that has been granted a nonexclusive, royalty-free evaluation license to use a NASA patent under the SBIR/STTR 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 with this request; however, 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 also be required to reimburse NASA for knowledge transfer activities. Preparation of the agreements for knowledge transfer may require a significant amount of time to complete; therefore, NASA does not recommend pursuing inventor access for Phase I projects.

1.7 I-Corps™(Phase I Only)

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 requires you to conduct customer discovery to learn your customers' needs, to obtain a better understanding of your company's value proposition, and to develop an outline of 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 http://technology.nasa.gov/ https://www.ecfr.gov/current/title-48/chapter-18/subchapter-H/part-1852/subpart-1852.2/section-1852.227-88 http://technology.nasa.gov/ https://www.nsf.gov/ https://new.nsf.gov/funding/initiatives/i-corps 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 3.1.5.10.

For SBIR and SBIR Ignite Phase I awardees the amount of funding is up to $18,000 and for STTR Phase I awardees the amount of funding is up to $30,000 to support participation in the I-Corps Program. 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 Technical and Business Assistance (TABA) for Phase I (up to $6,500) and Phase II (up to $50,000). TABA requests will be treated as part of the overall award amount and must remain within the established maximum award thresholds.

If your project is selected for award and the TABA is approved, you must use the TABA to contract with one or more vendors to assist in:

• Making better technical decisions on SBIR/STTR projects;

• Solving technical problems that arise during SBIR/STTR projects;

• Minimizing technical risks associated with SBIR/STTR projects; and/or

• Commercializing the SBIR/STTR product or process, including intellectual property protections.

For additional approved and restricted uses of TABA funding, see https://www.nasa.gov/sbir_sttr/taba/.

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. NASA does not guarantee approval of requests for TABA.

For information on requesting TABA, please see section 3.1.5.9. Additional TABA information can also be found in sections 3.1.5.4, 4.7, 5.3, and 5.4.

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.

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 under the authority of 48 CFR Parts 1819 and 1852 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/.

https://www.nasa.gov/sbir_sttr/icorps/ https://www.govinfo.gov/content/pkg/COMPS-1834/pdf/COMPS-1834.pdf https://www.nasa.gov/sbir_sttr/taba/ https://www.nasa.gov/sbir_sttr/taba/ https://www.sbir.gov/local-assistance https://www.sbir.gov/resources https://www.federalregister.gov/documents/2009/05/29/E9-12487/nasa-mentor-protg-program 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://oig.nasa.gov/hotline/

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.

The cognizant ombudsman is:

Geoffrey Sage, Procurement Ombudsman Office of Procurement NASA Headquarters Washington, DC 20546-0001 Email: nhq-dl-op-comp-advocate-vendor-engagement@mail.nasa.gov

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 does not change your right to file a bid protest or the period in which to timely file a protest.

1.13 General Information

1.13.1 Questions About This Solicitation and Means of Contacting NASA SBIR/STTR Program To ensure fairness, NASA will not answer questions about the intent and/or content of research subtopics in funding opportunity during the open submissions period unless part of a public question and answer opportunity.

https://uscode.house.gov/view.xhtml?req=granuleid:USC-2000-title18-section1001&num=0&edition=2000 https://oig.nasa.gov/ https://oig.nasa.gov/hotline/ https://www.nasa.gov/ombuds-office/ https://www.acquisition.gov/nfs/1852.215-84-ombudsman.

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

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 Help Desk.

Reference the funding opportunity appendix for Help Desk guaranteed timely answer deadline.

1. NASA SBIR/STTR Website: https://www.nasa.gov/sbir_sttr/

2. Help Desk:

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.

1.13.2 Fiscal Year vs Program Year

The NASA SBIR/STTR program uses fiscal year (FY) and program year (PY) to track our funding opportunities and awards. Fiscal year refers to the Federal fiscal year and is used by the program to denote which fiscal year funds are being utilized. Program year refers to the year the funding opportunity was made available. Phase II awards are tracked by the program year the Phase I offering was made. For example, PY2026 Phase II opportunities will be available in this FY26-27 BAA to firms that received PY2026 Phase I awards.

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.

https://www.nasa.gov/sbir_sttr mailto:sbir@reisystems.com https://www.nasa.gov/sbir_sttr/program-definitions/ https://www.nasa.gov/sbir_sttr/program-definitions/ https://www.nasa.gov/sbir_sttr/program-definitions/

2. Registrations, Certifications and Other Information

2.1 Small Business Administration (SBA) Company Registry

You must register with SBA’s Company Registry and update your commercialization status. See https://app.www.sbir.gov/company-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://sam.gov/content/home or by calling 866-606-8220.

Per FAR 4.1102(a), you must be registered in SAM:

• At the time of proposal submission

• At the time of contract award

• During contract performance.

For more information, review the Federal Register (89 FR 89472 and 90 FR 38206).

To be eligible for SBIR awards, you must have an active SAM registration under North American Industry Classification System (NAICS) code 541713 or 541715 as a small business at the time of award.

If you are not registered, apply for registration immediately upon receipt of this solicitation. Typically, SAM registration and updates to SAM registration take several weeks. In order to receive an SBIR/STTR award from NASA, purpose of registration must be listed as "All Awards" on your SAM Registration.

Note that your SAM registration Doing Business As (DBA) name will appear on all contract documents.

2.3 Certifications

You must complete the Firm and Proposal Certifications by answering “Yes” or “No” to certifications as applicable in the electronic submissions system. 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.

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 must be completed in Contracts ProSAMS (https://my.prosams.nasa.gov/). The life cycle certification must 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 must be completed in Contracts ProSAMS. A life cycle certification must be completed along with the second invoice certification as a condition of payment of the second invoice. Another life cycle certification must 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 ProSAMS.

https://app.www.sbir.gov/company-registration https://sam.gov/content/home https://my.prosams.nasa.gov/

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

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 your proposal, but failing to disclose such affiliations or relationships may result in denial of an award.

The disclosures require the following information:

(A) 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;

(B) 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;

(C) 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;

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

(E) 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;

(F) 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

(G) any foreign entity, offshore entity, or entity outside the United States related to the small business concern;

(H) the identity and relationship of all owners, officers, and covered individuals that have foreign affiliations with a research institution located in a foreign country of concern.

After reviewing the above listed disclosures, and if determined appropriate by NASA, the program may ask you clarifying questions related to your disclosures and/or 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 foreign entity in effect during the five-year period before proposal submission.

For the purposes of the above disclosures, a “covered individual” means an individual who contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out or has access to, or could reasonably be considered to have access to, the technology development being proposed.

During award, updated disclosures must be provided within 30 days of any substantive changes to the project, to include 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.

https://www.acquisition.gov/browsefar

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 the funding opportunity appendix.

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. 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 Commercial Air Service and NASA Airworthiness Requirements All flight activities are subject to NASA STD 7919.1 - Commercial Air Service (CAS) Standard; NPR 7900.3D – Aircraft Operations Management; and Center-specific requirements, such as AFOP-7900.3-023 – Airworthiness & Flight Safety Review Process.

These review requirements may preclude SBIR/STTR Phase I flight activities due to their short contractual period, combined with ongoing NASA flight project reviews and staffing availability. As a result, flight activities planned for SBIR/STTR Phase II efforts are much more realistic.

Any desired flight elements or flight activities under the SBIR/STTR program are encouraged to work with NASA Armstrong Flight Research Center (AFRC) SBIR/STTR staff to initiate flight planning activities aboard NASA AFRC support aircraft. Additionally, integrating into the existing NASA AFRC flight planning and review process for flight on NASA AFRC aircraft expedites these requirements.

2.9 Homeland Security Presidential…