NASA SBIR/STTR Program Solicitation Details | 1. Program Description

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.

1.4.1 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. 

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:

1. Making better technical decisions concerning such projects.
2. Solving technical problems which arise during the conduct of such projects.
3. Minimizing technical risks associated with such projects.
4. Developing and commercializing new commercial products and processes resulting from such projects.

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.

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.