Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Contractor Re-Certification of Program Compliance, 57240-57242 [05-19399]
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Federal Register / Vol. 70, No. 189 / Friday, September 30, 2005 / Proposed Rules
is located in the ‘‘Rules and
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3 CFR, 1987 Comp., p. 193.
Dated: September 21, 2005.
Robert E. Roberts,
Regional Administrator, Region 8.
[FR Doc. 05–19625 Filed 9–29–05; 8:45 am]
BILLING CODE 6560–50–P
NATIONAL AERONAUTICS AND
SPACE ADMINISTRATION
48 CFR Parts 1819, 1832, and 1852
RIN 2700–AD17
Small Business Innovation Research
(SBIR) and Small Business Technology
Transfer (STTR) Contractor ReCertification of Program Compliance
National Aeronautics and
Space Administration.
ACTION: Proposed rule.
AGENCY:
SUMMARY: This proposed rule is to
amend the NASA FAR Supplement
(NFS) to include a requirement for
NASA’s Small Business Innovation
Research (SBIR) and the Small Business
Technology Transfer (STTR) contractors
to complete a re-certification of program
compliance prior to final payment. This
requirement is being established to
facilitate the Government’s ability to
hold contractors accountable for
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Jkt 205001
compliance with Federal statute,
regulation, and program requirements as
outlined in the Office of Inspector
General’s Management Alert
Memorandum dated April 28, 2004. As
part of its continuing effort to reduce the
paperwork and respondent burden,
NASA invites the general public and
other Federal agencies to comment on
this proposed rule and/or continuing
information collections, as required by
the Paperwork Reduction Act of 1995
(Pub. L. 104–13, 44 U.S.C.
3506(c)(2)(A)).
DATES: Comments should be submitted
on or before November 29, 2005 to be
considered in formulation of the final
rule.
ADDRESSES: Interested parties may
submit comments, identified by RIN
number 2700–AD17 via the Federal
eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
Comments may also be submitted to
Marilyn J. Seppi, NASA, Office of
Procurement, Contract Management
Division, Washington, DC 20546.
Comments can also be submitted by email to: Marilyn.Seppi-1@nasa.gov.
Comments on the information
collection should be directed to Ms.
Kathy Shaeffer, Acting NASA Reports
Officer, NASA Headquarters, 300 E
Street, SW., Mail Suite 6M70,
Washington, DC 20546, (202) 358–1230,
e-mail: Kathleen.shaeffer-1@nasa.gov.
FOR FURTHER INFORMATION CONTACT:
Marilyn J. Seppi, NASA, Office of
Procurement, Contract Management
Division, (703) 553–2551, e-mail:
Marilyn.Seppi-1@nasa.gov.
Requests for additional information
regarding the information collection
should be directed to Ms. Kathy
Shaeffer, Acting NASA Reports Officer,
NASA Headquarters, 300 E Street, SW.,
Mail Suite 6M70, Washington, DC
20546, (202) 358–1230,
Kathleen.shaeffer-1@nasa.gov.
SUPPLEMENTARY INFORMATION:
A. Background
Section 1832.12 of the NFS requires
that all research and development
contracts under the SBIR and STTR
Programs include the clause 1852.232–
83, Conditions for Final Payment. This
clause provides direction to the
contractor regarding completion and
submission of a re-certification
requirement prior to and as a condition
of final payment. Currently, under the
SBIR/STTR Programs the contractor is
only required to certify at the time of
proposal submission that the proposing
entity has or has not received Federal
funding for essentially equivalent work.
PO 00000
Frm 00035
Fmt 4702
Sfmt 4702
This proposed new clause will require
a post-award certification by the small
business concern (SBC) for program
compliance as a condition and prior to
final payment. This change proposes a
new clause 1852.232–83 for use in all
SBIR Phase I, SBIR Phase II, and STTR
contracts.
In addition, section 1819.73 requires
the clauses 1852.219–80 Limitation on
Subcontracting—SBIR Phase I,
1852.219–81 Limitation on
Subcontracting—SBIR Phase II, and
1852.219–82 Limitation on
Subcontracting—STTR in the respective
SBIR and STTR contracts to delineate
the subcontracting limitations necessary
for contract performance. Also, section
1819.73 of the NFS requires the clauses
1852.219–83 Limitation of the Principal
Investigator—SBIR Program and
1852.219–84 Limitation of the Principal
Investigator—STTR Program,
respectively, to delineate the
employment of the principal
investigator which is necessary for
monitoring contract performance.
This is not a significant regulatory
action and, therefore, was not subject to
review under Section 6(b) of Executive
Order 12866, Regulatory Planning and
Review, dated September 30, 1993. This
proposed rule is not a major rule under
5 U.S.C. 804.
B. Regulatory Flexibility Act
This proposed rule is not expected to
have a significant economic impact on
a substantial number of small entities
with the meaning of the Regulatory
Flexibility Act, 5 U.S.C. 601. et seq.,
because the proposed re-certification
prior to final payment to awardees is
merely an update of the representations
and certifications submitted at the time
of proposal submission in accordance
with Small Business Administrations
(SBA’s) SBIR Program Directive.
C. Paperwork Reduction Act
1. Abstract
NASA is requesting OMB approval for
the new collection that will be created
by the proposed amendment to the NFS
requiring SBIR/STTR contractors to
recertify program compliance prior to
final payment.
2. Method of Collection
The NASA contract clause will
require inclusion of the information as
part of contractors’ final payment
invoice requests.
3. Data
Title: Small Business Innovation
Research (SBIR) and Small Business
Technology Transfer (STTR) Contractor
Re-Certification of Program Compliance.
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Federal Register / Vol. 70, No. 189 / Friday, September 30, 2005 / Proposed Rules
Collection of Information: The
Certification Required Prior to Final
Payment.
The public burden for obtaining recertification from the SBIR/STTR
contracts is estimated annually to be
242 hours with an average annual cost
of $12,100 for each SBIR/STTR Program
year. The estimated burden has been
calculated as follows:
Certification (1 required per contract)—
484
Hours per certification— × 0.50 (30
minutes)
Certification Burden—242 hours
Average Hourly Rate—$50
Average Annual Cost—$12,100
The estimated number of
certifications shown above is based
upon the average total number of
NASA’s SBIR and STTR-related
contracts awards for FY–2004, FY–2003,
and FY–2002. However, no real cost is
associated with SBIR/STTR contractors
because the costs associated with this
type of administrative work is part of
the cost of doing business and usually
found in the companies’ direct or
indirect expense rates and therefore
included in their contract price. This
estimate reflects the combined
paperwork clearance request the Agency
is submitting to OMB.
List of Subjects in 48 CFR 1819, 1832,
and 1852
Government Procurement.
Administration issue SBIR and STTR
Program Policy Directives for the
general conduct of the SBIR/STTR
Programs within the Federal
Government. The statutory purpose of
the SBIR Program is to strengthen the
role of innovative small business
concerns (SBCs) in federally-funded
research or research and development
(R/R&D). Specific program purposes are
to: Stimulate technological innovation;
use small business to meet Federal R/
R&D needs; foster and encourage
participation by socially and
economically disadvantaged SBCs, and
by SBCs that are 51 percent owned and
controlled by women, in technological
innovation; and increase private sector
commercialization of innovations
derived from Federal R/R&D, thereby
increasing competition, productivity
and economic growth. Federal agencies
participating in the SBIR/STTR
Programs (SBIR/STTR agencies) are
obligated to follow the guidance
provided by this Policy Directive. NASA
is required to ensure its policies,
regulations, and guidance on the SBIR/
STTR Programs are consistent with
SBA’s Policy Directive. Contracting
Officers are required to insert the
applicable clauses identified in
1819.7302 in all SBIR and STTR
contracts.
1819.7302 NASA contract clauses and
solicitation provisions.
Tom Luedtke,
Assistant Administrator for Procurement.
Accordingly, 48 CFR Parts 1819, 1832,
and 1852 are proposed to be amended
as follows:
1. The authority citation for 48 CFR
Parts 1819, 1832, and 1852 continues to
read as follows:
Authority: 42 U.S.C. 2473(c)(1).
PART 1819—SMALL BUSINESS
PROGRAMS
2. Subpart 1819.73 is added to read as
follows:
1819.73—Small Business Innovation
Research (SBIR) and Small Business
Technology Transfer (STTR) Programs
1819.7301
Scope of Subpart.
The Small Business Innovation
Research (SBIR) and Small Business
Technology Transfer (STTR) Programs
were established and issued under the
authority of The Small Business Act
codified at 15 U.S.C. 631 as amended
and the Small Business Innovation
Development Act of 1982 (Pub. L. 97–
219), codified with amendments, at 15
U.S.C. 638. The Small Business Act
requires that the Small Business
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15:30 Sep 29, 2005
Jkt 205001
(a) Contracting officers shall insert
clause 1852.219–80 Limitation on
Subcontracting SBIR Phase I Program in
all Phase I contracts awarded under the
Small Business Innovation Research
(SBIR) Program established pursuant to
Public Law 97–219 (the Small Business
Innovation Development Act of 1982).
(b) Contracting officers shall insert
clause at 1852.219–81 Limitation on
Subcontracting—SBIR Phase II Program
in all Phase II contracts awarded under
the Small Business Innovation Research
(SBIR) Program established pursuant to
Public Law 97–219 (the Small Business
Innovation Development Act of 1982).
(c) Contracting officers shall insert
clause 1852.219–82 Limitation on
Subcontracting—STTR Program in all
contracts awarded under the Small
Business Technology Transfer (STTR)
Program established pursuant to Public
Law 97–219 (the Small Business
Innovation Development Act of 1982).
(d) Contracting officers shall insert
clause 1852.219–83 Limitation of the
Principal Investigator—SBIR Program in
all contracts awarded under the Small
Business Innovation Research (SBIR)
Program established pursuant to Public
Law 97–219 (the Small Business
Innovation Development Act of 1982).
PO 00000
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57241
(e) Contracting officers shall insert
clause 1852.219–84 Limitation on
Subcontracting—STTR Program in all
contracts awarded under the Small
Business Technology Transfer (STTR)
Program established pursuant to Public
Law 97–219 (the Small Business
Innovation Development Act of 1982).
PART 1832—CONTRACT FINANCING
3. Subpart 1832.12 is added to read as
follows:
1832.12—Final Payment Under SBIR and
STTR Contracts
1832.1210
Contract clause.
Contracting officers shall insert clause
1852.232–83 Conditions for Final
Payment SBIR and STTR Contracts in
all Phase I and Phase II contracts
awarded under the Small Business
Innovation Research (SBIR) and Small
Business Technology Transfer (STTR)
Programs established pursuant to Public
Law 97–219 (the Small Business
Innovation Development Act of 1982).
The clause is limited to use solely in
contracts awarded under the SBIR/STTR
Programs.
PART 1852—SOLICITATION
PROVISIONS AND CONTRACT
CLAUSES
4. Clauses 1852.219–80, 1852.219–81,
1852.219–82, 1852.219–83, and
1852.219–84 are added to read as
follows:
*
*
*
*
*
1852.219–80 Limitation on
Subcontracting—SBIR Phase I.
As prescribed in 1819.7302(a), insert
the following clause in all SBIR Phase
I contracts:
Limitation on Subcontracting—SBIR
Phase I (XX/XX)
The Contractor shall perform a
minimum of two-thirds of the research
and/or analytical effort (total contract
price less profit) conducted under this
contract. Any deviation from this
requirement must be approved in
advance and in writing by the
Contracting Officer.
(End of clause)
1852.219–81 Limitation on
Subcontracting—SBIR Phase II.
As prescribed in 1819.7302(b), insert
the following clause in all SBIR
contracts:
Limitation on Subcontracting—SBIR
Phase II (XX/XX)
The Contractor shall perform a
minimum of one-half of the research
and/or analytical effort (total contract
E:\FR\FM\30SEP1.SGM
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57242
Federal Register / Vol. 70, No. 189 / Friday, September 30, 2005 / Proposed Rules
price less profit) conducted under this
contract. Any deviation from this
requirement must be approved in
advance and in writing by the
Contracting Officer. Since the selection
of R&D contractors is substantially
based on the best scientific and
technological sources, it is important
that the Contractor not subcontract
technical or scientific work without the
Contracting Officer’s advance approval.
(End of clause)
1852.219–82 Limitation on
Subcontracting—STTR Program.
As prescribed in 1819.7302(c), insert
the following clause in all SBIR and
STTR solicitations and contracts:
Limitation on Subcontracting—STTR
Program (XX/XX)
The Contractor (small business
concern (SBC)) shall perform a
minimum of 40 percent of the work
under this contract (total contract price
including cost sharing, if any, less profit
if any). A minimum of 30 percent of the
work under this contract shall be
performed by the research institution
(RI). Since the selection of R&D
contractors is substantially based on the
best scientific and technological
sources, it is important that the
contractor not subcontract technical or
scientific work without the Contracting
Officer’s advance approval.
(End of clause)
1852.219–83 Limitation of the Principal
Investigator—SBIR Program OR Principal
Investigator—Primary Employment—SBIR
Program.
As prescribed in 1819.7302(d), insert
the following clause in all SBIR
solicitations and contracts:
Limitation of the Principal
Investigator—SBIR Program OR
Principal Investigator—Primary
Employment—SBIR Program (XX/XX)
The primary employment of the
principal investigator shall be with the
small business concern (SBC)/
Contractor during the conduct of this
contract. Primary employment means
that more than one-half of the principal
investigator’s time is spent in the
employ of the Contractor/SBC. This
precludes full-time employment with
another organization. Deviations from
these requirements must be approved in
advance and in writing by the
Contracting Officer and are not subject
to a change in the firm-fixed price of the
contract. The PI for this contract is
(insert name).
(End of Clause)
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1852.219–84 Limitation of the Principal
Investigator—STTR Program.
As prescribed in 1819.7302(e), insert
the following clause in all STTR
solicitations and contracts:
Limitation of the Principal
Investigator—STTR Program (XX/XX)
(a) The primary employment of the
principal investigator (PI) identified in
this STTR contract is with the small
business concern (SBC)/Contractor or
the research institution (RI). Primary
employment means that more than onehalf of the principal investigator’s time
is spent in the employ of the contractor/
SBC or RI.
(b) The principal investigator (PI) is
considered to be key personnel in the
performance of this contract and may
not have been employed by the
contractor/SBC. The Contractor/SBC
whether or not the employer of the PI
shall exercise primary management
direction and control over the PI and be
overall responsible for the PI’s
performance under this contract.
Deviations from these requirements
must be approved in advance and in
writing by the Contracting Officer and
are not subject to a change in the firmfixed price of the contract. The PI for
this contract is (insert name).
(End of Clause)
5. Section 1852.232–83 is added to
read as follows:
5. For STTR contracts: The
subcontracting limitation set forth in
this contract was not exceeded;
6. For SBIR contracts: The primary
employment of the principal
investigator (PI) identified in this SBIR
contract was with the Contractor, except
as approved in writing by the
Contracting Officer on (insert date of
approval or modification number.); and
7. For STTR contracts: The primary
employment of the principal
investigator (PI) identified in this STTR
contract was the SBC/Contractor or the
research institution (RI). The PI
identified in the STTR contract was
considered key in the performance of
this contract and may not have been
employed by the Contractor/SBC.
However, the Contractor/SBC did
exercise primary management direction
and control over the PI and was overall
responsible for the PI’s performance
under this contract. Any substitutions of
this individual were approved in
writing by the Contracting Officer on
(insert date of approval or modification
number.).
I understand that the willful provision
of false information or concealing a
material fact in this representation is a
criminal offense under Title 18 U.S.C.,
Section 1001, False Statements, as well
as Title 18 U.S.C., Section 287, False
Claims.
(End of Clause)
[FR Doc. 05–19399 Filed 9–29–05; 8:45 am]
1852.232–83 Conditions for Final
Payment—SBIR and STTR Contracts.
BILLING CODE 7510–01–P
As prescribed in 1832.1210, insert the
following clause in all SBIR and STTR
solicitations and contracts:
DEPARTMENT OF THE INTERIOR
Conditions for Final Payment—SBIR
and STTR Contracts (XX/XX)
As a condition for final payment
under this contract, the Contractor shall
provide the following certifications as
part of its final payment invoice request:
During performance of this contract—
1. Essentially equivalent work
performed under this contract has not
been proposed for funding to another
Federal agency;
2. No other Federal funding award has
been received for essentially equivalent
work performed under this contract;
3. Deliverable items submitted under
this contract have not been submitted as
deliverable items under another Federal
funding award;
4. For SBIR contracts: The
subcontracting limitation set forth in
this contract was not exceeded except as
approved in writing by the Contracting
Officer on (insert date of approval or
modification number.);
PO 00000
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Fish and Wildlife Service
50 CFR Part 36
RIN 1018–AU08
Refuge-Specific Public Use
Regulations for Kodiak National
Wildlife Refuge
Fish and Wildlife Service,
Interior.
ACTION: Proposed rule.
AGENCY:
SUMMARY: The Fish and Wildlife Service
(Service) proposes to open private lands
within the boundaries of Kodiak
National Wildlife Refuge in Alaska to
public use, with a permit, complying
with our commitments made under a
Conservation Easement among the
United States, the State of Alaska, and
Koniag, Inc. The Conservation Easement
furthers the missions of the Service and
the National Wildlife Refuge System
and the purposes of Kodiak National
Wildlife Refuge. The easement lands
E:\FR\FM\30SEP1.SGM
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]]>Agencies
[Federal Register Volume 70, Number 189 (Friday, September 30, 2005)]
[Proposed Rules]
[Pages 57240-57242]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-19399]
=======================================================================
-----------------------------------------------------------------------
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
48 CFR Parts 1819, 1832, and 1852
RIN 2700-AD17
Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) Contractor Re-Certification of Program
Compliance
AGENCY: National Aeronautics and Space Administration.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: This proposed rule is to amend the NASA FAR Supplement (NFS)
to include a requirement for NASA's Small Business Innovation Research
(SBIR) and the Small Business Technology Transfer (STTR) contractors to
complete a re-certification of program compliance prior to final
payment. This requirement is being established to facilitate the
Government's ability to hold contractors accountable for compliance
with Federal statute, regulation, and program requirements as outlined
in the Office of Inspector General's Management Alert Memorandum dated
April 28, 2004. As part of its continuing effort to reduce the
paperwork and respondent burden, NASA invites the general public and
other Federal agencies to comment on this proposed rule and/or
continuing information collections, as required by the Paperwork
Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. 3506(c)(2)(A)).
DATES: Comments should be submitted on or before November 29, 2005 to
be considered in formulation of the final rule.
ADDRESSES: Interested parties may submit comments, identified by RIN
number 2700-AD17 via the Federal eRulemaking Portal: https://
www.regulations.gov. Follow the instructions for submitting comments.
Comments may also be submitted to Marilyn J. Seppi, NASA, Office of
Procurement, Contract Management Division, Washington, DC 20546.
Comments can also be submitted by e-mail to: Marilyn.Seppi-1@nasa.gov.
Comments on the information collection should be directed to Ms.
Kathy Shaeffer, Acting NASA Reports Officer, NASA Headquarters, 300 E
Street, SW., Mail Suite 6M70, Washington, DC 20546, (202) 358-1230, e-
mail: Kathleen.shaeffer-1@nasa.gov.
FOR FURTHER INFORMATION CONTACT: Marilyn J. Seppi, NASA, Office of
Procurement, Contract Management Division, (703) 553-2551, e-mail:
Marilyn.Seppi-1@nasa.gov.
Requests for additional information regarding the information
collection should be directed to Ms. Kathy Shaeffer, Acting NASA
Reports Officer, NASA Headquarters, 300 E Street, SW., Mail Suite 6M70,
Washington, DC 20546, (202) 358-1230, Kathleen.shaeffer-1@nasa.gov.
SUPPLEMENTARY INFORMATION:
A. Background
Section 1832.12 of the NFS requires that all research and
development contracts under the SBIR and STTR Programs include the
clause 1852.232-83, Conditions for Final Payment. This clause provides
direction to the contractor regarding completion and submission of a
re-certification requirement prior to and as a condition of final
payment. Currently, under the SBIR/STTR Programs the contractor is only
required to certify at the time of proposal submission that the
proposing entity has or has not received Federal funding for
essentially equivalent work. This proposed new clause will require a
post-award certification by the small business concern (SBC) for
program compliance as a condition and prior to final payment. This
change proposes a new clause 1852.232-83 for use in all SBIR Phase I,
SBIR Phase II, and STTR contracts.
In addition, section 1819.73 requires the clauses 1852.219-80
Limitation on Subcontracting--SBIR Phase I, 1852.219-81 Limitation on
Subcontracting--SBIR Phase II, and 1852.219-82 Limitation on
Subcontracting--STTR in the respective SBIR and STTR contracts to
delineate the subcontracting limitations necessary for contract
performance. Also, section 1819.73 of the NFS requires the clauses
1852.219-83 Limitation of the Principal Investigator--SBIR Program and
1852.219-84 Limitation of the Principal Investigator--STTR Program,
respectively, to delineate the employment of the principal investigator
which is necessary for monitoring contract performance.
This is not a significant regulatory action and, therefore, was not
subject to review under Section 6(b) of Executive Order 12866,
Regulatory Planning and Review, dated September 30, 1993. This proposed
rule is not a major rule under 5 U.S.C. 804.
B. Regulatory Flexibility Act
This proposed rule is not expected to have a significant economic
impact on a substantial number of small entities with the meaning of
the Regulatory Flexibility Act, 5 U.S.C. 601. et seq., because the
proposed re-certification prior to final payment to awardees is merely
an update of the representations and certifications submitted at the
time of proposal submission in accordance with Small Business
Administrations (SBA's) SBIR Program Directive.
C. Paperwork Reduction Act
1. Abstract
NASA is requesting OMB approval for the new collection that will be
created by the proposed amendment to the NFS requiring SBIR/STTR
contractors to recertify program compliance prior to final payment.
2. Method of Collection
The NASA contract clause will require inclusion of the information
as part of contractors' final payment invoice requests.
3. Data
Title: Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) Contractor Re-Certification of Program
Compliance.
[[Page 57241]]
Collection of Information: The Certification Required Prior to
Final Payment.
The public burden for obtaining re-certification from the SBIR/STTR
contracts is estimated annually to be 242 hours with an average annual
cost of $12,100 for each SBIR/STTR Program year. The estimated burden
has been calculated as follows:
Certification (1 required per contract)--484
Hours per certification-- x 0.50 (30 minutes)
Certification Burden--242 hours
Average Hourly Rate--$50
Average Annual Cost--$12,100
The estimated number of certifications shown above is based upon
the average total number of NASA's SBIR and STTR-related contracts
awards for FY-2004, FY-2003, and FY-2002. However, no real cost is
associated with SBIR/STTR contractors because the costs associated with
this type of administrative work is part of the cost of doing business
and usually found in the companies' direct or indirect expense rates
and therefore included in their contract price. This estimate reflects
the combined paperwork clearance request the Agency is submitting to
OMB.
List of Subjects in 48 CFR 1819, 1832, and 1852
Government Procurement.
Tom Luedtke,
Assistant Administrator for Procurement.
Accordingly, 48 CFR Parts 1819, 1832, and 1852 are proposed to be
amended as follows:
1. The authority citation for 48 CFR Parts 1819, 1832, and 1852
continues to read as follows:
Authority: 42 U.S.C. 2473(c)(1).
PART 1819--SMALL BUSINESS PROGRAMS
2. Subpart 1819.73 is added to read as follows:
1819.73--Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) Programs
1819.7301 Scope of Subpart.
The Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) Programs were established and issued under
the authority of The Small Business Act codified at 15 U.S.C. 631 as
amended and the Small Business Innovation Development Act of 1982 (Pub.
L. 97-219), codified with amendments, at 15 U.S.C. 638. The Small
Business Act requires that the Small Business Administration issue SBIR
and STTR Program Policy Directives for the general conduct of the SBIR/
STTR Programs within the Federal Government. The statutory purpose of
the SBIR Program is to strengthen the role of innovative small business
concerns (SBCs) in federally-funded research or research and
development (R/R&D). Specific program purposes are to: Stimulate
technological innovation; use small business to meet Federal R/R&D
needs; foster and encourage participation by socially and economically
disadvantaged SBCs, and by SBCs that are 51 percent owned and
controlled by women, in technological innovation; and increase private
sector commercialization of innovations derived from Federal R/R&D,
thereby increasing competition, productivity and economic growth.
Federal agencies participating in the SBIR/STTR Programs (SBIR/STTR
agencies) are obligated to follow the guidance provided by this Policy
Directive. NASA is required to ensure its policies, regulations, and
guidance on the SBIR/STTR Programs are consistent with SBA's Policy
Directive. Contracting Officers are required to insert the applicable
clauses identified in 1819.7302 in all SBIR and STTR contracts.
1819.7302 NASA contract clauses and solicitation provisions.
(a) Contracting officers shall insert clause 1852.219-80 Limitation
on Subcontracting SBIR Phase I Program in all Phase I contracts awarded
under the Small Business Innovation Research (SBIR) Program established
pursuant to Public Law 97-219 (the Small Business Innovation
Development Act of 1982).
(b) Contracting officers shall insert clause at 1852.219-81
Limitation on Subcontracting--SBIR Phase II Program in all Phase II
contracts awarded under the Small Business Innovation Research (SBIR)
Program established pursuant to Public Law 97-219 (the Small Business
Innovation Development Act of 1982).
(c) Contracting officers shall insert clause 1852.219-82 Limitation
on Subcontracting--STTR Program in all contracts awarded under the
Small Business Technology Transfer (STTR) Program established pursuant
to Public Law 97-219 (the Small Business Innovation Development Act of
1982).
(d) Contracting officers shall insert clause 1852.219-83 Limitation
of the Principal Investigator--SBIR Program in all contracts awarded
under the Small Business Innovation Research (SBIR) Program established
pursuant to Public Law 97-219 (the Small Business Innovation
Development Act of 1982).
(e) Contracting officers shall insert clause 1852.219-84 Limitation
on Subcontracting--STTR Program in all contracts awarded under the
Small Business Technology Transfer (STTR) Program established pursuant
to Public Law 97-219 (the Small Business Innovation Development Act of
1982).
PART 1832--CONTRACT FINANCING
3. Subpart 1832.12 is added to read as follows:
1832.12--Final Payment Under SBIR and STTR Contracts
1832.1210 Contract clause.
Contracting officers shall insert clause 1852.232-83 Conditions for
Final Payment SBIR and STTR Contracts in all Phase I and Phase II
contracts awarded under the Small Business Innovation Research (SBIR)
and Small Business Technology Transfer (STTR) Programs established
pursuant to Public Law 97-219 (the Small Business Innovation
Development Act of 1982). The clause is limited to use solely in
contracts awarded under the SBIR/STTR Programs.
PART 1852--SOLICITATION PROVISIONS AND CONTRACT CLAUSES
4. Clauses 1852.219-80, 1852.219-81, 1852.219-82, 1852.219-83, and
1852.219-84 are added to read as follows:
* * * * *
1852.219-80 Limitation on Subcontracting--SBIR Phase I.
As prescribed in 1819.7302(a), insert the following clause in all
SBIR Phase I contracts:
Limitation on Subcontracting--SBIR Phase I (XX/XX)
The Contractor shall perform a minimum of two-thirds of the
research and/or analytical effort (total contract price less profit)
conducted under this contract. Any deviation from this requirement must
be approved in advance and in writing by the Contracting Officer.
(End of clause)
1852.219-81 Limitation on Subcontracting--SBIR Phase II.
As prescribed in 1819.7302(b), insert the following clause in all
SBIR contracts:
Limitation on Subcontracting--SBIR Phase II (XX/XX)
The Contractor shall perform a minimum of one-half of the research
and/or analytical effort (total contract
[[Page 57242]]
price less profit) conducted under this contract. Any deviation from
this requirement must be approved in advance and in writing by the
Contracting Officer. Since the selection of R&D contractors is
substantially based on the best scientific and technological sources,
it is important that the Contractor not subcontract technical or
scientific work without the Contracting Officer's advance approval.
(End of clause)
1852.219-82 Limitation on Subcontracting--STTR Program.
As prescribed in 1819.7302(c), insert the following clause in all
SBIR and STTR solicitations and contracts:
Limitation on Subcontracting--STTR Program (XX/XX)
The Contractor (small business concern (SBC)) shall perform a
minimum of 40 percent of the work under this contract (total contract
price including cost sharing, if any, less profit if any). A minimum of
30 percent of the work under this contract shall be performed by the
research institution (RI). Since the selection of R&D contractors is
substantially based on the best scientific and technological sources,
it is important that the contractor not subcontract technical or
scientific work without the Contracting Officer's advance approval.
(End of clause)
1852.219-83 Limitation of the Principal Investigator--SBIR Program OR
Principal Investigator--Primary Employment--SBIR Program.
As prescribed in 1819.7302(d), insert the following clause in all
SBIR solicitations and contracts:
Limitation of the Principal Investigator--SBIR Program OR Principal
Investigator--Primary Employment--SBIR Program (XX/XX)
The primary employment of the principal investigator shall be with
the small business concern (SBC)/Contractor during the conduct of this
contract. Primary employment means that more than one-half of the
principal investigator's time is spent in the employ of the Contractor/
SBC. This precludes full-time employment with another organization.
Deviations from these requirements must be approved in advance and in
writing by the Contracting Officer and are not subject to a change in
the firm-fixed price of the contract. The PI for this contract is
(insert name).
(End of Clause)
1852.219-84 Limitation of the Principal Investigator--STTR Program.
As prescribed in 1819.7302(e), insert the following clause in all
STTR solicitations and contracts:
Limitation of the Principal Investigator--STTR Program (XX/XX)
(a) The primary employment of the principal investigator (PI)
identified in this STTR contract is with the small business concern
(SBC)/Contractor or the research institution (RI). Primary employment
means that more than one-half of the principal investigator's time is
spent in the employ of the contractor/SBC or RI.
(b) The principal investigator (PI) is considered to be key
personnel in the performance of this contract and may not have been
employed by the contractor/SBC. The Contractor/SBC whether or not the
employer of the PI shall exercise primary management direction and
control over the PI and be overall responsible for the PI's performance
under this contract. Deviations from these requirements must be
approved in advance and in writing by the Contracting Officer and are
not subject to a change in the firm-fixed price of the contract. The PI
for this contract is (insert name).
(End of Clause)
5. Section 1852.232-83 is added to read as follows:
1852.232-83 Conditions for Final Payment--SBIR and STTR Contracts.
As prescribed in 1832.1210, insert the following clause in all SBIR
and STTR solicitations and contracts:
Conditions for Final Payment--SBIR and STTR Contracts (XX/XX)
As a condition for final payment under this contract, the
Contractor shall provide the following certifications as part of its
final payment invoice request:
During performance of this contract--
1. Essentially equivalent work performed under this contract has
not been proposed for funding to another Federal agency;
2. No other Federal funding award has been received for essentially
equivalent work performed under this contract;
3. Deliverable items submitted under this contract have not been
submitted as deliverable items under another Federal funding award;
4. For SBIR contracts: The subcontracting limitation set forth in
this contract was not exceeded except as approved in writing by the
Contracting Officer on (insert date of approval or modification
number.);
5. For STTR contracts: The subcontracting limitation set forth in
this contract was not exceeded;
6. For SBIR contracts: The primary employment of the principal
investigator (PI) identified in this SBIR contract was with the
Contractor, except as approved in writing by the Contracting Officer on
(insert date of approval or modification number.); and
7. For STTR contracts: The primary employment of the principal
investigator (PI) identified in this STTR contract was the SBC/
Contractor or the research institution (RI). The PI identified in the
STTR contract was considered key in the performance of this contract
and may not have been employed by the Contractor/SBC. However, the
Contractor/SBC did exercise primary management direction and control
over the PI and was overall responsible for the PI's performance under
this contract. Any substitutions of this individual were approved in
writing by the Contracting Officer on (insert date of approval or
modification number.).
I understand that the willful provision of false information or
concealing a material fact in this representation is a criminal offense
under Title 18 U.S.C., Section 1001, False Statements, as well as Title
18 U.S.C., Section 287, False Claims.
(End of Clause)
[FR Doc. 05-19399 Filed 9-29-05; 8:45 am]
BILLING CODE 7510-01-P
