NASA SBIR/STTR 2005 Program Solicitation Details | 3. Proposal Preparation Instructions and Requirements

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 may be submitted only under that one subtopic within each program.An offeror may submit any number of proposals, and may submit more than one proposal to the same subtopic; however, an offeror should not submit the same (or substantially equivalent) proposal to more than one subtopic. Submitting substantially equivalent proposals to several subtopics may result in all such proposals being rejected without evaluation.


STTR: All Phase 1 proposals must provide sufficient information to convince NASA that the proposed SBC/RI cooperative effort represents a sound approach for converting technical information resident at the RI into a product or service that meets a need described in a Solicitation research topic.


End Deliverables. The deliverable item at the end of a Phase 1 contract shall be a comprehensive report that justifies, validates, and defends the experimental and theoretical work accomplished and may include delivery of a product or service.

Deliverable items for Phase 2 contracts include products or services in addition to required reporting of further developments or applications of the Phase 1 results. These deliverables may include prototypes, models, software, or complete products or services. The reported results of Phase 2 must address and provide the basis for validating the innovation and the potential for implementation of commercial applications.

Reporting shall be submitted electronically via the SBIR/STTR homepage. NASA requests that all deliverable items be submitted in PDF format. Other acceptable formats are MS Word, MS Works, and WordPerfect.

3.2 Phase 1 Proposal Requirements

3.2.1 General Requirements

Page Limitation. A Phase 1 proposal shall not exceed a total of 25 standard 8 1/2 x 11 inch (21.6 x 27.9 cm) pages inclusive of the technical content and the required forms. Proposal items required in Section 3.2.2 will be included within this total. Forms A, B, and C count as one page each. Each page shall be numbered consecutively at the bottom. Margins should be 1.0 inch (2.5 cm). Proposals exceeding the 25-page limitation will be rejected during administrative screening.

Web site references, product samples, videotapes, slides, or other ancillary items will not be considered during the review process. Offerors are requested not to use the entire 25-page allowance unless necessary.

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 will 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.

3.2.2 Format Requirements. All required items of information must be covered in the proposal. The space allocated to each part of the technical content will depend on the project chosen and the offeror's approach.

Each proposal submitted must contain the following items in the order presented:

(1) Cover Sheet (Form A), electronically endorsed,
(2) Proposal Summary (Form B),
(3) Budget Summary (Form C),
(4)Technical Content (11 parts in order as specified in Section 3.2.4, not to exceed 22 pages), including all graphics, with a table of contents,
(5) Briefing Chart (Optional - not included in the 25-page limit and must not contain proprietary data).

 


STTR: Each STTR proposal must also contain a Cooperative R/R&D Agreement between the SBC and RI following the required items listed above. The agreement is included as part of the 25-page limit.


3.2.3 Forms

3.2.3.1 Cover Sheet (Form A). A sample Cover Sheet form is provided in Section 8.The offeror shall provide complete information for each item and submit the form as required in Section 6. The proposal project title shall be concise and descriptive of the proposed effort. The title should not use acronyms or words like "Development of" or "Study of." The NASA research topic title must not be used as the proposal title.

3.2.3.2 Proposal Summary (Form B). A sample Proposal Summary form is provided in Section 8. The offeror shall provide complete information for each item and submit Form B as required in Section 6.

Technical Abstract: Summary of the offeror's proposed project is limited to 200 words and shall summarize the implications of the approach and the anticipated results of both Phase 1 and Phase 2. If the technical abstract is judged to be non responsive to the subtopic, the proposal will be rejected without further evaluation.

Technology Taxonomy: Selections for the technology taxonomy are limited to technologies supported or relevant to the specific proposal. The listing of technologies for the taxonomy is provided in Section 8.

Potential NASA and non-NASA commercial applications of the technology should also be presented.

Note: The Cover Sheet (Form A) and the Proposal Summary (Form B), including the Technical Abstract, are public information and may be disclosed. Do not include proprietary information.

3.2.3.3 Budget Summary (Form C). The offeror shall complete the Budget Summary, following the instructions provided with the form (Section 8).A text box is provided on the electronic budget form for additional explanation. Information shall be submitted to explain the offeror's plans for use of the requested funds to enable NASA to determine whether the proposed budget is fair and reasonable. The government is not responsible for any monies expended by the applicant before award of any contract.

Property. Proposed costs for materials may be included."Materials" means property that may be incorporated or attached to a deliverable end item or that may be consumed or expended in performing the contract. It includes assemblies, components, parts, raw materials, and small tools that may be consumed in normal use. Any purchase of equipment or products under an SBIR/STTR contract using NASA funds should be American-made to the extent possible. NASA will not fund the purchase of equipment, instrumentation, or facilities under SBIR/STTR contracts as a direct cost (Section 5.15).

Travel. Travel during Phase 1 is not normally allowed to prove technical merit and feasibility of the proposed innovation.However, where the offeror deems travel to be essential for these purposes, it is necessary to limit it to one person, one trip to the sponsoring NASA installation. Proposed travel must be described as to purpose and benefits in proving feasibility, and is subject to negotiation and approval by the Contracting Officer. Trips to conferences are not allowed under the Phase 1 contract.

Profit. A profit or fee may be included in the proposed budget as noted in Section 5.10.

Cost Sharing. See Section 5.9.

3.2.4 Technical Content. This part of the submission shall not contain any budget data and must consist of all eleven parts listed below in the given order.All parts must be numbered and titled; parts that are not applicable must be noted as "Not Applicable."

Part 1: Table of Contents. The technical content shall begin with a brief table of contents indicating the page numbers of each of the parts of the proposal.The required table of contents is provided below:

Phase 1 Table of Contents
Part 1: Table of Contents.......................................................................................Page #
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 2 or Future R/R&D
Part 8: Company Information and Facilities
Part 9: Subcontracts and Consultants
Part 10: Potential Post Applications
Part 11: Similar Proposals and Awards

Part 2: Identification and Significance of the Innovation. The first paragraph of Part 2 shall contain:

(1) A clear and succinct statement of the specific innovation proposed, and why it is an innovation, and
(2) A brief explanation of how the innovation is relevant and important to meeting the technology need described in the subtopic. The initial paragraph shall contain no more than 200 words. NASA will reject proposals that lack explanation of the innovation. In subsequent paragraphs, Part 2 may also include appropriate background and elaboration to explain the proposed innovation.

Part 3: Technical Objectives. State the specific objectives of the Phase 1 R/R&D effort including the technical questions that must be answered to determine the feasibility of the proposed innovation.

Part 4: Work Plan. Include a detailed description of the Phase 1 R/R&D plan.The plan should indicate what will be done, where it will be done, and how the R/R&D will be carried out. The plan should address the objectives and the questions cited in Part 3 above. Discuss in detail the methods planned to achieve each objective or task. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel, and planned accomplishments including project milestones shall be included.


STTR: In addition, the work plan will specifically address the percentage and type of work to be performed by the SBC and the RI. The plan will provide evidence that the SBC will exercise management direction and control of the performance of the STTR effort, including situations in which the PI may be an employee of the RI.At least 40 percent of the work (amount requested including cost sharing, less fee, if any) is to be performed by the SBC as the prime contractor, and at least 30 percent of the work is to be performed by the RI.


Part 5: Related R/R&D. Describe significant current and/or previous R/R&D that is directly related to the proposal including any conducted by the PI or by the offeror.Describe how it relates to the proposed effort and any planned coordination with outside sources. The offeror must persuade reviewers of his or her awareness of key recent R/R&D conducted by others in the specific subject area. At the offeror's option, this section may include concise bibliographic references in support of the proposal if they are confined to activities directly related to the proposed work.

Part 6: Key Personnel and Bibliography of Directly Related Work. Identify key personnel involved in Phase 1 activities whose expertise and functions are essential to the success of the project.Provide bibliographic information including directly related education and experience.

The PI is considered key to the success of the effort and must make a substantial commitment to the project. The following requirements are applicable:

Functions. The functions of the PI are: planning and directing the 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 1 proposal shall describe the nature of the PI's activities and the amount of time that the PI will personally apply to the project. The amount of time the PI proposes to spend on the project must be acceptable to the 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.

Eligibility. This part shall also establish and confirm the eligibility of the PI (Section 1.5.3), and indicate the extent to which other proposals recently submitted or planned for submission in 2005 and existing projects commit the time of the PI concurrently with this proposed activity.Any attempt to circumvent the restriction on PIs working more than half time for an academic or a nonprofit organization by substituting an ineligible PI will result in rejection of the proposal.

Part 7: Relationship with Phase 2 or Future R/R&D. State the anticipated results of the proposed R/R&D effort if the project is successful (through Phase 1 and Phase 2).Discuss the significance of the Phase 1 effort in providing a foundation for the Phase 2 R/R&D continuation.

Part 8: Company Information and Facilities. Provide adequate information to allow the evaluators to assess the ability of the offeror to carry out the proposed Phase 1 and projected Phase 2 and Phase 3 activities.The offeror should describe the relevant facilities and equipment, their availability, and those to be acquired, to support the proposed activities. NASA will not fund the purchase of equipment, instrumentation, or facilities under Phase 1 contracts as a direct cost. Special tooling may be allowed. (Section 5.15)

The capability of the offeror to perform the proposed activities and bring a resulting product or service to market must be indicated. Qualifications of the offeror in marketing related products or services or in raising capital should be presented.

Note: Government wide SBIR and STTR policies prohibit the use of any SBIR/STTR award funds for the use of Government equipment and facilities. This does not preclude an SBC from utilizing a Government facility or Government equipment, but any charges for such use cannot be paid for with SBIR/STTR funds (SBA SBIR Policy Directive, Section 9 (f)(3)).In rare and unique circumstances, the SBA may issue a case-by-case waiver to this provision after review of an agency's written justification. NASA cannot guarantee that a waiver from this policy can be obtained from SBA.

If a proposed project or product demonstration requires the use of unique Government facilities or equipment that will be funded with SBIR dollars, the offeror must provide a) an explanation of why the SBIR/STTR research project requires the use of the Federal facility or personnel, including data that verifies the absence of non-Federal facilities or personnel capable of supporting the research effort, and b) a statement, signed by the appropriate Government official at the facility, verifying that it will be available for the required effort. The proposal should also include relevant information on the funding source(s) private, internal, or other Government. Failure to provide this explanation and the site manager's written authorization of use may invalidate any proposal selection. If the offeror proposes the use of SBIR/STTR funds for Government equipment or facilities, this explanation will be provided to SBA during the Agency waiver process.

Part 9: Subcontracts and Consultants.  Subject to the restrictions set forth below, the SBC may establish business arrangements with other entities or individuals to participate in performance of the proposed R/R&D effort. The offeror must describe all subcontracting or other business arrangements, and identify the relevant organizations and/or individuals with whom arrangements are planned.The expertise to be provided by the entities must be described in detail, as well as the functions, services, number of hours and labor rates.  Offerors are responsible for ensuring that all organizations and individuals proposed to be utilized are actually available for the time periods required.  Documentation of subcontract costs must be made available during negotiations to substantiate the budget estimate. 
Subcontractors' and consultants' work must be performed in the United States. The following restrictions apply to the use of subcontracts/consultants:


SBIR

STTR
The proposed business arrangements must not exceed one-third of the research and/or analytical work (amount requested including cost sharing if any, less fee, if any).

The proposed business arrangements with individuals or organizations other than the RI must not exceed 30 percent of the work (amount requested including cost sharing if any, less fee, if any).

Part 10: Potential Post Applications (Commercialization). The Phase 1 proposal shall forecast both the NASA and the non-NASA commercial potential of the project assuming success through Phase 2.The offeror, in the Phase 2 proposal, will be required to provide more detailed information regarding product development and potential markets (Section 3.3.4).

Part 11: Similar Proposals and Awards. A firm may elect to submit proposals for essentially equivalent work to other Federal program solicitations (Section 2.4).Firms may also choose to resubmit previously unsuccessful proposals to NASA. However, it is unlawful to receive funding for essentially equivalent work already funded under any Government program. The Office of Inspector General has full access to all proposals submitted to NASA. The offeror must inform NASA of related proposals and awards and clearly state whether the SBC has submitted currently active proposals for similar work under other Federal Government program solicitations or intends to submit proposals for such work to other agencies. For all such cases, the following information is required:

(a) The name and address of the agencies to which proposals have been or will be submitted, or from which awards have been received (including proposals that have been submitted to previous NASA SBIR Solicitations);
(b) Dates of such proposal submissions or awards;
(c) Title, number, and date of solicitations under which proposals have been or will be submitted or awards received;
(d) The specific applicable research topic for each such proposal submitted or award received;
(e) Titles of research projects;
(f) Name and title of the PI/project manager for each proposal that has been or will be submitted, or from which awards have been received;
(g) If resubmitting to NASA, please briefly describe how the proposal has been changed and/or updated since it was last submitted.

Note: All eleven (11) parts of the technical proposal must be included. Parts that are not applicable must be included and marked "Not Applicable." A proposal omitting any part will be considered non responsive to this Solicitation and will be rejected during administrative screening.

3.2.5 Cooperative R/R&D Agreement (Applicable for STTR proposals only). The Cooperative R/R&D Agreement (not to be confused with the Allocation of Rights Agreement, Section 4.1.4) is a single-page document electronically submitted and endorsed by the SBC and RI.A model agreement is provided, or firms can create their own custom agreement. The Cooperative R/R&D Agreement should be submitted as required in Section 6. This agreement counts toward the 25-page limit.

3.2.6 Prior Awards Addendum (Applicable for SBIR awards only). If the SBC has received more than 15 Phase 2 awards in the prior 5 fiscal years, submit name of awarding agency, date of award, funding agreement number, amount, topic or subtopic title, follow-on agreement amount, source, and date of commitment and current commercialization status for each Phase 2.The addendum is not included in the 25-page limit and content should be limited to information requested above. Offerors are encouraged to use spreadsheet format.

3.2.7 Briefing Chart (Optional). All technically meritorious proposals will be advocated to NASA senior management prior to selection.To assist NASA personnel in preparing information to advocate your proposal, a single-page briefing chart, as described in the on-line electronic handbook, is strongly encouraged. Submission of the briefing chart is optional, is not counted against the 25-page limit, and must not contain any proprietary data. An example chart has been provided in Appendix B.

3.3 Phase 2 Proposal Requirements

3.3.1 General Requirements. The Phase 1 contract will serve as a request for proposal (RFP) for the Phase 2 follow-on project. Phase 2 proposals are more comprehensive than those required for Phase 1. Submission of a Phase 2 proposal is in accordance with Phase 1 contract requirements and is voluntary. NASA assumes no responsibility for any proposal preparation expenses.

Page Limitation. A Phase 2 proposal shall not exceed a total of 50 standard 8 1/2 x 11 inch (21.6 x 27.9 cm) pages. All items required in Section 3.3.2 will be included within this total. Forms A, B, and C count as one page each. Each page shall be numbered consecutively at the bottom. Margins should be 1.0 inch (2.5 cm). Proposals exceeding the 50-page limitation may be rejected during administrative screening.

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 will 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.

3.3.2 Format Requirements. All required items of information must be covered in the proposal.The space allocated to each part of the technical content will depend on the project and the offeror's approach.

Each proposal submitted must contain the following items in the order presented:

(1) Cover Sheet (Form A), electronically endorsed,
(2) Proposal Summary (Form B),
(3) Budget Summary (Form C),
(4) Technical Content (11 Parts in order as specified in Section 3.3.4), including all graphics, and starting with a table of contents,
(5) Briefing Chart (Optional - not included in the 50-page limit and must not contain proprietary data).

 


STTR: Each STTR proposal must also contain a Cooperative R/R&D Agreement between the SBC and RI following the required items listed above. The agreement is included as part of the 50-page limit.


3.3.3 Forms

3.3.3.1 Cover Sheet (Form A). A sample copy of the Cover Sheet is provided in Section 8.The offeror shall provide complete information for each item and submit the form as required in Section 6. The proposal project title shall be concise and descriptive of the proposed effort. The title should not use acronyms or words like "Development of" or "Study of." The NASA research topic title must not be used as the proposal title.

3.3.3.2 Proposal Summary (Form B). A sample Proposal Summary form is provided in Section 8. The offeror shall provide complete information for each item and submit Form B as required in Section 6.

Technical Abstract: Summary of the offeror's proposed project is limited to 200 words and shall summarize the implications of the approach and the anticipated results of both Phase 1 and Phase 2. If the technical abstract is judged to be non responsive to the subtopic, the proposal will be rejected without further evaluation.

Technology Taxonomy: Selections for the technology taxonomy are limited to technologies supported or relevant to the specific proposal. The listing of technologies for the taxonomy is provided in Section 8.

Potential NASA and non-NASA commercial applications of the technology should also be presented.

Note: The Cover Sheet (Form A) and the Proposal Summary (Form B), including the Technical Abstract, are public information and may be disclosed. Do not include proprietary information.

3.3.3.3. Budget Summary (Form C). The offeror shall complete the Budget Summary, following the instructions provided with the form (Section 8).A text box is provided on the electronic budget form for additional explanation. Information shall be submitted to explain the offeror's plans for use of the requested funds to enable NASA to determine whether the proposed budget is fair and reasonable. The Government is not responsible for any monies expended by the applicant before award of any funding agreement.

Property. Proposed costs for materials may be included."Materials" means property that may be incorporated or attached to a deliverable end item or that may be consumed or expended in performing the contract. It includes assemblies, components, parts, raw materials, and small tools that may be consumed in normal use. Any purchase of equipment or products under an SBIR/STTR contract using NASA funds should be American-made to the extent possible. NASA will not fund the purchase of equipment, instrumentation, or facilities under SBIR/STTR contracts as a direct cost (Section 5.15).

Travel. Travel during Phase 2 is not normally allowed to prove technical merit and feasibility of the proposed innovation.However, where the offeror deems travel to be essential for these purposes, it is necessary to limit it to one person, one trip to the sponsoring NASA installation. Proposed travel must be described as to purpose and benefits in proving feasibility, and is subject to negotiation and approval by the Contracting Officer. Trips to conferences are not allowed under the Phase 2 contract.

Profit. A profit or fee may be included in the proposed budget as noted in Section 5.10.

Cost Sharing. See Section 5.9.

Requirement for Approved Accounting System. Offerors should note that in order to receive progress payments under a Phase 2 contract, an offeror must have in place, prior to award, an accounting system that in the Defense Contract Audit Agency's (DCAA) opinion is adequate for accumulating costs.An approved accounting system can track costs to final cost objectives and segregate costs between direct and indirect. If you currently do not have an adequate accounting system, it is recommended that you take action to implement such a system. The lack of an adequate accounting system may preclude you from receiving a Phase 2 contract or may cause extended delays in award. For more information about cost proposals and accounting standards, please see the DCAA publication entitled "Information for Contractors" which is available at http://www.dcaa.mil/dcaap7641.90.pdf.

3.3.4 Technical Proposal. This part of the submission shall not contain any budget data and must consist of all eleven parts listed below in the given order.All parts must be numbered and titled; parts that are not applicable must be noted as "Not Applicable."

Part 1: Table of Contents. The technical content shall begin with a brief table of contents indicating the page numbers of each of the parts of the proposal.The required table of contents is provided below:

Phase 2 Table of Contents
Part 1: Table of Contents.......................................................................................Page #
Part 2: Identification and Significance of the Innovation and Results of the Phase 1 Proposal
Part 3: Technical Objectives
Part 4: Work Plan
Part 5: Related R/R&D
Part 6: Key Personnel
Part 7: Phase 3 Efforts, Commercialization and Business Planning
Part 8: Company Information and Facilities
Part 9: Subcontracts and Consultants
Part 10: Potential Post Applications
Part 11: Similar Proposals and Awards

Part 2: Identification and Significance of the Innovation and Results of the Phase 1 Proposal. Provide a brief explanation of the specific innovation and describe how it is relevant to meeting NASA's technology needs.In addition, describe how the Phase 1 effort has proven the feasibility of the innovation, provided a rationale for both NASA and commercial applications, and demonstrated the ability of the offeror to conduct the required R/R&D.

Part 3: Technical Objectives. Define the specific objectives of the Phase 2 research and technical approach.

Part 4: Work Plan. Provide a detailed work plan defining specific tasks, performance schedules, project milestones, and deliverables.

Part 5: Related R/R&D. Describe R/R&D related to the proposed work and affirm that the stated objectives have not already been achieved and that the same development is not presently being pursued elsewhere under contract to the Federal Government.

Part 6: Key Personnel. Identify the key technical personnel for the project, confirm their availability for Phase 2, and discuss their qualifications in terms of education, work experience, and accomplishments relevant to the project.

Part 7: Phase 3 Efforts, Commercialization and Business Planning. Describe plans for Phase 3 commercialization (including applications/sales back to NASA) in terms of each of the following areas:

(1) Market Feasibility and Competition: Describe the target market of the product or service, the unique competitive advantage of the product, the potential market size (Government and/or non Government), the offeror's estimated market share after first year of sales and after 5 years, and, competition from similar and alternative technologies and/or competing domestic or foreign entities.

(2) Strategic Relevance to the Offeror: Describe the role the product or service has in the company's current business plan and in its strategic planning for the next 5 years.

(3) Key Management, Technical Personnel and Organizational Structure: Describe (a) the skills and experiences of key management and technical personnel in bringing innovative technology to the market, (b) current organizational structure, and (c) plans and timelines for obtaining needed business development expertise and other necessary personnel.

(4) Production and Operations: Describe product development to date as well as milestones and plans for reaching production level, including plans for obtaining necessary physical resources.

(5) Financial Planning: Delineate private financial resources dedicated to development of product or service (both business development and technical development) to date. Describe the expected financial needs and potential sources to meet those needs that will be necessary to bring product or service to market. Provide evidence of current financial condition, e.g., standard financial statements including a current cash flow statement.

(6) Intellectual Property: Describe patent status, technology lead, trade secrets or other demonstration of a plan to achieve sufficient IP protection to realize the commercialization stage and attain at least a temporal competitive advantage.

Part 8: Company Information and Facilities. Describe the capability of the firm to carry out Phase 2 and Phase 3 activities, including its organization, operations, number of employees, R/R&D capabilities, and experience relevant to the work proposed.

This section shall also provide adequate information to allow the evaluators to assess the ability of the SBC to carry out the proposed Phase 2 activities. The offeror should describe the relevant facilities and equipment currently available, and those to be purchased, to support the proposed activities. NASA will not fund the acquisition of equipment, instrumentation, or facilities under Phase 2 contracts as a direct cost. Special tooling may be allowed. (Section 5.15)

Note: Government-wide SBIR and STTR policies prohibit the use of any SBIR/STTR award funds for the use of Government equipment and facilities. This does not preclude an SBC from utilizing a Government facility or Government equipment, but any charges for such use cannot be paid for with SBIR/STTR funds (SBA SBIR Policy Directive, Section 9 (f)(3)).In rare and unique circumstances, SBA may issue a case-by-case waiver to this provision after review of an agency's written justification. NASA cannot guarantee that a waiver from this policy can be obtained from SBA.

If a proposed project or product demonstration requires the use of unique Government facilities or equipment that will be funded with SBIR dollars, the offeror must provide a) an explanation of why the SBIR/STTR research project requires the use of the Federal facility or personnel, including data that verifies the absence of non-Federal facilities or personnel capable of supporting the research effort, and b) a statement, signed by the appropriate Government official at the facility, verifying that it will be available for the required effort. The proposal should also include relevant information on the funding source(s) private, internal, or other Government. Failure to provide this explanation and the site manager's written authorization of use may invalidate any proposal selection. If the offeror proposes the use of SBIR/STTR funds for Government equipment or facilities, this explanation will be provided to SBA during the Agency waiver process.

Part 9: Subcontracts and Consultants.  Subject to the restrictions set forth below, the SBC may establish business arrangements with other entities or individuals to participate in performance of the proposed R/R&D effort. The offeror must describe all subcontracting or other business arrangements, and identify the relevant organizations and/or individuals with whom arrangements are planned.The expertise to be provided by the entities must be described in detail, as well as the functions, services, number of hours and labor rates.  Offerors are responsible for ensuring that all organizations and individuals proposed to be utilized are actually available for the time periods required.  Documentation of subcontract costs must be made available during negotiations to substantiate the budget estimate.  Subcontractors' and consultants' work must be performed in the United States. The following restrictions apply to the use of subcontracts/consultants:


SBIR Phase 2 Proposal

STTR Phase 2 Proposal
A minimum of one-half of the work (contract cost less profit) must be performed by the proposing SBC.

A minimum of 40 percent of the work must be performed by the proposing SBC and 30 percent by the RI.

Part 10: Potential Post Applications (Commercialization). Describe both the potential NASA and non-NASA commercial applications of the project assuming successful development of the proposed objectives.

Part 11: Similar Proposals and Awards. If applicable, provide updated material (Reference Phase 1 Proposal Requirements, Part 11).

3.3.5 Capital Commitments Addendum Supporting Phase 2 and Phase 3. Describe and document capital commitments from non-SBIR/STTR sources or from internal SBC funds for pursuit of Phase 2 and Phase 3.Offerors for Phase 2 contracts are strongly urged to obtain non-SBIR/STTR funding support commitments for follow-on Phase 3 activities and additional support of Phase 2 from parties other than the proposing firm. Funding support commitments must show that a specific, substantial amount will be made available to the firm to pursue the stated Phase 2 and/or Phase 3 objectives. They must indicate the source, date, and conditions or contingencies under which the funds will be made available. Alternatively, self-commitments of the same type and magnitude that are required from outside sources can be considered. If Phase 3 will be funded internally, offerors should describe their financial position.

Evidence of funding support commitments from outside parties must be provided in writing and should accompany the Phase 2 proposal. Letters of commitment should specify available funding commitments, other resources to be provided, and any contingent conditions. Expressions of technical interest by such parties in the Phase 2 research or of potential future financial support are insufficient and will not be accepted as support commitments by NASA. Letters of commitment should be added as an addendum to the Phase 2 proposal. This addendum will not be counted against the 50-page limitation.

3.3.6 Briefing Chart (Optional). All technically meritorious proposals will be advocated to NASA senior management prior to selection.To assist NASA personnel in preparing information to advocate your proposal, a single-page briefing chart, as described in the on line electronic handbook is strongly encouraged. Submission of the briefing chart is optional, is not counted against the 50-page limitation, and must not contain any proprietary data. An example chart has been provided in Appendix B.

3.4 SBA Data Collection Requirement

Each SBC applying for a Phase 2 award is required to update the appropriate information in the Tech-Net database for any of its prior Phase 2 awards. In addition, upon completion of Phase 2, the SBC is required to update the appropriate information in the Tech-Net database and is requested to voluntarily update the information annually thereafter for a minimum period of five years. For complete information on what to enter, go to http://technet.sba.gov.