NASA SBIR/STTR 2017 Program Solicitation Details | Chapter 8. Phase I Submission Forms and Certifications

Chapter 8. Phase I Submission Forms and Certifications

Please note: 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.

Firm Certifications

Offerors must complete the “Certifications” section of the Proposal Submission Electronic Handbook, answering Yes or No to certifications as applicable.

Firms should carefully read each of the certification statements. The Federal government relies on the information to determine whether the business is eligible for a Small Business Innovation Research (SBIR) or Small Business Technology Transfer (STTR) Program award.  A similar certification will be used to ensure continued compliance with specific program requirements during the life of the funding agreement.  The definitions for the terms used in this certification are set forth in the Small Business Act, SBA regulations (13 C.F.R. Part 121), the SBIR Policy Directive and also any statutory and regulatory provisions referenced in those authorities. 

If the funding agreement officer believes that the business may not meet certain eligibility requirements at the time of award, they are required to file a size protest with the U.S. Small Business Administration (SBA), who will determine eligibility.  At that time, SBA will request further clarification and supporting documentation in order to assist in the verification of any of the information provided as part of a protest.  If the funding agreement officer believes, after award, that the business is not meeting certain funding agreement requirements, the agency may request further clarification and supporting documentation in order to assist in the verification of any of the information provided. 

Even if correct information has been included in other materials submitted to the Federal government, any action taken with respect to this certification does not affect the Government’s right to pursue criminal, civil or administrative remedies for incorrect or incomplete information given in the certification.   Each person signing this certification may be prosecuted if they have provided false information. 

In submitting the proposals including the certifications, each offeror understands that providing false information is a criminal offense under Title 18 US Code, Section 1001, False Statements, as well as Title 18 US Code, Section 287, False Claims.

 

SBIR Phase I Check List

For assistance in completing your Phase I proposal, use the following checklist to ensure your submission is complete.

  1. The entire proposal including any supplemental material shall not exceed a total of 23 8.5 x 11 inch pages and follow the format requirements (section 3.2.2).
  2. The proposal and innovation is submitted for one subtopic only (section 3.1).
  3. The entire proposal is submitted consistent with the requirements and in the order outlined in section 3.2.
  4. The technical proposal contains all eleven parts in order (section 3.2.4). 
  5. A letter of commitment from the facility manager, if the research or R&D effort requires use of federal facilities (section 3.2.4).
  6. Certifications in Form A are completed, and agree with the content of the technical proposal.
  7. Proposed funding does not exceed $125,000 (sections 1.3).
  8. Proposed project duration does not exceed 6 months (sections 1.3).
  9. Entire proposal including Forms A, B, C, I-Corps Opt-In, technical proposal and briefing chart submitted via the Internet.
    1. All firm-level forms most also be submitted, including: 1) all firm-level certifications, 2) audit information, 3) prior awards addendum, and 4) the commercialization metrics survey.
  10. Form A electronically endorsed by the SBC Official and the PI.
  11. Proposals must be received no later than 5:00 p.m. EST on January 20, 2017 (section 6.3). 

STTR Phase I Check List

For assistance in completing your Phase I proposal, use the following checklist to ensure your submission is complete.

  1. The entire proposal including any supplemental material shall not exceed a total of 23 8.5 x 11 inch pages, including the Research Agreement, and follow the format requirements (sections 3.2.2, 3.2.5).
  2. The proposal and innovation is submitted for one subtopic only (Section 3.1).
  3. The entire proposal is submitted consistent with the requirements and in the order outlined in section 3.2.
  4. The technical proposal contains all eleven parts in order (section 3.2.4). 
  5. A letter of commitment from the facility manager, if the research or R&D effort requires use of federal facilities (section 3.2.4).
  6. Certifications in Form A are completed, and agree with the content of the technical proposal.
  7. Proposed funding does not exceed $125,000 (sections 1.3, 5.1.1).
  8. Proposed project duration does not exceed 12 months (sections 1.3).
  9. Research Agreement has been electronically endorsed by both the SBC Official and the RI (sections 3.2.5, 6.2).
  10. Entire proposal including Forms A, B, C, I-Corps Opt-In, technical proposal, briefing chart, and Research Agreement submitted via the Internet.
    1. All firm-level forms most also be submitted, including: 1) all certifications, 2) audit information, 3) prior awards addendum, and 4) the commercialization metrics survey.
  11. Form A electronically endorsed by the SBC Official and the PI. 
  12. Proposals must be received no later than 5:00 p.m. EST on January 20, 2017 (section 6.3).
  13. Signed Allocation of Rights Agreement available for Contracting Officer within 10 days of selection.

 

SBIR Phase II Check List

For assistance in completing your Phase II proposal, use the following checklist to ensure your submission is complete.

  1. The entire proposal including any supplemental material shall not exceed a total of 50 8.5 x 11 inch pages and the format requirements (section 3.3.2).
  2. The proposal and innovation is submitted for one subtopic only.
  3. The entire proposal is submitted consistent with the requirements and in the order outlined in section 3.3.
  4. The technical proposal contains all eleven parts in order (section 3.3.4). 
  5. A letter of commitment from the facility manager, if the research or R&D effort requires use of federal facilities (section 3.3.4).
  6. Certifications in Form A are completed, and agree with the content of the technical proposal.
  7. Proposed funding does not exceed $750,000, excluding the $5,000 Commercialization Technical Assistance, if requested (sections 1.3, 5.1.1).
  8. Proposed project duration does not exceed 24 months (sections 1.3).
  9. Entire proposal including Forms A, B, and C, technical proposal, and briefing chart submitted via the Internet.
    1. All firm-level forms most also be submitted, including: 1) all certifications, 2) audit information, 3) prior awards addendum, and 4) the commercialization metrics survey.
  10. Form A electronically endorsed by the SBC Official and the PI.
  11. Phase II proposal submissions will be due the last day of the Phase I contract (section 6.4).

 

STTR Phase II Check List

For assistance in completing your Phase II proposal, use the following checklist to ensure your submission is complete.

  1. The entire proposal including any supplemental material shall not exceed a total of 508.5 x 11 inch pages, including the Research Agreement, and follow the format requirements (sections 3.3.2, 3.3.5).
  2. The proposal and innovation is submitted for one subtopic only.
  3. The entire proposal is submitted consistent with the requirements and in the order outlined in section 3.3.
  4. The technical proposal contains all eleven parts in order (section 3.3.4). 
  5. A letter of commitment from the facility manager, if the research or R&D effort requires use of federal facilities (section 3.3.4).
  6. Certifications in Form A are completed, and agree with the content of the technical proposal.
  7. Proposed funding does not exceed $750,000 excluding the $5,000 Commercialization Technical Assistance, if requested (section 1.3, 5.1.1).
  8. Proposed project duration does not exceed 24 months (section 1.3).
  9. Research Agreement has been electronically endorsed by both the SBC Official and the RI (sections 3.3.5, 6.2).
  10. Entire proposal including Forms A, B, C, technical proposal, briefing chart, and Research Agreement submitted via the Internet,
    1. All firm-level forms most also be submitted, including: 1) all certifications, 2) audit information, 3) prior awards addendum, and 4) the commercialization metrics survey.
  11. Form A electronically endorsed by the SBC Official and the PI. 
  12. Phase II proposal submissions will be due the last day of the Phase I contract (section 6.4).
  13. Signed Allocation of Rights Agreement, available for the Contracting Officer within 10 days of the selection.