2009 SBIR/STTR Program Description
SBIR/STTR 2009-1
National Aeronautics and Space Administration
SMALL BUSINESS
INNOVATION RESEARCH (SBIR)
SMALL BUSINESS
TECHNOLOGY TRANSFER (STTR)
Program Solicitations
Opening Date: July 7, 2009
Closing Date: September 3, 2009
The electronic version of this document
is at:
2009 SBIR/STTR Program Description
TABLE OF CONTENTS
1. Program Description
1.1 Introduction
1.2 Program Authority and Executive Order
1.3 Program Management
1.4 Three-Phase Program
1.5 Eligibility Requirements
1.6 General Information
2. Definitions
2.1 Allocation of Rights Agreement
2.2 Commercialization
2.3 Cooperative Research or Research and Development (R/R&D) Agreement
2.4 Cooperative Research or Research and Development (R/R&D)
2.5 Essentially Equivalent Work
2.6 Funding Agreement
2.7 HUBZone-Owned SBC
2.8 Infusion
2.9 Innovation
2.10 Intellectual Property (IP)
2.11 Principal Investigator (PI)
2.12 Research Institution (RI)
2.13 Research or Research and Development (R/R&D)
2.14 SBIR/STTR Technical Data
2.15 SBIR/STTR Technical Data Rights
2.16 Service Disabled Veteran-Owned Small Business
2.17 Small Business Concern (SBC)
2.18 Socially and Economically Disadvantaged Individual
2.19 Socially and Economically Disadvantaged Small Business Concern
2.20 Subcontract
2.21 Technology Readiness Level (TRLs)
2.22 United States
2.23 Veteran-Owned Small Business
2.24 Women-Owned Small Business
3. Proposal Preparation Instructions and Requirements
3.1 Fundamental Considerations
3.2 Phase 1 Proposal Requirements
3.3 Phase 2 Proposal Requirements
3.4 SBA Data Collection Requirement
4. Method of Selection and Evaluation Criteria
4.1 Phase 1 Proposals
4.2 Phase 2 Proposals
4.3 Debriefing of Unsuccessful Offerors
5. Considerations
5.1 Awards
5.2 Phase 1 Reporting
5.3 Payment Schedule for Phase 1
5.4 Payment Schedule for Phase 2
5.5 Release of Proposal Information
5.6 Access to Proprietary Data by Non-NASA Personnel
5.7 Final Disposition of Proposals
5.8 Proprietary Information in the Proposal Submission
5.9 Limited Rights Information and Data
5.10 Cost Sharing
5.11 Profit or Fee
5.12 Joint Ventures and Limited Partnerships
5.13 Similar Awards and Prior Work
5.14 Contractor Commitments
5.15 Additional Information
5.16 Property and Facilities
5.17 Human and/or Animal Subject
5.18 Toxic Chemical
5.19 Hazardous Materials
5.20 HSPD-12
6. Submission of Proposals
6.1 Submission Requirements
6.2 Submission Process
6.3 Deadline for Phase 1 Proposal Receipt
6.4 Acknowledgment of Proposal Receipt
6.5 Withdrawal of Proposals
6.6 Service of Protests
7. Scientific and Technical Information Sources
7.1 NASA Websites
7.2 United States Small Business Administration (SBA)
7.3 National Technical Information Service
8. Submission Forms and Certifications
Form A – SBIR Cover Sheet
Guidelines for Completing SBIR Cover Sheet
Form B – SBIR Proposal Summary
Guidelines for Completing SBIR Proposal Summary
Form C – SBIR Budget Summary
Guidelines for Preparing SBIR Budget Summary
SBIR Check List
Form A – STTR Cover Sheet
Guidelines for Completing STTR Cover Sheet
Form B – STTR Proposal Summary
Guidelines for Completing STTR Proposal Summary
Form C – STTR Budget Summary
Guidelines for Preparing STTR Budget Summary
Model Cooperative R/R&D Agreement
Model Allocation of Rights Agreement
STTR Check List
9. Research Topics for SBIR and STTR
9.1 SBIR Research Topics
9.2 STTR Research Topics
Appendices
Appendix A: Example Format for Briefing Chart
Appendix B: Technology Readiness Level (TRL) Descriptions
Appendix C: SBIR Phase 1 Model Contract
Appendix D: SBIR Phase 2 Model Contract
Appendix E: STTR Phase 1 Model Contract
Appendix F: STTR Phase 2 Model Contract
Appendix G: NASA SBIR-STTR Technology Taxonomy
Research Topics Index
2009 SBIR/STTR Program Description
2009 NASA SBIR/STTR Program Solicitations
1. Program Description
1.1 Introduction
This document includes two NASA program solicitations with separate research areas under which small business concerns (SBCs) are invited to submit proposals: the Small Business Innovation Research (SBIR) program and the Small Business Technology Transfer (STTR) program. Program background information, eligibility requirements for participants, the three program phases, and information for submitting responsive proposals is contained herein. The 2009 Solicitation period for Phase 1 proposals begins July 7, 2009, and ends September 3, 2009.
The purposes oftheSBIR/STTR programs, as established by law, are to stimulate technological innovation in the private sector; to strengthen the role of SBCs in meeting Federal research and development needs; to increase the commercial application of these research results; and to encourage participation of socially and economically disadvantaged persons and women-owned small businesses.
Technological innovation is vital to the performance of the NASA mission and to the Nation’s prosperity and security. To be eligible for selection, a proposal must present an innovation that meets the technology needs of existing NASA programs and projects as described herein and has significant potential for successful commercialization. Commercialization encompasses the transition of technology into products and services for NASA mission programs, other Government agencies and non-Government markets.
NASA considers every technology development investment dollar critical to the ultimate success of NASA’s mission and strives to ensure that the research topic areas described in this solicitation are in alignment with its Mission Directorate high priorities technology needs. In addition, the solicitation is structured such that SBIR/STTR investments are complementary to other NASA technology investments. NASA’S ultimate objective is to achieve infusion of the technological innovations developed in the SBIR/STTR program into its Mission Directorates programs and projects.
The NASA SBIR/STTR programs do not accept proposals solely directed towards system studies, market research, routine engineering development of existing products or proven concepts and modifications of existing products without substantive innovation.
Subject to the availability of funds, approximately 300 SBIR and 30 STTR Phase 1 proposals will be selected for negotiation of fixed-price contracts in November 2009. Historically, the ratio of Phase 1 proposals to awards is approximately 6:1 for SBIR and STTR, and approximately 45% of the selected Phase 1 contracts are selected for Phase 2 follow-on efforts.
NASA will not accept more than 10 proposals to either program from any one company in order to ensure the broadest participation of the small business community. NASA does not plan to award more than 5 SBIR contracts and 2 STTR contracts to any offeror.
Proposals must be submitted via the Internet at and include all relevant documentation. Unsolicited proposals will not be accepted.
1.2 Program Authority and Executive Order
SBIR: This Solicitation is issued pursuant to the authority contained in P.L. 106-554 in accordance with policy directives issued by the Small Business Administration.The current law authorizes the program through July 31, 2009. A new authorization is anticipated prior to this end date.Further information will be provided on the NASA Innovative Partnerships Program (IPP) Homepage when available (
STTR: This Solicitation is issued pursuant to the authority contained in P.L. 107-50 in accordance with policy directives issued by the Small Business Administration.The current law authorizes the program through September 30, 2009.
Executive Order: This Solicitation complies with Executive Order 13329 (issued February 24, 2004) directing Federal agencies that administer the SBIR and STTR programs to encourage innovation in manufacturing related research and development consistent with the objectives of each agency and to the extent permitted by law.
1.3 Program Management
The Innovative Partnerships Program Office under the Office of the NASA Associate Administrator provides overall policy direction for implementation of the NASA SBIR/STTR programs. The NASA SBIR/STTR Program Management Office, which operates the programs in conjunction with NASA Mission Directorates and Centers, is hosted at the NASAAmesResearchCenter. NASASharedServicesCenter provides the overall procurement management for the programs. All of the NASA centers actively participate in the SBIR/STTR program and to reinforce NASA’s objective of infusion of SBIR/STTR developed technologies into its programs and projects each center has personnel focused on that activity.
NASA research and technology areas to be solicited are identified annually by Mission Directorates. The Directorates identify high priority research and technology needs for their respective programs and projects. The needs are explicitly described in the topics and subtopics descriptions developed by technical experts at NASA’s centers. The range of technologies is broad, and the list of topics and subtopics may vary in content from year to year. See section 9.1 for details of Mission Directorate research topic descriptions.
The STTR Program Solicitation is aligned with needs associated with the core competencies of the NASA Centers as described in Section 9.2.
Information regarding the Mission Directorates and the NASACenters can be obtained at the following web sites:
NASA Mission DirectoratesAeronautics Research /
Exploration Systems /
Science /
Space Operations /
NASA Centers
AmesResearchCenter (ARC) /
DrydenFlightResearchCenter (DFRC) /
GlennResearchCenter (GRC) /
GoddardSpaceFlightCenter (GSFC) /
Jet Propulsion Laboratory (JPL) /
JohnsonSpaceCenter (JSC) /
KennedySpaceCenter (KSC) /
LangleyResearchCenter (LaRC) /
MarshallSpaceFlightCenter (MSFC) /
StennisSpaceCenter (SSC) /
1.4 Three-Phase Program
Both the SBIR and STTR programs are divided into three funding and development stages.
1.4.1 Phase 1
The purpose of Phase 1 is to determine the scientific, technical, and commercial merit and feasibility of the proposed innovation, and the quality of the SBC’s performance. Phase 1 work and results should provide a sound basis for the continued development, demonstration and delivery of the proposed innovation in Phase 2 and follow-on efforts. Successful completion of Phase 1 objectives is a prerequisite to consideration for a Phase 2 award.
Proposals must conform to the format described in Section 3.2. Evaluation and selection criteria are described in Section 4.1. NASA is solely responsible for determining the relative merit of proposals, their selection for award, and judging the value of Phase 1 results.
Maximum value and period of performance for Phase 1 contracts:
Phase 1 Contracts / SBIR / STTRMaximum Contract Value / $ 100,000 / $ 100,000
Maximum Period of Performance / 6 months / 12 months
1.4.2Phase 2
The purpose of Phase 2 is the development, demonstration and delivery of the innovation. Only SBCs awarded Phase 1 contracts are eligible for Phase 2 funding agreements. Phase 2 projects are chosen as a result of competitive evaluations based on selection criteria provided in Section 4.2.
Maximum value and period of performance for Phase 2 contracts:
Phase 2 Contracts / SBIR / STTRMaximum Contract Value / $ 600,000 / $ 600,000
Maximum Period of Performance* / 24 months / 24 months
* Nominal period of performance is 24 months. If your period of performance is less than 18 months, you may not be eligible for a Phase 2 Enhancement as described below.
Phase 2 Enhancement: The objective of the Phase 2-E Option is an incentive to Phase 3 awards through providing cost share extension of the R&D efforts to the current Phase 2 contract, to meet the product/process/software requirements of a NASA program/project or third party investor to accelerate and/or enhance the infusion/commercial potential of the Phase 2 project. Under this option, NASA will match with SBIR/STTR funds up to $150,000 of non-SBIR/non-STTR investment from a NASA project, NASA contractor, or third party commercial investor to extend an existing Phase 2 project for up to 4 months to perform additional research. The total cumulative award for the Phase 2 contract plus the Phase 2-E match is not expected to exceed $750,000.00 of SBIR/STTR funding. The non-SBIR or non-STTR contribution is not limited since it is regulated under the guidelines for Phase 3 award.
Regarding active Phase 2 awards only, NASA may enter into negotiations awardees to create an option for “Phase 2 Enhancement” (Phase 2-E) that will encourage transition of SBIR/STTR projects into NASA programs and projects. Additional details, including how to apply for the Phase 2 enhancement, will be provided no later than the 12th month of the performance of the Phase 2 contract. Application packages will not be accepted before the 15th month of the Phase 2 contract from selected awardees for a potential Phase 2 award but no later than the end of the 22nd month of the award.
1.4.3 Phase 3
NASA may award Phase 3 contracts for products or services with non-SBIR/STTR funds. The competition for SBIR/STTR Phase 1 and Phase 2 awards satisfies any competition requirement of the Armed Services Procurement Act, the Federal Property and Administrative Services Act, and the Competition in Contracting Act. Therefore, an agency that wishes to fund a Phase 3 project is not required to conduct another competition in order to satisfy those statutory provisions. Phase 3 work may be for products, production, services, R/R&D, or any combination thereofthatis derived from, extends, or logically concludes efforts performed under prior SBIR funding agreements. A Federal agency may enter into a Phase 3 agreement at any time with a Phase 1 or Phase 2 awardee.
There is no limit on the number, duration, type, or dollar value of Phase 3 awards made to a business concern. There is no limit on the time that may elapse between a Phase 1 or Phase 2 and a Phase 3 award. The small business size limits for Phase 1 and Phase 2 awards do not apply to Phase 3 awards.
1.5 Eligibility Requirements
1.5.1 Small Business Concern
Only firms qualifying as SBCs, as defined in Section 2.17, are eligible to participate in these programs. Socially and economically disadvantaged and women-owned SBCs are particularly encouraged to propose.
STTR: SBCs shall submit a cooperative research agreement with a Research Institution (RI).
1.5.2 Place of Performance
For both Phase 1 and Phase 2, the R/R&D must be performed in the United States (Section 2.22). However, based on a rare and unique circumstance (for example, if a supply or material or other item or project requirement is not available in the United States), NASA may allow a particular portion of the research or R&D work to be performed or obtained in a country outside of the United States. Proposals must clearly indicate if any work will be performed outside the United States. Prior to award, approval by the Contracting Officer for such specific condition(s) must be in writing.
1.5.3 Principal Investigator
The primary employment of the Principal Investigator (PI) must be with the SBC under the SBIR Program, while under the STTR Program the PI may be employed by either the SBC or RI. Primary employment means that more than half of the PI’s total employed time (including all concurrent employers, consulting, and self-employed time) is spent with the SBC. Primary employment with a small business concern precludes full-time employment at another organization. If the PI does not currently meet these primary employment requirements, the offeror must explain how these requirements will be met if the proposal is selected for contract negotiations that may lead to an award. U.S. Citizenship is not a requirement for selection. Co-PI’s are not permitted.
REQUIREMENTS / SBIR / STTRPrimary Employment / PI must be with the SBC / PI must be employed with the RI or SBC
Employment
Certification / The offeror must certify in the proposal that the primary employment of the PI will be with the SBC at the time of award and during the conduct of the project / If the PI is not an employee of the SBC, the offeror must describe the management process to ensure SBC control of the project
Co-Principal Investigators / Not Acceptable / Not Acceptable
Misrepresentation of Qualifications / Will result in rejection of the proposal or termination of the contract / Will result in rejection of the proposal or termination of the contract
Substitution of PIs / Must receive advanced written approval from NASA / Must receive advanced written approval from NASA
1.6 General Information
1.6.1 Solicitation Distribution
This 2009 SBIR/STTR Program Solicitation is available via the NASA SBIR/STTR Website ( SBCs are encouraged to check this website for program updates and information. Any updates or corrections to the Solicitation will be posted there. If the SBC has difficulty accessing the Solicitation, contact the Help Desk (Section 1.6.2).
1.6.2 Means of Contacting NASA SBIR/STTR Program
(1) NASA SBIR/STTR Website:
(2) The websites of the NASA Mission Directorates and the NASA Centers as listed in Section 1.3 provide information on NASA plans and mission programs relevant to understanding the topics/subtopics and needs described in Section 9.
(3) Help Desk:
E-mail:
Telephone: 301-937-0888 between 9:00 a.m.-5:00 p.m. (Mon.-Fri., Eastern Time)
Facsimile: 301-937-0204
The requestor must provide the name and telephone number of the person to contact, the organization name and address, and the specific questions or requests.
(4) NASA SBIR/STTR Program Manager. Specific information requests that could not be answered by the Help Desk should be mailed or e-mailed to:
Dr. Gary C. Jahns, Program Manager
NASA SBIR/STTR Program Management Office
MS 202A-3, AmesResearchCenter
Moffett Field, CA 94035-1000
1.6.3 Questions About This Solicitation
To ensure fairness, questions relating to the intent and/or content of research topics in this Solicitation cannot be addressed during the Phase 1 solicitation period. Only questions requesting clarification of proposal instructions and administrative matters will be addressed.
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2009 SBIR/STTR Program Description
2. Definitions
2.1 Allocation of Rights Agreement
A written agreement negotiated between the Small Business Concern and the single, partnering Research Institution, allocating intellectual property rights and rights, if any, to carry out follow-on research, development, or commercialization.
2.2 Commercialization
Commercialization is a process of developing markets and producing and delivering products or services for sale (whether by the originating party or by others). As used here, commercialization includes both Government and non-Government markets.
2.3 Cooperative Research or Research and Development (R/R&D) Agreement
A financial assistance mechanism used when substantial Federal programmatic involvement with the awardee during performance is anticipated by the issuing agency. The Cooperative R/R&D Agreement contains the responsibilities and respective obligations of the parties.
2.4 Cooperative Research or Research and Development (R/R&D)
For purposes of the NASA STTR Program, cooperative R/R&D is that which is to be conducted jointly by the SBC and the RI in which a minimum of 40 percent of the work (before any cost sharing or fee/profit proposed by the firm) is performed by the SBC and a minimum of 30 percent of the work is performed by the RI.