National Aeronautics and Space Administration
Small Business Innovation Research 1999 Program Solicitation
1.1 Summary
1.2 Program Features
1.3 Three Phase SBIR Program
1.4 Eligibility to Participate in the SBIR Program
1.5 General Information
1. PROGRAM DESCRIPTION
1.1 Summary
The National Aeronautics and Space Administration (NASA) invites eligible small business concerns (SBCs) to submit Phase-I proposals for its 1999 Small Business Innovation Research (SBIR) Program. The 1999 Solicitation period for Phase-I proposals begins April 24, 1999 and ends July 14, 1999. NASA seeks innovative concepts addressing the program needs and offering commercial application potential as described in the Solicitation subtopics.
Subject to the availability of funds, NASA plans to select about 270 proposals in late October, 1999 for negotiation of Phase-I fixed-price contracts. NASA anticipates that about 40 percent of these Phase-I projects will be selected for Phase-II.
This Solicitation contains program background information, outlines eligibility requirements for participants, describes the three SBIR program phases, and provides information for submitting responsive proposals.
1.2.1 Legislative Basis. This Solicitation is issued pursuant to the authority contained in P.L. 97-219, as amended (Small Business Innovation Development Act of 1982) (15 U.S.C. 638). SBIR policy is provided by the Small Business Administration (SBA) through its Policy Directive dated January 26, 1993.
1.2.2 Program Purposes. The purposes of the SBIR program as established by law are: to stimulate technological innovation in the private sector; to strengthen the role of small business concerns 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.
1.2.3 Program Funding. Participating agencies conduct SBIR programs by reserving a small percent of their research and development budgets for funding agreements with SBCs for research or research and development (R/R&D) during the first two phases of the three-phase process. Each agency, at its sole discretion, selects the technical topics and subtopics included in its solicitation. Follow-on Phase-III activities are funded by non-SBIR sources for the pursuit of private sector or Government sales.
1.2.4 Program Management. The NASA Office of Aero-Space Technology provides overall policy direction for the SBIR program. The Program Management Office is hosted at the Goddard Space Flight Center. NASA Field Installations identify R&D needs, evaluate proposals, make recommendations for selections, and manage individual projects. All NASA Strategic Enterprises and Field Installations participate in the program. NASA installations are:
1.3.1 Phase-I. The purpose of Phase-I is to determine the scientific and technical merit, feasibility of the proposed innovation and quality of the SBC's performance with a relatively small NASA investment before consideration of further federal support in Phase-II.
To be eligible for Phase-I selection, a proposal must be based on an innovation having high technical or scientific merit that is responsive to a NASA need described by a subtopic in this Solicitation. Proposals involving high risk are encouraged when the anticipated payoff potential is great. Proposals are expected to emphasize near-term applicability to NASA. Selection preference will be given to eligible proposals where the innovations are judged to have significant potential for commercial application. Unsolicited proposals will not be accepted.
Phase-I must concentrate on establishing the scientific or technical merit and feasibility of the proposed innovation and on providing a basis for continued development in Phase-II. Proposals must conform to the format described in Section 3.2 of this Solicitation. 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-I results.
SBCs must have the capability to independently conduct the proposed R/R&D. Phase-I projects should not require the use of NASA facilities or equipment (Section 5.14). Contractors will have no more than 6 months to perform Phase-I projects and to submit their final reports and Phase-II proposals.
1.3.2 Phase-II. The objective of Phase-II is to continue development of those innovations shown to be feasible in Phase-I, and which have the highest potential value to NASA and the U.S. economy. The Government is not obligated to fund any specific SBIR Phase-II proposal. Only Phase-I awardees are eligible to participate in Phase-II.
Phase-II projects are chosen as a result of competitive evaluations based on selection criteria provided in Section 4.2. Evaluations include consideration of the Phase-I results and place increased emphasis on non-government commercial application potential. Phase-II proposals are more comprehensive than those required for Phase-I and are to be prepared in accordance with instructions provided in the Phase-I contract. See Section 3.3 for required contents of Phase-II proposals.
1.3.3 Phase-III. NASA may award Phase-III contracts for products or services, with non-SBIR funds. Phase-III awards to SBCs to continue work performed under Phase-II contracts are authorized as competitive procedures under the Competition in Contracting Act. The small business is also expected to use non-federal capital to pursue private sector applications of the R/R&D effort.
1.4.1 Small Business Concern. Only firms qualifying as SBCs as defined in Section 2.5 of this Solicitation are eligible to participate in the SBIR program. Socially and economically disadvantaged and women-owned SBCs are particularly encouraged to propose.
1.4.2 Place of Performance. For both Phase-I and Phase-II, the R/R&D must be performed in the United States (Section 2.7).
1.4.3 Principal Investigator. The Principal Investigator (PI) is considered key to the success of the effort. The following requirements are mandatory:
Functions. The functions of the PI are: planning and directing the SBIR project; leading it technically and making substantial personal contributions during its implementation; serving as the primary contact with NASA on the project; and ensuring that the work proceeds according to contract agreements. Competent management of PI functions is essential to project success. The Phase-I proposal shall describe the nature of the PI's activities and the amount of time that the PI will apply personally on the project. The amount of time the PI proposes to spend on the project must be acceptable to the NASA contracting officer.
Qualifications. The qualifications and capabilities of the proposed PI and the basis for PI selection are to be clearly presented in the proposal. NASA has the sole right to accept or reject a substitute PI based on factors such as education, experience, demonstrated ability and competence, and any other evidence related to the specific assignment.
Co-Principal Investigators. Co-PI's are not acceptable.
Misrepresentation or Substitution. Misrepresentation of PI qualifications and eligibility, or substitution of a PI by the offeror at any time without NASA's advance written approval, will result in rejection of the proposal or termination of the contract.
Primary Employment. 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. Primary employment means that the PI will average a minimum of 20 hours per week with the SBC, and 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. If the PI does not 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.
Employees of Academic and Non-Profit Organizations. An offeror proposing a PI who is also to be employed concurrently in any capacity by an academic or non-profit organization must include, as part of the proposal, a written release statement.. The PI release statement shall approve concurrent primary employment with the SBC as defined above, and agree to less than half-time employment by the organization beginning no later than the time of NASA SIBR contract award and continuing thereafter during contract performance. The organization must specifically release the employee from all duties, responsibilities, and activities required by or implied by employment in that position as much as or more than half-time. Proposals that do not include the required written release statement may be rejected.
1.5.1 Electronic Distribution of Solicitation. The 1999 SBIR Program Solicitation is available only via electronic means through the NASA SBIR homepage (http://sbir.nasa.gov), or by requesting a diskette. When requesting a diskette, it is important to specify the platform you are using (PC or Mac), and your complete address. Printed copies of the Solicitation will not be distributed.
Offerors are encouraged to check the SBIR homepage for program updates. Any updates or corrections to the Solicitation will be posted there.
1.5.2 Other Means of Contacting NASA SBIR. Each Strategic Enterprise and field center has a homepage. Please consult these homepages (via NASA's homepage at http://nasa.gov) for more details on the technology requirements within each topic/subtopic areas.
SBIR Program Support Office and Help Line:
1. E-Mail. The e-mail address for contacting NASA to request a diskette containing the Solicitation or to request information is sbir@reisys.com.
2. Facsimile. Inquiries and requests may be made by facsimile to 301-937-0204 and must include the name, address, and telephone and fax numbers of the requester.
3. Telephone. Information about the SBIR program is also available by calling 301-937-0888. Office hours are 8:00 a.m. to 5:00 p.m. Eastern Daylight Time (EDT), Monday through Friday.
NASA SBIR Program Manager:
Specific information requests about the NASA SBIR program that could not be answered by the Help Line should be mailed to:
Paul Mexcur, Program Manager
NASA SBIR/STTR Program Management Office
Building 3, Room 108, Code 710
Goddard Space Flight Center
Greenbelt, MD 20771-0001
1.5.3 Questions About This Solicitation. To ensure fairness, questions relating to the intent and/or content of research topics in this Solicitation cannot be answered during the Phase-I Solicitation period. Only questions requesting clarification of proposal instructions and administrative matters will be answered.
1.5.4 Questions Regarding Proposal Status. Except for an acknowledgment of proposal receipt (to be e-mailed within 30 days of the closing date), information about proposal status will not be available until final selections are announced.