PART 1819
SMALL
BUSINESS PROGRAMS
1819.001 Definitions.
SUBPART 1819.2 POLICIES
1819.201 General
policy.
1819.202 Specific
policies.
SUBPART 1819.3 DETERMINATION OF SMALL BUSINESS STATUS
FOR SMALL BUSINESS PROGRAMS
1819.302 Protesting
a small business representation.
SUBPART 1819.5 SET-ASIDES
FOR SMALL BUSINESS
1819.502 Setting
aside acquisitions.
1819.502-70 Non-initiation
of set-asides.
1819.502-3 Partial
set-asides.
1819.502-370 NASA
reporting requirements.
1819.505 Rejecting
Small Business Administration recommendations.
SUBPART 1819.6 CERTIFICATES OF COMPETENCY AND DETERMINATIONS OF
RESPONSIBILITY
1819.602 Procedures.
1819.602-1 Referral.
1819.602-3 Resolving
differences between the agency and the Small Business Administration.
1819.602-370 NASA
procedures.
SUBPART 1819.7 THE
SMALL BUSINESS SUBCONTRACTING PROGRAM
1819.705-2 Determining the
need for a subcontracting plan.
1819.705-4 Reviewing
the subcontracting plan.
1819.705-470 Acquisition-specific
subcontracting goals.
1819.708 Contract
clauses.
1819.708-70 NASA
solicitation provision and contract clause.
SUBPART 1819.8 CONTRACTING WITH THE SMALL BUSINESS ADMINISTRATION (THE 8(a) PROGRAM)
1819.800 General
1819.804 Evaluation,
offering, and acceptance.
1819.804-1 Agency
evaluation.
1819.812 Contract
Administration
SUBPART
1819.10 SMALL BUSINESS COMPETITIVENESS DEMONSTRATION
PROGRAM
1819.1005 Applicability.
SUBPART 1819.70 NASA 8
PERCENT GOAL
1819.7000 General.
1819.7002 Contracting
officer responsibility.
1819.7003 Contract
clause.
SUBPART 1819.71 NASA RURAL AREA SMALL BUSINESS PLAN
1819.7101 Definition.
1819.7102 General.
1819.7103 Solicitation
provision and contract clause.
SUBPART 1819.72 NASA MENTOR-PROTÉGÉ PROGRAM
1819.7201 Scope of subpart.
1819.7202 Eligibility.
1819.7203 Mentor approval process.
1819.7204 Protégé selection.
1819.7205 Mentor-protégé agreements.
1819.7206 Agreement contents.
1819.7207 Agreement submission and approval
process.
1819.7208 Award Fee Pilot Program.
1819.7209 Credit agreements.
1819.7210 Agreement terminations.
1819.7211 Loss of eligibility.
1819.7212 Reporting requirements.
1819.7213 Performance reviews.
1819.7214 Measurement of program success
1819.7215 Solicitation provision and contract
clauses.
SUBPART 1819.73 SMALL
BUSINESS INNOVATION RESEARCH (SBIR) AND SMALL BUSINESS
TECHNOLOGY TRANSFER (STTR) PROGRAMS
1819.7301 Scope
of subpart.
1819.7302 NASA
contract clauses.
SMALL
BUSINESS PROGRAMS
“High-Tech” as used in
this part means research and/or development efforts that are within or advance
the state-of-the-art in a technology discipline and are performed primarily by
professional engineers, scientists, and highly skilled and trained technicians
or specialists.
Subpart
1819.2--Policies
(a)(i) NASA is committed to providing to
small, veteran-owned small business, service-disabled veteran-owned small
business, HUBZone, small disadvantaged, and
women-owned small business concerns, maximum practicable opportunities to
participate in Agency acquisitions at the prime contract level. The participation of NASA prime contractors
in providing subcontracting opportunities to such entities is also an essential
part of the Agency's commitment. The
participation of these entities is particularly emphasized in high-technology
areas where they have not traditionally dominated.
(ii) NASA annually negotiates Agency small, service-disabled
veteran-owned small business, HUBZone, small
disadvantaged, and women-owned small business prime and subcontracting goals
with the Small Business Administration pursuant to section 15(g) of the Small
Business Act (15 U.S.C. 644). In
addition, NASA has the following statutory goals based on the total value of
prime and subcontract awards:
(A) Under
Public Laws 101-144, 101-507, and 102-389, an annual goal of at least 8 percent
for prime and subcontract awards to small disadvantaged business (SDB)
concerns, Historically Black Colleges and Universities (HBCUs), minority
institutions (MIs), and women-owned small businesses (WOSBs) (see 1819.7000);
and
(B) Under
10 U.S.C. 2323, an annual goal of 5 percent for prime and subcontract awards to
SDBs, HBCUs, and WOSBs.
(d) The Assistant Administrator for Small and
Disadvantaged Business Utilization is the Agency official responsible for
carrying out the duties in FAR
19.201(d).
(e)(i) The center director shall designate a
qualified individual in the contracting office as a small business specialist to
provide a central point of contact to which small business concerns may direct
inquiries concerning small business matters and participation in NASA
acquisitions. The small business
specialist shall also perform other functions specifically set forth in this
section 1819.201 or that the procurement officer may prescribe, with the
concurrence of the Assistant Administrator for Small and Disadvantaged Business
Utilization, for implementing the Small Business Program. When the center director considers that the
volume of acquisitions or the functions relating to acquisitions at the center
do not warrant a full-time small business specialist, these duties may be
assigned to procurement personnel on a part-time basis. However,
whether full-time or part-time, that assigned individual, when performing the
duties of a small business specialist, shall report directly to the Procurement
Officer.
(ii) Small business specialists appointed under paragraph (d)(i) of this section shall perform the following duties, as
the procurement officer determines appropriate to the installation:
(A) Maintain a program designed to locate capable small
business sources, including those located in labor surplus areas, for current
and future acquisitions.
(B) Coordinate inquiries and requests for advice from small
business concerns on acquisition matters.
(C) Before issuance of solicitations or contract
modifications for additional supplies or services, determine that small
business concerns will receive adequate consideration, including making
recommendations for initiation of set-asides (see FAR 19.5 and 19.8) and for
taking action in accordance with FAR 19.506(b)
and 1819.502-70. Participate and provide input early in the
acquisition planning phase of proposed acquisitions, including procurement strategy meetings.
(D) If small business concerns cannot be given an opportunity
to compete because adequate specifications or drawings are not available, work
with appropriate technical and contracting personnel to ensure that necessary
specifications or drawings for current or future acquisitions will be
available.
(E) Review acquisitions for possible breakout of items
suitable for acquisition from small business concerns.
(F) Advise small business concerns regarding financial
assistance available under laws and regulations, assist such concerns in
applying for such assistance, and ensure that small business concerns' requests
for financial assistance are not treated as a handicap in securing the award of
contracts.
(G) Participate in responsibility determinations (see FAR 9.103) when small business concerns are involved.
(H) Participate in the evaluation of prime contractors' small
business subcontracting programs (see FAR
19.705-4).
(I) Review and make appropriate recommendations to the
contracting officer on any proposal to furnish Government-owned facilities to a
contractor if such action may hurt the Small Business Program.
(J) Ensure that participation of small business concerns is
accurately reported.
(K) Make available to SBA copies of solicitations when
requested.
(L) Act as liaison between contracting officers and SBA area
offices and representatives in connection with set-asides, certificates of
competency, and any other matters in which the Small Business Program may be
involved.
(M) In cooperation with contracting officers and technical
personnel, seek and develop information on the technical competence of small
business concerns for research and development contracts. Regularly bring to the attention of
contracting officers and technical personnel descriptive data, brochures, and
other information regarding small business concerns that are apparently
competent to perform research and development work in fields in which NASA is
interested.
(N) When a small business concern's offer has been rejected
for nonresponsiveness or nonresponsibility,
assist that concern, upon its request, in understanding such requirements for
future awards.
(O) Advise center personnel, as necessary, on new Governmentwide and Agency-approved small business programs
and initiatives.
(f)(1) The NASA Ombudsman, the Director of the Contract Management Division, is the
designated official for determining whether the use of the SDB mechanism in FAR
Subpart
19.11
has resulted in an undue burden on non-SDB firms in the Department of Commerce
designated NAICS Major Groups,
or is otherwise inappropriate.
1819.202 Specific policies
The contracting officer shall
complete a NASA Form 1787 for the following:
The completed form shall be
submitted and reviewed by the center small business specialist and SBA
Procurement Center Representative (PCR) before synopsis in FEDBiz
Ops in accordance with FAR 5.201. For
those requirements that are exempted from synopsis in accordance with FAR 5.202
the coordination shall be submitted and reviewed prior to the release of the
solicitation or offering of the requirement to the SBA under the 8(a) program.
Subpart
1819.3--Determination of Small Business Status for Small
Business Programs
1819.302 Protesting a small
business representation.
(d)(1) The
contracting officer shall not make awards of small business set-aside
acquisitions before the expiration of the period for receipt of a size standard
protest.
Subpart
1819.5--Set-Asides for Small Business
1819.502 Setting aside acquisitions.
1819.502-70 Non-initiation of
set-asides.
(a) All cases involving the non-initiation of
a set-aside, whether resulting from a joint decision of the small business
specialist and the contracting officer or a decision by the contracting officer
alone, require referral to the SBA representative (if one is assigned and
available) for review.
(b) If the small business specialist
recommends that an individual acquisition or a class of acquisitions, or a
portion thereof, be set aside, the contracting officer shall promptly either
concur in or disapprove the recommendation, stating in writing the reasons for
disapproval.
(c) When an SBA representative is assigned
and available and the contracting officer disapproves the small business
specialist's recommendation, the contracting officer shall promptly refer the
case to the SBA representative for review.
The small business specialist shall take no further appeal action. The SBA representative must either concur
with the decision or appeal the case to the procurement officer under FAR 19.505. If the procurement officer approves the
contracting officer’s decision and the SBA appeals under FAR 19.505(c), the
procurement officer shall forward the required written justification, including
a history of discussions between the center and the SBA and rationale for the
decision, to the Headquarters Office of Procurement, Program Operations
Division (HS).
(d) The contracting officer shall prepare,
sign, and retain in the contract file a memorandum of nonconcurrence
in a recommended set-aside action.
1819.502-3 Partial set-asides.
1819.502-370 NASA Reporting
Requirements.
The contracting officer shall separately
report, in accordance with Subpart 1804.6, awards of
the non-set-aside portions of small business set-aside acquisitions.
1819.505 Rejecting Small Business Administration recommendations.
See 1819.502-70.
Subpart 1819.6--Certificates of
Competency and Determinations of Responsibility
(a) On proposed awards exceeding the
simplified acquisition threshold, the contracting officer should consider
requesting a preaward survey (see FAR 9.106) before
determining that a responsive small business firm is not responsible. The scope of the preaward
survey request should be limited to those elements of responsibility that are
questioned.
(2) The
contracting officer shall forward a copy of the referral to SBA through the
procurement officer to the Headquarters Office of Small and Disadvantaged
Business Utilization (Code
K).
1819.602-3 Resolving differences between the agency and the Small Business Administration.
(a) When agreement cannot be reached between
the contracting officer and the SBA Area Office, the contracting officer shall
forward to the Headquarters Office of Procurement (Code HS) on an expedited
basis, a complete case file with a request that the case be considered for
appeal to SBA Headquarters. The
contracting officer shall include the data already furnished to SBA, SBA's
rationale for proposing to issue a COC, and the contracting officer's
comments. The contracting officer shall
suspend acquisition action until informed by Code HS of the final decision in
the case.
(b) If the Office of Procurement concludes
that the referral to SBA should be withdrawn and a contract awarded without
benefit of a COC, Code HS shall inform the contracting officer.
(c) If the Office of Procurement agrees with
the contracting officer's recommended appeal action, the Assistant
Administrator for Procurement shall forward the appeal through the Office of
Small and Disadvantaged Business Utilization (Code K) to SBA Headquarters.
Subpart 1819.7--The Small Business
Subcontracting Program
1819.705-2 Determining the
need for a subcontracting plan.
(d) Solicitations for competitive negotiated
acquisitions shall require proposed subcontracting plans with initial proposals
(see 1819.708(b)(1)). For
sole source negotiated acquisitions, the contractor shall be required to submit
a proposed subcontracting plan with the proposal.
1819.705-4 Reviewing the
subcontracting plan.
1819.705-470 Acquisition-specific
subcontracting goals.
Section 1819.201
addresses Agencywide goals at the combined prime and
subcontract levels. Appropriate
subcontracting goals for an individual acquisition, however, are to be
independently determined on the basis of the specific circumstances of the
acquisition, consistent with FAR 19.705-4 and 1819.7002(b),
and not on the basis of an Agencywide or center
goal. Acquisition-specific
subcontracting goals should reflect maximum practicable opportunities for all
categories of small business concerns to participate in NASA programs,
consistent with efficient performance.
The methods outlined in NASA Policy Directive (NPD) 5000.2, Uniform
Methodology for Determination of Small Disadvantaged Subcontracting Goals, may
also be useful in establishing reasonable subcontracting goals for small, veteran-owned small business, service-disabled
veteran-owned small business, HUBZone, and women-owned small business concerns.
(b)(1) The
contracting officer shall use the clause at FAR 52.219-9 with its Alternate II when contracting
by negotiation.
1819.708-70
NASA solicitation provision and contract clause.
(a)
The contracting officer shall insert the provision at 1852.219-73, Small Business Subcontracting Plan, in
invitations for bids containing the clause at FAR 52.219-9 with its Alternate
I. Insert in the last sentence the number of calendar days after request that
the offeror must submit a complete plan.
(b)
The contracting officer shall insert the clause at 1852.219-75,
Small Business Subcontracting Reporting, in solicitations and contracts
containing the clause at FAR 52.219-9, except for contracts covered by an
approved commercial plan.
Subpart
1819.8--Contracting with the Small Business Administration
(The
8(a) Program)
1819.800 General.
(f) NASA and the Small Business
Administration maintain a Partnership Agreement (PA) to allow direct
contracting with 8(a) firms by NASA.
Specific guidance on the implementation of the PA through a class
deviation to certain requirements set forth in Subpart 19.8 is set forth in
Procurement Information (PIC) 08-06.
Centers are to refer to the PIC to determine if direct contracting is
currently authorized.
1819.804 Evaluation, offering, and acceptance.
The small business specialist shall review
and evaluate all acquisition requirements to determine their suitability for
offering to SBA for 8(a) acceptance and make a recommendation to the
contracting officer concerning award to SBA.
1819.812 Contract Administration.
(d) The Small Business Act, at 15 USC 637(a)(21)(A), requires a contract awarded under the 8(a) Program
to be performed by the concern that initially received the contract. If the
owner(s) upon whom eligibility was based subsequently relinquishes ownership or
control, or enters into any agreement to relinquish ownership or control, the
contract shall be terminated for convenience unless a request for waiver is
submitted by the contractor, or by NASA.
Only the Small Business Administration (SBA) may waive this
requirement. Contracting Officers must
coordinate any planned requests for waiver of an 8(a) contract termination with
the Headquarters Office of Procurement (Program Operations Division). The Headquarters Office of Procurement will review
and coordinate the package with Headquarters offices, as appropriate, and will
either forward the request to the Administrator for signature or will advise
the Contracting Officer of the decision not to submit the request to the SBA.
Subpart
1819.10--Small Business Competitiveness Demonstration
Program
(b) The targeted industry
categories for NASA and their North American Industry Classification System
(NAICS) codes are:
NAICS Code |
Industry Category |
334111 |
Electronic Computer Manufacturing |
334418 |
Printed Circuit Assembly (Electronic Assembly) Manufacturing |
334613 |
Magnetic and Optical Recording Media Manufacturing |
334119 |
Other Computer Peripheral Equipment Manufacturing |
33422 |
Radio and Television Broadcasting and Wireless Communication Equipment
Manufacturing |
336415 |
Guided Missile and Space Vehicle Propulsion Unit and Propulsion Unit
Parts Manufacturing |
336419 |
Other Guided Missile and Space Vehicle Parts and Auxiliary Equipment
Manufacturing |
334511 |
Search, Detection, Navigation, Guidance, Aeronautical, and Nautical
Systems and Instrument Manufacturing |
333314 |
Optical Instrument and Lens Manufacturing |
541511 |
Custom Computer Programming Services |
541512 |
Computer Systems Design Services |
51421 |
Data Processing Services |
541519 |
Other Computer Related Services |
Subpart
1819.70--NASA 8 Percent Goal
Public Laws 101-144, 101-507, and 102-389
require the NASA Administrator to ensure, to the fullest extent possible, that
at least 8 percent of Federal funding for prime and subcontracts awarded in
support of authorized programs, including the space station by the time
operational status is obtained, be made available to small disadvantaged
business concerns, Historically Black Colleges and Universities, minority
institutions, and women-owned small business concerns.
1819.7002 Contracting officer responsibility.
(a) Contracting officers must
seek out as potential sources small disadvantaged business concerns,
women-owned small business concerns, historically black colleges or
universities and minority institutions, and give full consideration to these
entities to satisfy NASA requirements.
The participation of NASA prime contractors is also essential to meeting
the Agency’s 8 percent goal.
(b) NASA Policy Directive (NPD) 5000.2, Uniform
Methodology for Determination of Small Disadvantaged Subcontracting Goals,
contains guidance on developing realistic goals. It is applicable to acquisitions expected to
exceed $50 million, including options.
The methodology may be used for lesser value acquisitions.
The contracting officer shall insert the
clause at 1852.219-76, NASA 8
Percent Goal, in all solicitations and contracts other than those below the
simplified acquisition threshold or when the contract, together with all its
subcontracts, is to be performed entirely outside of any State, territory, or
possession of the United States, the District of Columbia, the Commonwealth of
Puerto Rico, and the Trust Territory of the Pacific Islands.
Subpart
1819.71--NASA Rural Area Small Business Plan
"Rural
area" means a county with a population of fewer than twenty
thousand individuals.
Pursuant to Public Law 100-590, NASA
established a Rural Area Business Enterprise Development Plan, including
methods for encouraging prime and subcontractors to use small business concerns
located in rural areas as subcontractors and suppliers. One method is to encourage the contractor to
use its best efforts to comply with the intent of the statute.
1819.7103 Solicitation provision and contract clause.
The contracting officer shall insert the
clause at 1852.219-74, Use of Rural Area Small Businesses, in
solicitations and contracts that offer subcontracting possibilities or that are
expected to exceed $550,000 ($1,000,000 for construction of public facility)
unless the contract, together with all its subcontracts, is to be performed
entirely outside of any State, territory, or possession of the United States,
the District of Columbia, the Commonwealth of Puerto Rico, and the Trust
Territory of the Pacific Islands.
Subpart
1819.72--NASA Mentor-Protégé Program
1819.7201 Scope of
subpart.
(a) This
subpart implements the NASA Mentor-Protégé Program (hereafter referred to as
the Program) established under the authority of Title 42, U.S.C., 2473(c)(1).
The purpose of the Program is to:
(1)
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;
(2)
Increase the overall participation of protégés as subcontractors and suppliers
under NASA contracts, other Federal agency contracts, and commercial contracts;
and
(3)
Foster the establishment of long-term business relationships between protégés
and mentors.
(b) Under
the Program, eligible entities approved as mentors will enter into
mentor-protégé agreements with eligible protégés to provide appropriate
developmental assistance to enhance the capabilities of the protégés to perform
as subcontractors and suppliers. NASA may provide the mentor award fee
incentives. Additionally, this subpart explains the calculated subcontracting
credit for a mentor-protégé program pursuant to FAR 52.219-9, Small Business
Subcontracting Plan.
1819.7202
Eligibility.
(a)
Eligibility of Mentors: To be eligible to participate as a mentor, an entity
must be--
(1) A
large prime contractor performing under contracts with at least one approved
subcontracting plan negotiated with NASA, pursuant to FAR Subpart 19.7, The
Small Business Subcontracting Program. A
contractor may apply to become a mentor even if they currently are not performing
under a NASA contract with an approved subcontracting plan, if they are
currently performing for another Federal Agency under a contract with an
approved subcontracting plan. A NASA
mentor-protégé agreement will not be approved until such time the mentor
company is performing under a NASA contract with an approved subcontracting
plan; and
(2) A
contractor eligible for receipt of Government contracts.
(i)
An entity may not be approved for participation in the Program as a mentor if,
at the time of requesting participation in the program, it is currently
debarred or suspended from contracting with the Federal Government pursuant to
FAR Subpart 9.4, Debarment, Suspension, and Ineligibility.
(b)
Eligibility of Protégés: To be eligible to participate as a protégé, an entity
must--
(1) Be
classified as a Small Disadvantaged Business (SDB), a women-owned small
business, a HUBZone small business, a veteran-owned
or service-disabled veteran-owned small business, an historically black college
and university, minority institution of higher education, as defined in FAR
Part 2, Definitions of Parts and Terms, an active NASA SBIR Phase II company,
or a non-profit agency employing people who are blind or severely disabled as defined in 41 CFR Chapter 51.
(2) Be
eligible for the award of Federal contracts; and
(3) Be
a small business according to the Small Business Administration (SBA) size
standard for the North American Industry Classification System (NAICS) code
that represents the contemplated supplies or services to be provided by the
protégé to the mentor if the protégé is representing itself as a women-owned
small business, HUBZone small business, or a
veteran-owned or service-disabled veteran-owned small business.
(4) Except for SDBs, a protégé firm may self-certify
to a mentor firm that it meets the requirements set forth in paragraph (a) of
this section. Mentors may rely in good
faith on written representations by potential protégés that they meet the
specified eligibility requirements. SDB
status eligibility and documentation requirements are determined according to FAR 19.304.
1819.7203 Mentor
approval process.
(a) An
entity seeking to participate as a mentor must apply to the NASA Headquarters
Office of Small Business Programs (OSBP), to establish its initial eligibility
and approval as a mentor, prior to submission of a mentor-protégé agreement.
(b) The
application must provide the following information:
(1) A
statement that the entity is currently performing under at least one active
approved subcontracting plan negotiated with NASA pursuant to FAR 19.702, The
Small Business Subcontracting Program, and that the entity is currently
eligible for the award of Government contracts.
(2) A
summary of the entity's historical and recent activities and accomplishments
under its small and disadvantaged business utilization program.
(3)
The total dollar amount of NASA contracts and subcontracts that the entity
received during the two preceding fiscal years. (Show prime contracts and
subcontracts separately per year.)
(4)
The total dollar amount of all other Federal agency contracts and subcontracts
that the entity received during the two preceding fiscal years. (Show prime
contracts and subcontracts separately per year.)
(5)
The total dollar amount of subcontracts that the entity awarded under NASA
contracts during the two preceding fiscal years.
(6)
The total dollar amount of subcontracts that the entity awarded under all other
Federal agency contracts during the two preceding fiscal years.
(7)
The total dollar amount and percentage of subcontracts that the entity awarded
to all SDB, women-owned small businesses, HUBZone
small businesses, veteran-owned and service-disabled veteran-owned small
businesses, Historically Black Colleges, and Universities, minority
institutions of higher education and nonprofit agencies employing people who
are blind and severely disabled under NASA contracts and other Federal agency
contracts during the two preceding fiscal years. If the entity is presently
required to submit a Summary Subcontracting Report via the Government
Electronic Subcontracting Reporting System (eSRS),
the application must include copies of the final reports for the two preceding
fiscal years.
(8)
Information on the entity's ability to provide developmental assistance to its
eligible protégés.
(9)
Any additional information as requested by NASA OSBP.
(c) In
accordance with the Small Business Act, developmental assistance as described
in 1819.7205(c) and provided by a mentor to its protégé pursuant to a
mentor-protégé agreement may not be a basis for determining affiliation or
control (either direct or indirect) between the parties.
(d) Entities
that apply for participation and are not approved will be provided the reasons
and an opportunity to submit additional information for reconsideration.
(e) Entities
approved for participation as a mentor in the NASA program must resubmit a
mentor application every six (6) years for review and approval by NASA OSBP.
(f) A
template of the mentor application is available at: http://www.osbp.nasa.gov.
1819.7204 Protégé
selection.
(a) Mentors
will be solely responsible for selecting protégés. Mentors are required to
identify and select concerns that are defined as an SDB, women-owned small
business, HUBZone small business, veteran-owned or
service-disabled veteran-owned small business, Historically Black Colleges and
Universities, minority institutions of higher education, an active NASA SBIR
Phase II company or a nonprofit agency employing the blind or severely
disabled.
(b) The selection
of protégés by a mentor may not be protested, except as in paragraph (c) of
this section.
(c) In the
event of a protest regarding the size or eligibility of an entity selected to be a protégé, the
mentor must refer the protest to the SBA to resolve in accordance with 13 CFR
Part 121 (with respect to size) or 13 CFR Part 124 (with respect to
disadvantaged status).
(d) A
protégé may have only one active NASA mentor-protégé agreement, and may not
participate in the NASA Program more than two times as a protégé.
(e) Protégés
will be required to submit a protégé application concurrently with the
agreement submission. This application will include the following information:
(1) A
summary of the entity's historical and recent activities, including annual
revenue and number of employees.
(2)
The total dollar amount of NASA contracts and subcontracts that the entity
received during the two preceding fiscal years. (Show prime contracts and
subcontracts separately per year.)
(3)
The total dollar amount of all other Federal agency contracts and subcontracts
that the company received during the two preceding fiscal years. (Show prime
contracts and subcontracts separately per year.)
(4)
The total dollar amount of subcontracts that the company awarded under NASA
contracts during the two preceding fiscal years.
(5)
The total dollar amount of subcontracts that the company awarded under all
other Federal agency contracts during the two preceding fiscal years.
1819.7205
Mentor-protégé agreements.
(a) The agreements
shall be structured after the mentor completes an assessment of the
developmental needs of the protégé and a mutual agreement is reached regarding
the developmental assistance to be permitted to address those needs and enhance
the protégé's ability to perform successfully under contracts and/or
subcontracts.
(b) A mentor
shall not require a protégé to enter into a mentor-protégé agreement as a
condition for award of a contract by the mentor, including a subcontract under
a NASA contract awarded to the mentor.
(c) The
mentor-protégé agreement may provide for the mentor to furnish any or all of
the following types of developmental assistance:
(1)
Assistance by the mentor's personnel in--
(i)
General business management, including organizational management, financial
management, personnel management, marketing, business development, and overall
business planning;
(ii)
Engineering, environmental and technical matters; and
(iii)
Any other assistance designed to develop the capabilities of the protégé under
the developmental program.
(2)
Award of subcontracts under NASA contracts or other contracts on a
noncompetitive basis.
(3)
Advance payments under such subcontracts. The mentor must administer advance
payments when first approved by NASA in accordance with FAR Subpart 32.4,
Advance Payments for Non-Commercial Items.
(4)
Loans.
(5)
Investment(s) in the protégé in exchange for an ownership interest in the
protégé, not to exceed 10 percent of the total ownership interest. Investments
may include, but are not limited to, cash, stock, and contributions in kind.
(6)
Assistance that the mentor obtains for the protégé from one or more of the
following:
(i)
Small Business Development Centers established pursuant to Section 21 of the
Small Business Act (15 U.S.C. 648).
(ii)
Entities providing procurement technical assistance pursuant to 10 U.S.C.
Chapter 142 (Procurement Technical Assistance Centers).
(iii)
Historically Black Colleges and Universities.
(iv) Minority institutions of higher education.
(d)
Developmental assistance provided under an approved mentor- protégé agreement
is distinct from, and must not duplicate, any effort that is the normal and
expected product of the award and administration of the mentor's subcontracts.
Costs associated with the latter must be accumulated and charged in accordance
with the contractor's approved accounting practices; they are not considered
developmental assistance costs eligible for credit under the Program.
(e) A
template of the mentor-protégé agreement is available at
http://www.osbp.nasa.gov.
1819.7206 Agreement
contents.
Each
mentor-protégé agreement will contain the following elements:
(a) The
name, address, e-mail address, and telephone number of the mentor and protégé
points of contact;
(b) The
NAICS code(s) that represent the contemplated supplies or services to be
provided by the protégé to the mentor and a statement that, at the time the
agreement is submitted for approval, the protégé, if an SDB, a women-owned
small business, a HUBZone small business, or a
veteran-owned, a service-disabled veteran-owned small business concern or a
NASA SBIR Phase II Company, does not exceed the size standard for the
appropriate NAICS code;
(c) The DUNS
number of the mentor and protégé;
(d) A
statement that the mentor is eligible to participate in accordance with
1819.7202(a);
(e) A
statement that the protégé is eligible to participate in accordance with
1819.7202(b);
(f) A
developmental program specifying the type of assistance the mentor will provide
to the protégé and how that assistance will--
(1)
Increase the protégé's ability to participate in NASA, Federal, and/or
commercial contracts and subcontracts; and
(2)
Increase small business subcontracting opportunities in industry categories
where eligible protégés or other small business firms are not dominant in the
company's vendor base;
(g) Factors
to assess the protégé's developmental progress under the Program, including
specific milestones for providing each element of the identified assistance;
(h) An
estimate of the dollar value and type of subcontracts that the mentor will
award to the protégé, and the period of time over which the subcontracts will
be awarded;
(i) A
statement from the mentor and protégé indicating a commitment to comply with
the requirements for reporting in accordance with 1819.7212 and for review of
the agreement during the duration of the agreement, and additionally for the
protégé, two years thereafter;
(j)
Procedures to terminate the agreement in accordance with 1819.7210;
(k) A
provision that the term for the agreement will not exceed 3 years for a credit
agreement;
(l)
Additional terms and conditions as may be agreed upon by both parties; and
(m) Signatures
and dates for both parties to the mentor-protégé agreement.
1819.7207 Agreement
submission and approval process.
(a) To
participate in the Program, entities approved as mentors in accordance with
1819.7203, will submit to a Small Business Specialist at a NASA Center--
(1) A
signed mentor-protégé agreement pursuant to 1819.7206;
(2)
The estimated cost of the technical assistance to be provided, broken out per
year and per task, in a separate cost volume; and
(3)
NASA OSBP may require additional information as requested upon agreement
submission.
(b) The
mentor-protégé agreement must be approved by the Assistant Administrator, NASA
OSBP, prior to the mentor incurring eligible costs for developmental assistance
provided to the protégé.
(c) The cognizant NASA center will issue a contract modification, if
justified prior to the mentor incurring costs for developmental assistance to
the protégé.
1819.7208 Award Fee Pilot Program.
(a) Mentors
will be eligible to earn a separate award fee associated with the provision of
developmental assistance to NASA SBIR Phase II Protégés only. The award fee
will be assessed at the end of the Mentor-Protégé agreement period.
(b) The
overall developmental assistance performance of NASA contractors, in promoting
the use of small businesses as subcontractors, will be a required evaluation
factor in award fee plans.
(c)
Evaluation criteria to determine the award fee would include:
(1)
Active participation in the Program;
(2)
The amount and quality of developmental assistance provided;
(3)
Subcontracts awarded to small businesses and others;
(4)
Success of the protégés in increasing their business as a result of receiving
developmental assistance; and
(5)
Accomplishment of any other activity as related to the mentor-protégé
relationship.
(d) The
Award Fee Pilot Program is an addition to the credit agreement. Participants
that are eligible for award fee will also receive credit as described in
1819.7209.
1819.7209 Credit
agreements.
(a) The credit
permits the mentor to include the cost it expends on a mentor-protégé agreement
as part of any subcontracting plan pursuant to the clause at FAR 52.219-9,
Small Business Subcontracting Plan. The following provisions apply to all
credit mentor-protégé agreements:
(1)
Developmental assistance costs incurred by a mentor for providing assistance to
a protégé pursuant to an approved credit mentor-protégé agreement may be
credited as if the costs were incurred in a subcontract awarded to that
protégé. Credit is given for the sole purpose of determining the performance of
the mentor in attaining an applicable subcontracting goal established under any
contract containing a subcontracting plan pursuant to the clause at FAR
52.219-9, Small Business Subcontracting Plan.
(2)
Other costs that have been reimbursed through inclusion in indirect expense
pools may also be credited as subcontract awards for determining the
performance of the mentor in attaining an applicable subcontracting goal
established under any contract containing a subcontracting plan.
(3)
The amount of credit a mentor may receive for developmental assistance costs
must be reported on a one-to-one basis for all dollars spent.
1819.7210 Agreement
terminations.
(a)
Agreements may be terminated for cause or on a voluntary basis by the mentor or
the protégé. The procedures for agreement termination are outlined in the
mentor-protégé agreement template available at http://www.osbp.nasa.gov.
(b) NASA
OSBP maintains the right to terminate an agreement if milestones provided under
the original agreement submission, pursuant to 1819.7206(g), are not
satisfactorily achieved, or for other reasons as determined necessary by the
NASA OSBP.
1819.7211 Loss of eligibility.
(a) If the mentor is suspended or debarred while performing
under an approved mentor-protégé agreement, the mentor--
(1)
May not be reimbursed or take credit for any costs of providing developmental
assistance to its protégé, incurred more than 30 days after the imposition of
such suspension or debarment; and
(2)
Must promptly give notice of its suspension or debarment to its protégé and
NASA OSBP.
(b) If the
protégé is suspended or debarred while performing under an approved
mentor-protégé agreement or the SBA determines that a protégé is ineligible
according to program eligibility requirements, then--
(1)
The mentor shall not be able to receive credit for any of the costs of
providing assistance to the protégé after the date of the determination
regarding the protégé's loss of eligibility; and
(2)
The mentor shall not be eligible to receive an award fee for the assistance
provided to the protégé after the date of the determination regarding the
protégé's suspension or debarment, if participating in the Award Fee Pilot
Program.
(c) If the
protégé is a Historically Black College or University, or other minority
institution of higher education that loses either their accredited or minority
status, then:
(1)
The mentor shall not be able to receive credit for any the costs of providing
assistance to the protégé after the date of the determination regarding the
protégé's status.
(2)
The mentor shall not be eligible to receive an award fee for the assistance
provided to the protégé after the date of the determination regarding the protégé's
loss of accreditation or minority status.
1819.7212 Reporting
requirements.
(a) Mentors
must report on the progress made under active mentor-protégé agreements
semiannually throughout the term of the agreement.
(b) Reports
are due 30 days after the end of each six-month period of performance
commencing with the start of the agreement.
(c) Each
semiannual report must include the following data on performance under the
mentor-protégé agreement:
(1)
Expenditures by the mentor.
(2)
The number and dollar value of subcontracts awarded to the protégé.
(3)
Description of developmental assistance provided, including milestones
achieved.
(4)
Impact of the agreement in terms of capabilities enhanced, certifications
received, and/or technology transferred.
(d)
Semiannually, the protégé must provide an independently developed progress
report using the semiannual report template, on the progress made during the
prior six months by the protégé in employment, revenues, and participation in
NASA contracts during each year of the Program participation term. The Protégé
must also provide an additional post-agreement report for each of the two years
following the expiration of the Program participation term.
(e) The
protégé semiannual report required by paragraph (d) of this section may be
provided with the mentor semiannual report required by paragraph (a) of this
section, or submitted separately.
(f) Reports
for all agreements must be submitted to the NASA OSBP Mentor-Protégé Program
Manager, the mentor's cognizant administrative
contracting officer, and their cognizant center small business specialist.
(g)
Templates for the semiannual report and the Post-Agreement report and guidance
for their submission are available at: http://www.osbp.nasa.gov.
1819.7213
Performance reviews.
(a) NASA
OSBP will conduct annual performance reviews of the progress and
accomplishments realized under approved mentor-protégé agreements. These
reviews will include verification of--
(1)
All costs incurred by the mentor under the agreement to determine if they were
reasonable in the provision of developmental assistance to the protégé in
accordance with the mentor-protégé agreement and applicable regulations and
procedures; and
(2)
The mentor's and protégé's reported progress made by the protégé in employment,
revenues, and participation in NASA contracts during the program participation
term.
1819.7214 Measurement of program success.
(a) NASA
will measure the overall success of the Program by the extent to which the
Program results in--
(1) An
increase in the number and dollar value of contracts and subcontract awards to
protégés (under NASA contracts, contracts awarded by other Federal agencies,
and commercial contracts) from the date of their entry into the program until
two years after the conclusion of the agreement;
(2) An
increase in the number and dollar value of subcontracts awarded to a protégé
(or former protégé) by its mentor (or former mentor); and
(3) An
increase in the protégés number of employees from the date of entry into the
program until two years after the completion of the agreement.
1819.7215
Solicitation provision and contract clauses.
(a) The
contracting officer shall insert the clause at 1852.219-77, NASA Mentor-Protégé
Program, in:
(1) Any contract that includes the clause
at FAR 52.219-9, Small Business Subcontracting Plan.
(b) The
contracting officer shall insert the clause at 1852.219-79, Mentor Requirements
and Evaluation, in contracts where the prime contractor is a participant in the
NASA Mentor-Protégé Program.
Subpart 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 USC 638.
The Small Business Act requires that the Small Business Administration
(SBA) 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 the SBA 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.
(a)
Contracting officers shall insert the clause at 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 Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).
(b)
Contracting officers shall insert the 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 Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).
(c)
Contracting officers shall insert the clause at 1852.219-82, Limitation on
Subcontracting – STTR Program, in all contracts awarded under the Small
Business Technology Transfer (STTR) Program established pursuant to Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).
(d)
Contracting officers shall insert the clause at 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 Pub.L. 97-219 (the Small Business
Innovation Development Act of 1982).
(e) Contracting
officers shall insert the clause at 1852.219-84, Limitation of the Principal
Investigator – STTR Program, in all contracts awarded under the Small Business
Technology Transfer (STTR) Program established pursuant to Pub.L.
97-219 (the Small Business Innovation Development Act of
1982).
(f)
Contracting officers shall insert the clause at 1852.219-85, Conditions for
Final Payment - SBIR and STTR Contracts, in all contracts awarded under the
Small Business Technology Transfer (STTR) Program and in all Phase
I and Phase II contracts awarded under the Small Business Technology Transfer
(STTR) Small Business Innovation Research (SBIR) Program established pursuant
to Pub.L. 97-219 (the Small
Business Innovation Development Act of 1982).