NASA SBIR/STTR Program Solicitation Details | 2. Definitions

The organizational entity receiving an SBIR/STTR Phase I, Phase II, or Phase III award.

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.

Work that is substantially the same research, which is proposed for funding in more than one contract proposal or grant application submitted to the same Federal agency or submitted to two or more different Federal agencies for review and funding consideration; or work where a specific research objective and the research design for accomplishing the objective are the same or closely related to another proposal or award, regardless of the funding source.

As defined in 15 U.S.C. §3703, means any laboratory, any federally funded research and development center, or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a Federal agency and funded by the Federal Government, whether operated by the Government or by a contractor. 

A contracting officer, a grants officer, or a cooperative agreement officer.

The integration of SBIR/STTR developed knowledge or technologies within NASA programs and projects, other Government agencies and/or commercial entities. This includes integration with NASA program and project funding, development and flight and ground demonstrations.

The separate and distinct types of intangible property that are referred to collectively as “intellectual property,” including but not limited to: patents, trademarks, copyrights, trade secrets, SBIR/STTR technical data (as defined in section 2.23), ideas, designs, know-how, business, technical and research methods, other types of intangible business assets, and including all types of intangible assets either proposed or generated by the SBC as a result of its participation in the SBIR/STTR Program.

Anyone performing experimental, developmental, or research work under a NASA funding agreement, including SBIR/STTR Awardees, is required to disclose any new technology, invention or innovation as a result of the work performed under the contract. Any improvement, regardless of how big or small, should be reported via the New Technology Report (NTR) process defined below. Reportable items include a discovery, an invention, an innovation, or simply an advance in the state of the art. More detail on NASA’s New Technology Reporting requirements can be found at: https://invention.nasa.gov.

The New Technology Summary Report is a required deliverable in all research contracts.  It is used to summarize any and all technologies (inventions and/or innovations) developed during the performance of the contract.  If no new technologies were developed under the contract, the Awardee shall submit an NTSR which contains a certification stating no new technology was developed. NTSRs may be submitted via NASA’s e-NTR system, by way of a link in the EHB.

The one individual designated by the SBC to provide the scientific and technical direction to a project supported by the funding agreement.

Creative work that is undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture, and society, and the use of this stock of knowledge to devise new applications. It includes administrative expenses for R&D. It excludes physical assets for R&D, such as R&D equipment and facilities. It also excludes routine product testing, quality control, mapping, collection of general-purpose statistics, experimental production, routine monitoring and evaluation of an operational program, and training of scientific and technical personnel.

Basic Research: systematic study directed toward fuller knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific applications toward processes or products in mind. Basic research, however, may include activities with broad applications in mind. Applied Research: systematic study to gain knowledge or understanding necessary to determine the means by which a recognized and specific need may be met.Development: systematic application of knowledge or understanding, directed toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

Note: 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 (see section 1.1).

The rights an SBC obtains for data generated in the performance of any SBIR/STTR funding agreement that an awardee delivers to the Government during or upon completion of a federally funded project, and to which the Government receives a license.

An SBC is one that, at the time of award of Phase I and Phase II funding agreements, meets the following criteria: (1) Is organized for profit, with a place of business located in the United States, which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor; (2) is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative; except that where the form is a joint venture, there can be no more than 49 percent participation by business entities in the joint venture; (3) is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States: except in the case of a joint venture, where each entity to the venture must be 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and (4) has, including its affiliates, not more than 500 employees.

The terms “affiliates” and “number of employees” are defined in greater detail in 13 CFR Part 121. For a general definition please see FAR 2.101 (https://www.acquisition.gov/far/current/html/Subpart%202_1.html).

See 13 C.F.R. § 124, Subpart B (http://www.sbir.gov/about/sbir-policy-directive). 

Technology Readiness Level (TRLs) is a uni-dimensional scale used to provide a measure of technology maturity.

Level 1: Basic principles observed and reported.

Level 2: Technology concept and/or application formulated.

Level 3: Analytical and experimental critical function and/or characteristic proof of concept.

Level 4: Component and/or breadboard validation in laboratory environment.

Level 5: Component and/or breadboard validation in relevant environment.

Level 6: System/subsystem model or prototype demonstration in a relevant environment (Ground or Space).

Level 7: System prototype demonstration in an operational (space) environment.

Level 8: Actual system completed and (flight) qualified through test and demonstration (Ground and Space).

Level 9: Actual system (flight) proven through successful mission operations.

Additional information on TRLs is available in Appendix A.

A veteran-owned SBC is a small business that: (1) is at least 51% unconditionally owned by one or more veterans, as defined at 38 U.S.C. 101(2); or in the case of any publicly owned business, at least 51% of the stock of which is unconditionally owned by one or more veterans; and (2) whose management and daily business operations are controlled by one or more veterans. For a general definition please see FAR 2.101 (https://www.acquisition.gov/far/current/html/Subpart 2_1.html).