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National Aeronautics and Space Administration SMALL BUSINESS INNOVATION RESEARCH (SBIR) & SMALL BUSINESS TECHNOLOGY TRANSFER (STTR) Fiscal Year 2017 General Solicitation Opening Date: November 17, 2016 Closing Date: January 20, 2017 Fiscal Year 2017 SBIR/STTR Solicitation Noteworthy Changes NASA SBIR/STTR Subtopic Workshop From September 12th to 13th of 2016, NASA held a Subtopic Workshop. This event was held to build NASA's relationship with the small business community and increase communication between NASA and potential proposers, and provide an opportunity for the small business community to explore and share ideas related to the general technical topic areas. Workshop content can be found at the following address: http://sbir.nasa.gov/events/2016-subtopic-workshop. 1.3 Three-Phase Program NASA is offering a separate opportunity for SBIR/STTR Phase II awardees (from any Agency) to submit applications to NASA’s FY17 Civilian Commercialization Readiness Pilot Program (CCRPP) related to NASA interests. Preliminary information about the CCRPP will be released in late 2016. The official release, including information related to the proposal requirements and evaluation criteria, will be posted in early 2017. 1.8 I-Corps The NASA SBIR/STTR Program is partnering with the National Science Foundation (NSF) to offer selected teams the opportunity for Phase I contractors to participate in the NSF Innovation Corps program (I-Corps TM) (hereinafter I-Corps). I-Corps educates teams on how to translate technologies from the lab into the marketplace. 4.3.2 Phase II Evaluation Criteria For Phase II proposals, commercial merit is a critical factor. As such, for Phase II proposals the scoring breakdown and weights have slightly changed. Commercialization had previously been rated as adjectival but will now contribute into proposals overall score at a weight of 5%. 9. Research Topics for SBIR and STTR The subtopics are being organized in a different way within Chapter 9 of the solicitation this year. Instead of being grouped by NASA Mission Directorate as in previous solicitations, subtopics are now being organized into groupings called “Focus Areas”. Focus areas are a way of grouping NASA interests and related technologies. This change is intended to make it easier for proposers to understand related needs across the agency and thus identify subtopics where their research and development capabilities may be a good match. If any proposer wishes to view subtopics as sorted by Mission Directorate, this listing will still be accessible on the website, but will not appear organized this way in Chapter 9 of the solicitation. 1. Program Description 4 1.1 Introduction 4 1.2 Program Management and Alignment 4 1.3 Three-Phase Program 5 1.4 Eligibility Requirements 5 1.5 NASA SBIR/STTR Technology Available (TAV) 8 1.6 Commercialization Technical Assistance 9 1.7 NASA Mentor-Protégé Program (MPP) 9 1.8 I-Corps 9 1.9 NASA Procurement Ombudsman Program 10 1.10 General Information 10
3.1 Fundamental Considerations 13 3.2 Phase I Proposal Requirements 13 3.3 Phase II Proposal Requirements 24 4. Method of Selection and Evaluation Criteria 35 4.1 Phase I Proposals 35 4.2 I-Corps 36 4.3 Phase II Proposals 37 4.4 Debriefing of Unsuccessful Offerors 41
5.1 Awards 42 5.2 Reporting 43 5.3 Payment Schedule 43 5.4 Release of Proposal Information 43 5.5 Access to Proprietary Data by Non-NASA Personnel 43 5.6 Proprietary Information in the Proposal Submission 44 5.7 Rights in Data Developed Under SBIR Funding Agreements 44 5.8 Copyrights 44 5.9 Patents, Invention Reporting, Election of Title and Patent Application Filing 45 5.10 Profit or Fee 45 5.11 Joint Ventures and Limited Partnerships 45 5.12 Essentially Equivalent Awards and Prior Work 45 5.13 Additional Information 46 5.14 Required Registrations and Submissions 46 5.15 False Statements 50 6. Submission of Proposals 51 6.1 Submission Requirements 51 6.2 Submission Process 51 6.3 Deadline for Phase I Proposal Receipt 53 6.4 Deadline for Phase II Proposal Receipt 53 6.5 Acknowledgment of Proposal Receipt 54 6.6 Withdrawal of Proposals 54 6.7 Service of Protests 54 7. Proposal, Scientific, and Technical Information Sources 55 7.1 NASA Websites 55 7.2 United States Small Business Administration (SBA) 56 7.3 National Technical Information Service 57 7.4 Other Sources of Assistance 57
9.1 SBIR Research Topics 63 9.2 STTR 216
Appendix A: Technology Readiness Level (TRL) Descriptions 251 Appendix B: NASA SBIR/STTR Technology Taxonomy 254 Appendix C: SBIR/STTR and the Space Technology Roadmaps 260 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, information on the three program phases, and information for submitting responsive proposals are contained herein. The fiscal year 2017 Solicitation period for Phase I proposals begins November 17, 2016 and ends January 20, 2017. The NASA SBIR/STTR programs do not accept proposals solely directed towards system studies, market research, routine engineering, development of existing product(s), proven concepts, or modifications of existing products without substantive innovation. It is anticipated that some SBIR and STTR Phase I proposals will be selected for negotiation of firm-fixed-price contracts approximately during the month of April 2017. Historically, the percentage of Phase I proposals to awards is approximately 13-15% for SBIR and STTR, and approximately 35-40% of the selected Phase I contracts are competitively selected for Phase II follow-on efforts.
Proposals must be submitted online via the Proposal Submissions Electronic Handbook at http://sbir.nasa.gov and include all relevant documentation. Unsolicited proposals will not be accepted. A contractor must have a registration in the System for Award Management (SAM) website at SAM.gov before receiving an SBIR/STTR award from NASA. Registration in SAM is free but does require a Dun and Bradstreet (DUNS) Number. More information on all required contractor registrations, including SAM registration, can be found in section 5.14. 1.2 Program Management and Alignment The Space Technology Mission Directorate 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 NASA Ames Research Center. NASA Shared Services Center (NSSC) provides the overall procurement management for the programs.
For the SBIR Program, NASA research and technology areas to be solicited are identified annually by the Agency’s Mission Directorates. The Directorates identify high priority research problems and technology needs for their respective programs and projects. The range of problems and technologies is broad, and the list of topics and subtopics vary in content from year to year to maintain alignment with the current needs. See section 9.1 for details on the Mission Directorate research topic descriptions in the SBIR Program. The STTR Program is aligned with the priorities of NASA’s Space Technology Roadmaps, as well as the associated core competencies of the NASA Centers. Again, the range of technologies is broad, and the list of topics and subtopics vary in content from year to year to maintain alignment with current needs. See section 9.2 for details on the research topic descriptions in the STTR Program.
For more information on the NASA SBIR/STTR Programs, please visit the NASA SBIR/STTR Website: http://sbir.nasa.gov. Information regarding the Mission Directorates and the NASA Centers can be obtained in section 7.1. 1.3 Three-Phase Program Both the SBIR and STTR programs are divided into three funding and development stages. These three phases are described in detail on the NASA SBIR/STTR website: http://sbir.nasa.gov/content/nasa-sbirsttr-basics. Maximum value and period of performance for Phase I and Phase II contracts:
Opportunities for Continued Technology Development Post-Phase II The NASA SBIR/STTR program has two initiatives for supporting its small business partners beyond the basic Phase II award. The NASA SBIR/STTR program has the Phase II Extended (Phase II-E) contract option, and the Civilian Commercialization Readiness Pilot Program (CCRPP). Preliminary information about the CCRPP will be released in late 2016. The official release, including information related to the proposal requirements and evaluation criteria, will be posted in early 2017. Please refer to http://sbir.nasa.gov/content/post-phase-ii-initiatives for matching levels and other related information.
1.4.1 Small Business Concern Only firms qualifying as SBCs, as defined here: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions, are eligible to participate in these programs. Socially and economically disadvantaged and women-owned SBCs are particularly encouraged to propose. 1.4.2 Place of Performance R/R&D must be performed in the United States (See: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions). 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, including subcontractor performance. Prior to award, approval by the Contracting Officer for such specific condition(s) must be in writing. 1.4.3 Principal Investigator (PI) Employment Requirement The primary employment of the Principal Investigator (PI) shall be with the SBC under the SBIR Program, while under the STTR Program, either the SBC or RI shall employ the PI. Primary employment means that more than 50% of the PI’s total employed time (including all concurrent employers, consulting, and self-employed time) is spent with the SBC or RI at time of award and during the entire period of performance. 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, then the offeror must explain how these requirements will be met if the proposal is selected for contract negotiations that may lead to an award. Co-Principal Investigators are not allowed. Note: NASA considers a fulltime workweek to be nominally 40 hours and we consider 19.9-hour or more workweek elsewhere to be in conflict with this rule. In rare occasions, minor deviations from this requirement may be necessary; however, any minor deviation must be approved in writing by the contracting officer after consultation with the NASA SBIR/STTR Program Manager/Business Manager.
1.4.4 Restrictions on Venture Capital-owned Businesses As set forth in the SBIR Reauthorization Act of 2011, small businesses owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms may be eligible for SBIR awards. SBA's regulations of 13 CFR part 121 sets forth the eligibility criteria for SBIR applicants that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms. Please note that SBIR agencies must submit a written determination (to the SBA, the Senate Committee on Small Business and Entrepreneurship, the House Committee on Small Business, and the House Committee on Science, Space, and Technology) at least 30 calendar days before it begins making awards to SBCs that are owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms. At the current time, such firms are not eligible to submit proposals to the NASA SBIR / STTR Solicitation. 1.4.5 Required Benchmark Transition Rate The Phase I to Phase II Transition benchmark requirement applies to SBIR and STTR Phase I applicants that have received more than 20 Phase I awards over the past 5 fiscal years, excluding the most recently-completed fiscal year. The required benchmark Transition Rate is 0.25. For these companies, this benchmark rate establishes a minimum number of Phase II awards the SBC must have received for a given number of Phase I awards received during the 5-year time period. Additional information can be found at: https://www.sbir.gov/faqs/performance-benchmarks. Companies with more than 20 Phase I awards during the past 5 years can view their Transition Rate if they log onto their Company Registry account at: www.SBIR.gov. 1.5 NASA SBIR/STTR Technology Available (TAV) Proposers have the option of using technology developed by NASA (Technology Available (TAV)) with the applicable subtopic being proposed. While NASA scientists and engineers conduct breakthrough research that leads to innovations, the range of NASA's effort does not extend to commercial product development in any of its intramural research areas. Additional work is often necessary to exploit these NASA technologies (TAVs) for either infusion or commercial viability and likely requires innovation on behalf of the private sector. These TAVs are identified in a subtopic or can be found via the NASA Technology Transfer Portal, http://technology.nasa.gov, and may be a NASA owned patent, and/or computer software. Use of a TAV requires a patent license or Software Usage Agreement from NASA. TAVs are available for use during both Phase I and Phase II award periods, including any extensions. NASA provides these technologies "as is" and makes no representation or guarantee that additional effort will result in infusion or commercial viability. Whether or not a firm proposes the use of a NASA patent or computer software within their proposed effort will not in any way be a factor in the selection for award. Use of NASA Software If a proposer intends to use NASA software, a Software Usage Agreement (SUA), on a non-exclusive, royalty-free basis, is necessary, and the clause at 48 C.F.R. 1852.227-88, “Government-Furnished Computer Software and Related Technical Data,” will apply to the contract. A Software Usage Agreement (SUA) shall be requested from the appropriate NASA Center Software Release Authority, (SRA), after contract award. Use of NASA Patent All offerors submitting proposals including the use of a NASA patent must submit an application for a non-exclusive, royalty-free research license. The NASA license application is available on the NASA SBIR/STTR website: http://sbir.gsfc.nasa.gov/sites/default/files/research_license_app.doc. Such grant of non-exclusive research license will be set forth in the successful offeror’s SBIR/STTR contract. The evaluation license will automatically terminate at the end of the SBIR/STTR contract. License applications will be treated in accordance with Federal patent licensing regulations as provided in 37 CFR Part 404. In addition to a research license, if the proposed work includes the making, using, or selling of products or services incorporating a NASA patent, successful awardees will be given the opportunity to negotiate a non-exclusive commercialization license or, if available, an exclusive commercialization license to the NASA patent. Commercialization licenses are also provided in accordance with 37 CFR Part 404. An SBIR/STTR awardee that has been granted a non-exclusive, royalty-free research license to use a NASA patent under the SBIR/STTR award may, if available and on a non-interference basis, also have access to NASA personnel knowledgeable about the NASA patent. The NASA Intellectual Property Manager (IPM) located at the appropriate NASA Center will be available to assist awardees requesting information about a patent that was identified in the SBIR/STTR contract and, if available and on a non-interference basis, provide access to the inventor or surrogate for the purpose of knowledge transfer. Note: Access to the inventor for the purpose of knowledge transfer, will require the requestor to enter into a Non-Disclosure Agreement (NDA). The awardee “may” be required to reimburse NASA for knowledge transfer activities. For Phase I proposals this is a time consuming process and is not recommended. 1.6 Commercialization Technical Assistance In accordance with the Small Business Act (15 U.S.C. 632), NASA will authorize the recipient of a Phase II SBIR award to purchase technical assistance services through an outside vendor, such as access to a network of non-NASA scientists and engineers engaged in a wide range of technologies, or access to technical and business literature available through on-line data bases, for the purpose of assisting such concerns in:
If you are interested in proposing the use of a vendor for technical assistance, you must complete the “Technical Assistance” section located under Other Direct Costs (ODCs) in the Budget Summary (Form C). You must provide the vendor name and contact information, the proposed amount not to exceed $5,000, and a detailed explanation of the services to be provided. You must also upload a price quote from the vendor including their DUNS number. Approval of technical assistance is not guaranteed and is subject to review by the contracting officer. Please note that this commercialization assistance does not count toward the maximum award size of your Phase II. 1.7 NASA Mentor-Protégé Program (MPP) The purpose of the NASA Mentor-Protégé Program (MPP) is to provide incentives to NASA contractors, performing under at least one active approved subcontracting plan negotiated with NASA to assist protégés in enhancing their capabilities to satisfy NASA and other contract and subcontract requirements. The NASA MPP, established under the authority of Title 42, U.S.C., 2473(c)(1) and managed by the Office of Small Business Programs (OSBP), includes an Award Fee Pilot Program. Under the Award Fee Pilot Program, a mentor is eligible to receive an award fee at the end of the agreement period based upon the mentor’s performance of providing developmental assistance to an active SBIR/STTR Phase II contractor in a NASA Mentor-Protégé agreement.
The evaluation criterion is based on the amount and quality of technology transfer and business development skills that will increase the protégé’s Technology Readiness Levels (TRLs). TRLs measure technology readiness on a scale of 1 to 9. A mentor should attempt to raise the TRL of the protégé and outline the goals and objectives in the MPA and the award fee plan. A separate award fee review panel set up by NASA OSBP will use the semiannual reports, annual reviews, and the award fee plan in order to determine the amount of award fee given at the end of the performance period of the agreement. For more information on the Mentor-Protégé Program please visit: http://www.osbp.nasa.gov/mpp/index.html. 1.8 I-Corps The NASA SBIR/STTR Program is partnering with the National Science Foundation (NSF) to offer the NSF Innovation Corps program (I-Corps TM) (hereinafter I-Corps). I-Corps focuses on educating teams on how to translate technologies from the laboratory into the marketplace. Participation in I-Corps will require selected contractors to conduct either 30 interviews (shortened version for the SBIR program) or 100 interviews (full version for the STTR program) to enable contractors to understand the commercial potential of their ideas. Selected contractors will be awarded training grants, separate from their Phase I contract, that must be completed prior to the conclusion of Phase I contracts. The program is described further at http://sbir.nasa.gov/content/I-Corps. The application process for I-Corps is described in Section 3.2.6. NASA will conduct an abbreviated competition for I-Corps after it selects offerors for Phase I SBIR and STTR contracts. NASA anticipates awarding a total of approximately 20 grants to SBIR and STTR Phase I contractors. The amount of funding is $50,000 for the full I-Corps program for STTR firms, and up to $35,000 for the shortened version for SBIR firms. 1.9 NASA Procurement Ombudsman Program The NASA Procurement Ombudsman Program is available under this solicitation as a procedure for addressing concerns and disagreements. The clause at NASA FAR Supplement (NFS) 1852.215-84 (“Ombudsman”) is incorporated into this solicitation. The cognizant ombudsman is: William Roets Director, Contracts and Grants Policy Division Office of Procurement NASA Headquarters Washington, DC 20546 Telephone: 202-358-4483 Fax: 202-358-3083 Email: william.roets-1@nasa.gov
E-mail: sbir@reisystems.com Telephone: 301-937-0888 between 9:00 a.m.-5:00 p.m. (Mon.-Fri., Eastern Time)
ARC-SBIR-PMO@mail.nasa.gov 1.10.2 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 I solicitation period. Only questions requesting clarification of proposal instructions and administrative matters will be addressed. The cut-off date and time for receipt of solicitation contract questions and answers is 5:00 p.m. Eastern, January 16, 2017. 2. Definitions A comprehensive list of definitions related to the SBIR and STTR programs is available at: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions. These definitions include those from the SBIR and STTR policy directives, as well as terms specific to NASA. Offerors are strongly encouraged to review these prior to submitting a proposal. 3. Proposal Preparation Instructions and Requirements 3.1 Fundamental Considerations Multiple Proposal Submissions Each proposal submitted must be based on a unique innovation, must be limited in scope to just one subtopic and shall be submitted only under that one subtopic within each program. An offeror shall not submit more than 10 proposals to each of the SBIR or STTR programs. An offeror may submit more than one unique proposal to the same subtopic; however, an offeror shall not submit the same (or substantially equivalent) proposal to more than one subtopic. Submitting substantially equivalent proposals to several subtopics may result in the rejection of all such proposals. In order to enhance SBC participation, NASA does not plan to select more than 5 SBIR proposals and 2 STTR proposals from any one offeror under this solicitation.
3.2 Phase I Proposal Requirements 3.2.1 General Requirements A competitive proposal will clearly and concisely: (1) describe the proposed innovation relative to the state of the art; (2) address the scientific, technical and commercial merit and feasibility of the proposed innovation, and its relevance and significance to NASA interests as described in section 9: and (3) provide a preliminary strategy that addresses key technical, market and business factors pertinent to the successful development, demonstration of the proposed innovation, and its transition into products and services for NASA mission programs, the commercial aerospace industry, and other potential markets and customers. False Statements: Knowingly and willfully making any false, fictitious, or fraudulent statements or representations may be a felony under the Federal Criminal False Statement Act (18 U.S.C. Sec 1001), punishable by a fines and imprisonment of up to five years in prison. The Office of the Inspector General has full access to all proposals submitted to NASA. 3.2.2 Format Requirements The Government administratively screens all proposals and reserves the right to reject any proposal that does not conform to following formatting requirements. Page Limitations and Margins Any page(s) going over the required page limit will be deleted and omitted from the proposal review. A Phase I proposal shall not exceed a total of 23 standard 8 1/2 x 11 inch (21.6 x 27.9 cm) pages, inclusive of the technical content and the required forms. Forms A, B, and C count as one page each, regardless of whether the completed forms print as more than one page. Each page shall be numbered consecutively at the bottom. Margins shall be 1.0 inch (2.5 cm). All required items of information must be covered in the proposal and will count towards the total page count. The space allocated to each part of the technical content will depend on the project chosen and the offeror's approach. Each proposal submitted shall contain the following items in the order presented:
Note: Letters of general endorsement are not required or desired and will not be considered during the review process. However, if submitted, such letter(s) will count against the page limit. In addition to the above items, each offeror must submit the following firm level forms, which must be filled out once during each submission period and are applicable to all firm proposal submissions:
Previews of all forms and certifications are available via the NASA SBIR/STTR Firm Library, located at: http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. Please note: Website references, relevant technical papers, product samples, videotapes, slides, or other ancillary items will not be considered during the review process. Type Size No type size smaller than 10 point shall be used for text or tables, except as legends on reduced drawings. Proposals prepared with smaller font sizes may be rejected without consideration. Header/Footer Requirements Header must include firm name, proposal number, and project title. Footer must include the page number and proprietary markings if applicable. Margins can be used for header/footer information. Classified Information NASA does not accept proposals that contain classified information.
Part 1: Table of Contents……………………………………………………………………………….………Page 4 Part 2: Identification and Significance of the Innovation Part 3: Technical Objectives Part 4: Work Plan Part 5: Related R/R&D Part 6: Key Personnel and Bibliography of Directly Related Work Part 7: Relationship with Phase II or Future R/R&D Part 8: Facilities/Equipment Part 9: Subcontracts and Consultants Part 10: Potential Post Applications Part 11: Essentially Equivalent and Duplicate Proposals and Awards Directory: sites -> default -> files files -> Answer True False 2 points Question 2 files -> Northern England’s set-jetting locations files -> Nstructions for Acquiring Excess Equipment online, through the 1033 Program files -> Occupational health and safety files -> The Black Panther Party’s Ten Point Program files -> International programs roel profile files -> Fermi Questions a guide for Teachers, Students, and Event Supervisors Lloyd Abrams, Ph. D. DuPont Company, cr&D/ccas experimental Station Wilmington, de 19880 files -> Personal Information Name: Maha Al-Ammari Nationality: Saudi Relationship Status Download 1.54 Mb. Share with your friends:
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