NASA SBIR/STTR 2017 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 shall be submitted only under that one subtopic within each program. An offeror shall not submit more than 10 proposals to each of the SBIR or STTR programs. An offeror may submit more than one unique proposal to the same subtopic; however, an offeror shall not submit the same (or substantially equivalent) proposal to more than one subtopic. Submitting substantially equivalent proposals to several subtopics may result in the rejection of all such proposals. In order to enhance SBC participation, NASA does not plan to select more than 5 SBIR proposals and 2 STTR proposals from any one offeror under this solicitation.

STTR: All Phase I 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 Research Institution (RI) into a product or service that meets a need described in a Solicitation research topic. SBCs shall submit a research agreement with a Research Institution. This agreement must be completed online through the form provided in the submissions handbook.

3.2 Phase I Proposal Requirements

3.2.1 General Requirements

A competitive proposal will clearly and concisely: (1) describe the proposed innovation relative to the state of the art; (2) address the scientific, technical and commercial merit and feasibility of the proposed innovation, and its relevance and significance to NASA interests as described in section 9: and (3) provide a preliminary strategy that addresses key technical, market and business factors pertinent to the successful development, demonstration of the proposed innovation, and its transition into products and services for NASA mission programs, the commercial aerospace industry, and other potential markets and customers.

False Statements:

Knowingly and willfully making any false, fictitious, or fraudulent statements or representations may be a felony under the Federal Criminal False Statement Act (18 U.S.C. Sec 1001), punishable by a fines and imprisonment of up to five years in prison. The Office of the Inspector General has full access to all proposals submitted to NASA.

3.2.2 Format Requirements 

The Government administratively screens all proposals and reserves the right to reject any proposal that does not conform to following formatting requirements.

Page Limitations and Margins

Any page(s) going over the required page limit will be deleted and omitted from the proposal review. A Phase I proposal shall not exceed a total of 23 standard 8 1/2 x 11 inch (21.6 x 27.9 cm) pages, inclusive of the technical content and the required forms. Forms A, B, and C count as one page each, regardless of whether the completed forms print as more than one page. Each page shall be numbered consecutively at the bottom. Margins shall be 1.0 inch (2.5 cm). All required items of information must be covered in the proposal and will count towards the total page count. The space allocated to each part of the technical content will depend on the project chosen and the offeror's approach.

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

(1)    Cover Sheet (Form A), electronically endorsed, counts as 1 page towards the 23-page limit.

(2)    Proposal Summary (Form B), counts as 1 page towards the 23-page limit (and must not contain proprietary data).

(3)    Budget Summary (Form C), counts as 1 page towards the 23-page limit.

(4)    Technical Content (11 parts in order as specified in section 3.2.4, not to exceed 20 pages for SBIR and 19 pages for STTR), including all graphics, with a table of contents.

(5)    R/R&D Agreement between the SBC and RI (STTR only), counts as 1 page towards the 23-page limit.

(6)    Briefing Chart, is not included in the 23-page limit (and must not contain proprietary data).

(7)    NASA Research License Application, is not included in the 23-page limit (only if TAV is being proposed).

(8)    I-Corps Opt-In Form, is not included in the 23-page limit.

Note: Letters of general endorsement are not required or desired and will not be considered during the review process. However, if submitted, such letter(s) will count against the page limit.

In addition to the above items, each offeror must submit the following firm level forms, which must be filled out once during each submission period and are applicable to all firm proposal submissions:

(9)    Firm Level Certifications, are not included in the 23-page limit.

(10) Audit Information, is not included in the 23-page limit.

(11) Prior Awards Addendum, is not included in the 23-page limit.

(12) Commercial Metrics Survey, is not included in the 23-page limit.

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.

Please note: Website references, relevant technical papers, product samples, videotapes, slides, or other ancillary items will not be considered during the review process.

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 may 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.

3.2.3 Forms

All form submissions shall be done electronically, with each form counting as 1 page towards the 23-page limit and accounting for pages 1-3 of the proposal regardless of the length.

3.2.3.1 Cover Sheet (Form A) 

A sample Cover Sheet (Form A) is provided in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. 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. Form A counts as one page towards the 23-page limit.

3.2.3.2 Proposal Summary (Form B) 

A sample Proposal Summary (Form B) is provided in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. The offeror shall provide complete information for each item and submit Form B as required in section 6. Form B counts as one page towards the 23-page limit.

Note: Proposal Summary (Form B), including the Technical Abstract, is public information and may be disclosed. Do not include proprietary information on Form B.

3.2.3.3 Budget Summary (Form C) 

A sample of the Budget Summary (Form C) is provided in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. The offeror shall complete the Budget Summary following the instructions provided with the sample form. The total requested funding for the Phase I effort shall not exceed $125,000. 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 price is fair and reasonable. Form C counts as one page towards the 23-page limit.

Note: The Government is not responsible for any monies expended by the firm before award of any contract.

3.2.4 Technical Proposal

This part of the submission should not contain any budget data and must consist of all eleven (11) parts listed below in the given order. All eleven parts of the technical proposal must be numbered and titled. 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 may be rejected during administrative screening. The required table of contents is provided below:

Phase I Table of Contents

Part 1:    Table of Contents……………………………………………………………………………….………Page 4

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 II or Future R/R&D

Part 8:    Facilities/Equipment

Part 9:    Subcontracts and Consultants

Part 10: Potential Post Applications 

Part 11: Essentially Equivalent and Duplicate Proposals and Awards

Part 1: Table of Contents 

The technical proposal shall begin with a brief table of contents indicating the page numbers of each of the parts of the proposal and should start on page 4 because Forms A, B, and C account for pages 1-3.

Part 2: Identification and Significance of the Proposed Innovation 

Succinctly describe:

(1)    The proposed innovation.

(2)    The relevance and significance of the proposed innovation to an interest, need, or needs, within a subtopic described in section 9.

(3)    The proposed innovation relative to the state of the art.

Part 3: Technical Objectives 

State the specific objectives of the Phase I R/R&D effort including the technical questions posed in the subtopic description that must be answered to determine the feasibility of the proposed innovation.

TAV Note: All offerors submitting proposals who are planning to use NASA IP must describe their planned developments with the IP. The NASA Research License Application should be added as an attachment at the end of the proposal and will not count towards the 23-page limit (See paragraph 1.5).

Part 4: Work Plan 

Include a detailed description of the Phase I R/R&D plan to meet the technical objectives. The plan should indicate what will be done, where it will be done, and how the R/R&D will be carried out. Discuss in detail the methods planned to achieve each task or objective. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel and planned accomplishments including project milestones shall be included.  Offerors should ensure that the estimated task hours provided in the work plan for key personnel are consistent with the hours reported in Form C.

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.

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. As an option, the offeror may use this section to include bibliographic references.

Please note: On February 26, 2004, the President issued Executive Order 13329 (69 FR 9181) entitled “Encouraging Innovation in Manufacturing.” In response to this Executive Order, NASA encourages the submission of proposals that deal with some aspect of innovative manufacturing technology. If a proposal has a connection to manufacturing this should be indicated in the Part 5 (Related R/R&D) of the proposal and a brief explanation of how it is related to manufacturing should be provided.

Energy Independence and Security Act of 2007, section 1203, stated that federal agencies shall give high priority to small business concerns that participate in or conduct energy efficiency or renewable energy system research and development projects. If a proposal has a connection to energy efficiency or alternative and renewable energy this should be indicated in Part 5 (Related R/R&D) of the proposal. Provide a brief explanation of how it is related to energy efficiency and alternative and renewable energy.

Part 6: Key Personnel and Bibliography of Directly Related Work 

Identify all key personnel involved in Phase I 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 I 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 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, and indicate the extent to which other proposals recently submitted or planned for submission in Fiscal Year 2016 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. However, for an STTR the PI can be primarily employed by either the SBC or the RI. Please see section 1.4.3 for further explanation.

Part 7: Relationship with Future R/R&D 

State the anticipated results of the proposed R/R&D effort if the project is successful (through Phase I and Phase II). Discuss the significance of the Phase I effort in providing a foundation for the Phase II R/R&D effort and for follow-on development, application and commercialization efforts (Phase III).

Part 8: Facilities/Equipment

General

In accordance with the Federal Acquisition Regulations (FAR) Part 45, it is NASA's policy not to provide services, equipment or facilities (resources) [capital equipment, tooling, test and computer facilities, etc.] for the performance of work under SBIR/STTR contracts. Generally, any contractor will furnish its own resources to perform the proposed work on the contract.

In all cases, the Contractor shall be responsible for any costs associated with services, equipment or facilities provided by a NASA or another Federal Department or Agency, and such costs shall result in no increase in the price of this contract.

Use of Federal Services, Facilities or Equipment

Federal Departments and Agencies:   

Use of SBIR funding for unique Federal/Non-NASA services, equipment or facilities from a Federal Department or Agency which does not meet the definition of a Federal laboratory as defined in the SBA Policy Directive on the SBIR/STIR Program, requires a waiver from the SBA.  Proposals requiring waivers must include an explanation of why the waiver is appropriate.  NASA will provide the offeror’s request, along with an explanation to SBA during the negotiation process. NASA cannot guarantee that a waiver can be obtained from SBA.  Specific proposal instructions to request use of Federal Services, Facilities or Equipment are in section 3.2 of the solicitation.  Note:  NASA Facilities qualify as Federal Laboratories.

Agreement to Use Any Federal Facility: 

All offerors selected for award that require the use of any Federal Facility shall, within twenty (20) business days of notification of selection for negotiations, provide to the NASA Shared Services Center Contracting Officer an agreement by and between the Contractor and the appropriate Federal facility, executed by the Government official authorized to approve such use. The Agreement must delineate the terms of use, associated costs, facility responsibilities and liabilities.  Having a signed agreement for use of Federal Facilities is a requirement for award.

An executed SBIR/STTR Use Agreement, (http://sbir.gsfc.nasa.gov/sbir/firm_library/phase1_proposal.htm), is required before a contractor can use NASA Services, Facilities, or Equipment. Offerors should not include an executed SBIR/STTR Use Agreement in the proposals.  NASA expects selected offerors to execute the SBIR/STTR Use Agreement during their negotiations with NSSC.  The information required in the proposals, described below, should facilitate executing the SBIR/STTR Use Agreement.                              

Proposal Requirements for Use of Federal Services, Facilities or Equipment:

In cases where an offeror seeks to use NASA or another Federal Department or Agency services, equipment or facilities, the offeror shall provide the following:

a)       Statement, signed by the appropriate Government official at the effected Federal Department or Agency, verifying that the resources should be available during the proposed period of performance.  Offerors must upload this letter in Form C of their proposal.

b)      Signed letter on company letterhead from the contractor’s Small Business Official explaining why the SBIR/STTR research project requires the use of Federal services, equipment or facilities, including data that verifies the absence of non-Federal facilities or personnel capable of supporting the research effort, a statement confirming that the facility proposed is not a Federal laboratory if applicable, and the associated cost estimate.  Offerors must upload this letter in Form C of their proposal.

Use of federal laboratories/facilities for Phase I contracts is highly discouraged.  Approval for use of federal facilities and labs, for a Phase I proposal, requires Program Executive approval during negotiations if selected for award. 

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, and number of hours. Offerors are responsible for ensuring that all organizations and individuals proposed to be utilized are actually available for the time periods proposed. Subcontract costs shall be documented in the subcontractor/consultant budget section in Form C and supporting documentation should be uploaded for each (appropriate documentation is specified in Form C). Note that following:

a)     Proposers should list consultants by name and specify, for each, the number of hours and hourly costs.

b)     Breakdown of subcontractor budget should mirror the SBC’s own breakdown in Form C and include breakdowns of direct labor, other direct costs, profit, as well as indirect rate agreements. 

c)     A signed letter of commitment is required for each subcontractor and/or consultant.

Subcontractors' and consultants' work has the same place of performance restrictions as stated in section 1.4.2.

The following restrictions apply to the use of subcontracts/consultants:

SBIR Phase I Subcontracts/Consultants

STTR Phase I Subcontracts/Consultants

The proposed subcontracted business arrangements, including consultants, must not exceed 33 percent of the research and/or analytical work (as determined by the total cost of the proposed subcontracting effort (to include the appropriate OH and G&A) in comparison to the total effort (total contract price including cost sharing, if any, less profit if any).      

A minimum of 40 percent of the research or analytical work must be performed by the proposing SBC and minimum of 30 percent must be performed by the RI. Any subcontracted business effort other than that performed by the RI, shall not exceed 30 percent of the research and/or analytical work (as determined by the total cost of the subcontracting effort (to include the appropriate OH and G&A) in comparison to the total effort (total contract price including cost sharing, if any, less profit if any).

              

Example:             Total price to include profit - $99, 500

Profit - $3,000

Total price less profit - $99,500 - $3,000 = $96,500

Subcontractor cost - $29,500

G&A - 5%

G&A on subcontractor cost - $29,500 x 5% = $1,475

Subcontractor cost plus G&A - $29,500 + $1,475 = $30,975

Percentage of subcontracting effort – subcontractor cost plus G&A / total price less profit - $30,975/$96,500 = 32.1%

For an SBIR Phase I this is acceptable since it is below the limitation of 33%.

For an STTR Phase I, where there is a subcontract with a company other than the RI, this is unacceptable since it is above 30% limitation.

Part 10: Potential Post Applications (Commercialization) 

The Phase I proposal shall (1) forecast the potential and targeted application(s) of the proposed innovation and associated products and services relative to NASA needs (infusion into NASA mission needs and projects) (section 9), other Government agencies and commercial markets, (2) identify potential customers, and (3) provide an initial commercialization strategy that addresses key technical, market and business factors for the successful development, demonstration and utilization of the innovation and associated products and services. Commercialization encompasses the transition of technology into products and services for NASA mission programs, other Government agencies, and non-Government markets.

Part 11a: Essentially Equivalent and Duplicate Proposals and Awards

WARNING – While it is permissible with proposal notification to submit identical proposals or proposals containing a significant amount of essentially equivalent work for consideration under numerous Federal program solicitations, it is unlawful to enter into funding agreements requiring essentially equivalent work. Offerors are at risk for submitting essentially equivalent proposals and therefore, are strongly encouraged to disclose these issues to the soliciting agency to resolve the matter prior to award. See Part 11b.

If an applicant elects to submit identical proposals or proposals containing a significant amount of essentially equivalent work under other Federal program solicitations, a statement must be included in each such proposal indicating:

(1)    The name and address of the agencies to which proposals were submitted or from which awards were received.

(2)    Date of proposal submission or date of award.

(3)    Title, number, and date of solicitations under which proposals were submitted or awards received.

(4)    The specific applicable research topics for each proposal submitted for award received.

(5)    Titles of research projects.

(6)    Name and title of principal investigator or project manager for each proposal submitted or award received.

A summary of essentially equivalent work information is also required on Form A.

Part 11b: Related Research and Development Proposals and Awards

All federal agencies have a mandate to reduce waste, fraud, and abuse in federally funded programs. The submission of essentially equivalent work and the acceptance of multiple awards for essentially equivalent work in the SBIR/STTR Program have been identified as an area of abuse and possibly fraud. SBIR/STTR funding agencies and the Office of the Inspector General are actively evaluating proposals and awards to eliminate this problem. Related research and development includes proposals and awards that do not meet the definition of “Essentially Equivalent Work” (see: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions), but are related to the technology innovation in the proposal being submitted. Related research and development could be interpreted as essentially equivalent work by outside reviewers without additional information. Therefore, if you are submitting closely related proposals or your firm has closely related research and development that is currently or previously funded by NASA or other federal agencies, it is to your advantage to describe the relationships between this proposal and related efforts clearly delineating why this should not be considered an essentially equivalent work effort. These explanations should not be longer than one page, will not be included in the page count, and will not be part of the technical evaluation of the proposal.

3.2.5 Research Agreement (Applicable for STTR proposals only) 

The Research Agreement (different from the Allocation of Rights Agreement, see: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions) is a single-page document electronically submitted and endorsed by the SBC and Research Institution (RI). A model agreement is provided, or firms can create their own custom agreement. The Research Agreement should be submitted as required in section 6. This agreement counts as one page toward the 23-page limit.

3.2.6 Applications to I-Corps

Firms proposing to this solicitation will be allowed to also propose participation in the SBIR I-Corps program using the following submittal process. I-Corps awards will be made separate from the Phase I contract as a training grant.

3.2.6.1 Step 1: Opt-In Form

Phase I SBIR/STTR offerors interested in participating in I-Corps must complete a short I-Corps Opt-In form as part of their Phase I proposal submission. The form does not count towards the page count of Phase I proposals. Representations in the form will determine an offeror’s eligibility to participate in I-Corp. The form also asks offerors provide a brief summary explaining the value of I-Corps to their companies.   In the event a large number of offerors express interest, the Government reserves the right to limit the number of offerors invited to submit I-Corps proposals based upon the Government’s assessment of the initial summary statements.

3.2.6.2 I-Corps Proposal

To be qualified to submit an I-Corps proposal: 1) Offerors must have Opted-in to I-Corps as part of their Phase I proposals; 2) Offerors must be qualified to participate in I-Corps, and 3) Offerors must be selected for a Phase I award.  Participating offerors must form a team composed of three main members: the Principal Investigator, the Entrepreneurial Lead and the Mentor as described in http://sbir.nasa.gov/content/I-Corps. The I-Corps proposal shall follow the same format requirements as the SBIR/STTR Phase I proposal, shall be limited to six pages, and shall include the following sections in order to be considered complete:

  • I-Corps Team and Commercialization Plan (limited to five pages).
    • I-Corps Team: Biographical sketches of I-Corps team members and their commitment to participate in I-Corps (limited to one page per team member).
    • Commercialization Plan (limited to one page). This shall include:
      • Composition and roles (Principal Investigator, Entrepreneurial Lead, Mentor) of the team members proposing to undertake the commercialization feasibility research.
      • Building off the commercialization information provided in the Phase I proposal, include an additional, brief description of the potential non-NASA commercial impacts of the project, what types of customer discovery the firm hopes to accomplish through I-Corps, and what steps the company will take to move the project closer to commercialization.
  • I-Corps Proposal Budget (limited to one page).
    • Capped at $35,000 for each SBIR team, and $50,000 for each STTR team.
    • Only recovery of certain direct costs associated with participation in I-Corps is allowed, no recovery of indirect costs is allowed.
    • The budget should include the following five components:
      • Maximum of $15,000 for Entrepreneurial Lead stipend (no stipend for the Principal Investigator or I-Corps Mentor)
      • For STTR teams, maximum of $5,000 for prototyping, only after cohort has finished. SBIR teams are not eligible for prototyping funds.
      • An estimate for the travel costs associated with team member participation in required kick-off and close out / lessons learned meetings (i.e. airfare, per diem costs). Suggested limit is $5,500 per team.
      • Costs for workshop registration fees that will be paid to the instruction service (logistics) providers. This is expected to be $4,500 per team.
      • Estimated costs for travel associated with the three team members traveling as a group to conduct customer interviews (30 interviews for SBIR participants and 100 interviews for STTR participants). Suggested limits are $10,000 for SBIR teams and $20,000 for STTR teams.

The I-Corps proposal will be due one week after formal notification that the firm has been selected for negotiation of a Phase I SBIR or STTR contract. The firm shall submit their I-Corps proposal into the Proposal Submission EHB, which shall be re-opened for those firms which have met the three qualifications identified above.

Note: Proposals for I-Corps have separate page limitations outside the page limitations for Phase I.

3.2.7 Briefing Chart 

An electronic form will be provided during the submissions process. The one-page briefing chart is required to assist in the ranking and advocacy of proposals prior to selection. It is not counted against the 23-page limit, and shall not contain any proprietary data or ITAR restricted data.

3.2.8 Firm Level Certifications

Firm level certifications that are applicable across all proposal submissions submitted to this solicitation must be completed via the “Certifications” section of the Proposal Submission Electronic Handbook. The offeror shall answer Yes or No as applicable. An example of the certification can be found in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.

Note: The designated Firm Admin, typically the first person to register your firm, is the only individual authorized to update the certifications.

3.2.9 Audit Information

Although firms are not required to have an approved accounting system, knowledge that a firm has an approved accounting system facilitates NASA’s determination that rates are fair and reasonable.  To assist NASA, the SBC shall complete the questions regarding the firm’s rates and upload the Federal agency audit report or related information that is available from the last audit. There is a separate “Audit Information” section in Forms C that shall also be completed.  If your firm has never been audited by a federal agency, then answer "No" to the first question and you do not need to complete the remainder of the form.

The contracting officer will use this “Audit Information” to assist with negotiations if the proposal is selected for award. The contracting officer will advise offerors what is required to determine reasonable cost and/or rates in the event the “Audit Information” is not adequate to support the necessary determination on rates.

The audit information is not included in the 23-page limit. An electronic form will be provided during the submissions process.

Note: The designated firm admin, typically the first person to register your firm, is the only individual authorized to update the audit information.

3.2.10 Prior Awards Addendum

If the SBC has received more than 15 Phase II 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 II. If your firm has received any SBIR or STTR Phase II awards, even if it has received fewer than 15 in the last 5 years, it is still recommended that you complete this form for those Phase II awards your firm did receive. This information will be useful when completing the Commercialization Metrics Survey, and in tracking the overall success of the SBIR and STTR programs. Any NASA Phase II awards your firm has received will be automatically populated in the electronic form, as are any Phase II awards previously entered by the SBC during prior submissions (you may update the information for these awards). The addendum is not included in the 23-page-limit. An electronic form will be provided during the submissions process.

Note: The designated firm admin, typically the first person to register your firm, is the only individual authorized to update the addendum information.

3.2.11 Commercial Metrics Survey

NASA has instituted a comprehensive commercialization survey/data gathering process for firms with prior NASA SBIR/STTR awards. If the SBC has received any Phase III awards resulting from work on any NASA SBIR or STTR awards, provide the related Phase I or Phase II contract number, name of Phase III awarding agency, date of award, funding agreement number, amount, project title, and period of performance. The survey will also ask for firm sales and ownership information, as well as any commercialization success the firm has had as a result of Phase II SBIR or STTR awards. This information will allow firms to demonstrate their ability to carry SBIR/STTR research through to achieve commercial success, and allow agencies to track the overall commercialization success of their SBIR and STTR programs. The survey is not included in the 23-page limit and content should be limited to information requested above. An electronic form will be provided during the submissions process.

Note: Information received from SBIR/STTR awardees completing the survey is kept confidential, and will not be made public except in broad aggregate, with no firm-specific attribution. The Commercialization Metrics Survey is a required part of the proposal submissions process and must be completed via the Proposal Submission Electronic Handbook

3.2.12 Allocation of Rights Agreement (STTR awards only)

No more than 10 business days after the notification of selection for negotiation, the offeror should provide to the Contracting Officer, a completed Allocation of Rights Agreement (ARA), which has been signed by authorized representatives of the SBC, RI and subcontractors and consultants, as applicable. The ARA shall state the allocation of intellectual property rights with respect to the proposed STTR activity and planned follow-on research, development and/or commercialization. A sample ARA is available in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html of this Solicitation.

 

If the ARA form is completed and available at the time of submission, offers should upload it in Form C, which will help to expedite contract negotiations.

3.3 Phase II Proposal Requirements

3.3.1 General Requirements

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

A competitive Phase II proposal will clearly and concisely (1) describe the proposed innovation relative to the state of the art and the market, (2) address Phase I results relative to the scientific, technical merit and feasibility of the proposed innovation and its relevance and significance to the NASA interests, and (3) provide the planning for a focused project that builds upon Phase I results and encompasses technical, market, financial and business factors relating to the development and demonstration of the proposed innovation, and its transition into products and services for NASA mission programs, the commercial aerospace industry, and other potential markets and customers.

False Statements:

Knowingly and willfully making any false, fictitious, or fraudulent statements or representations may be a felony under the Federal Criminal False Statement Act (18 U.S.C. Sec 1001), punishable by a fines and/or imprisonment of up to five years in prison.  The Office of the Inspector General has full access to all proposals submitted to NASA.

3.3.2 Format Requirements 

The Government administratively screens all proposals and reserves the right to reject any proposal that does not conform to following formatting requirements.

Page Limitations and Margins 

Any page(s) going over the required page limit will be deleted and omitted from the proposal review. A Phase II proposal shall not exceed a total of 50 standard 8 1/2 x 11 inch (21.6 x 27.9 cm) pages. Forms A, B, and C count as one page each regardless of whether the completed forms print as more than one page. Each page shall be numbered consecutively at the bottom. Margins shall be 1.0 inch (2.5 cm). All required items of information must be covered in the proposal and will be included in the page total. The space allocated to each part of the technical content will depend on the project and the offeror's approach.

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

(1)    Cover Sheet (Form A), electronically endorsed, counts as 1 page towards the 50-page limit.

(2)    Proposal Summary (Form B), counts as 1 page towards the 50-page limit (and must not contain proprietary data).

(3)    Budget Summary (Form C), counts as 1 page towards the 50-page limit.

(4)    Technical Content (11 Parts in order as specified in section 3.3.4, not to exceed 47 pages for SBIR and 46 pages for STTR), including all graphics, and starting with a table of contents.

(5)    R/R&D Agreement between the SBC and RI (STTR only), counts as 1 page towards the 50-page limit.

(6)    Briefing Chart (Not included in the 50-page limit and must not contain proprietary data).

(7)    NASA Research License Application is not included in the 50-page limit (only if TAV is being proposed).

(8)    Capital Commitments Addendum Supporting Phase II and Phase III (optional).

Note: Letters of general endorsement are not required or desired and will not be considered during the review process. However, if submitted, such letter(s) will count against the page limit.

In addition to the above items, each offeror must submit the following firm level forms, which must be filled out once during each submission period and are applicable to all firm proposal submissions:

(9)    Firm Level Certifications, are not included in the 50-page limit.

(10) Audit Information, is not included in the 50-page limit.

(11) Prior Awards Addendum, is not included in the 50-page limit.

(12) Commercial Metrics Survey, is not included in the 50-page limit.

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.

Please note: Website references, relevant technical papers, product samples, videotapes, slides, or other ancillary items will not be considered during the review process.

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 may 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.

3.3.3 Forms 

All form submissions shall be done electronically, with each form counting as 1 page towards the 50-page limit and accounting for pages 1-3 of the proposal regardless of the length.

3.3.3.1 Cover Sheet (Form A) 

A sample Cover Sheet (Form A) is provided in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. 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. Form A counts as one page towards the 50-page limit.

3.3.3.2 Proposal Summary (Form B) 

A sample Proposal Summary (Form B) is provided in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. The offeror shall provide complete information for each item and submit Form B as required in section 6. Form B counts as one page towards the 50-page limit.

Note: Proposal Summary (Form B), including the Technical Abstract, is public information and may be disclosed. Do not include proprietary information on Form B.

3.3.3.3 Budget Summary (Form C)

A sample of the Budget Summary (Form C) is provided in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. The offeror shall complete the Budget Summary following the instructions provided with the sample form. The total requested funding for the Phase II effort shall not exceed $750,000. 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 price is fair and reasonable. Form C counts as one page towards the 50-page limit.

Note: The Government is not responsible for any monies expended by the firm before award of any contract.

3.3.3.4 Milestone Plan

NASA mandates that SBIR/STIR contracts will be written for a single final deliverable to include a prototype (if applicable), a final report, final summary/briefing chart, and invoice certification.  The IT Security Management Plan and the New Technology Reporting (New Technology Summary Report and New Technology Report) requirements remain unchanged.  Your firm shall submit a proposed quarterly milestone plan with FORM C.  The milestone plan shall be in accordance with your work plan outlining the work to be accomplished each quarter and the cost proposed associated with each of the quarterly milestones. The cost breakdown shall be similar to FORM C for each of the proposed quarterly milestones (i.e. each milestone should include the labor, supplies, travel, profit associated with those tasks to be accomplished that quarter). The proposed cost associated with each quarterly milestone must be realistic for the work to be accomplished but is not required to be equally distributed across each quarter.

3.3.4 Technical Proposal 

This part of the submission shall not contain any budget data and must consist of all eleven (11) parts listed below in the given order. All eleven parts of the technical proposal must be numbered and titled. 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 shall be rejected during administrative screening. The required table of contents is provided below:

Phase II Table of Contents

Part 1:    Table of Contents…………………………………………………………………………….…………Page 4

Part 2:    Identification and Significance of the Innovation and Results of the Phase I Proposal

Part 3:    Technical Objectives

Part 4:    Work Plan

Part 5:    Related R/R&D

Part 6:    Key Personnel

Part 7:    Phase III Efforts, Commercialization and Business Planning

Part 8:    Facilities/Equipment

Part 9:    Subcontracts and Consultants

Part 10: Potential Post Applications 

Part 11: Essentially Equivalent and Duplicate Proposals and Awards

Part 1: Table of Contents 

The technical proposal shall begin with a brief table of contents indicating the page numbers of each of the parts of the proposal and should start on page 4 because Forms A, B, and C account for pages 1-3.     

Part 2: Identification and Significance of the Innovation and Results of the Phase I Proposal

Drawing upon Phase I results, succinctly describe:

(1)    The proposed innovation.

(2)    The relevance and significance of the proposed innovation to an interest, need, or needs, within the subtopic.

(3)    The proposed innovation relative to the state of the market, the state of the art, and its feasibility.

(4)    The capability of the offeror to conduct the proposed R/R&D and to fulfill the commercialization of the proposed innovation.

Part 3: Technical Objectives 

Define the specific objectives of the Phase II research and technical approach.

TAV Note: All offerors submitting proposals who are planning to use NASA IP must describe their planned developments with the IP. The NASA Research License Application should be added as an attachment at the end of the proposal and will not count towards the 50-page limit (See section 1.5).

Part 4: Work Plan

Include a detailed description of the Phase II R/R&D plan to meet the technical objectives. The plan should indicate what will be done, where it will be done, and how the R/R&D will be carried out. Discuss in detail the methods planned to achieve each task or objective. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel and planned accomplishments including project milestones shall be included. Offerors should ensure that the estimated task hours provided in the work plan for key personnel are consistent with the hours reported in Form C.

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.

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. As an option, the offer may use this section to include bibliographic references.

Please note:

On February 26, 2004, the President issued Executive Order 13329 (69 FR 9181) entitled “Encouraging Innovation in Manufacturing.” In response to this Executive Order, NASA encourages the submission of proposals that deal with some aspect of innovative manufacturing technology. If a proposal has a connection to manufacturing this should be indicated in the Part 5 (Related R/R&D) of the proposal and a brief explanation of how it is related to manufacturing should be provided.

Energy Independence and Security Act of 2007, section 1203, stated that federal agencies shall give high priority to small business concerns that participate in or conduct energy efficiency or renewable energy system research and development projects. If a proposal has a connection to energy efficiency or alternative and renewable energy this should be indicated in Part 5 (Related R/R&D) of the proposal. Provide a brief explanation of how it is related to energy efficiency and alternative and renewable energy.

Part 6: Key Personnel and Bibliography of Directly Related Work 

Identify all key personnel involved in Phase II 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 II 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 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, and indicate the extent to which other proposals recently submitted or planned for submission in the year 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. However, for an STTR the PI can be primarily employed by either the SBC or the RI. Please see section 1.4.3 for further explanation.

Note: If the Phase II PI is different than that proposed under the Phase I, please provide rationale for the change.

Part 7: Phase III Efforts, Commercialization and Business Planning 

Present a plan for commercialization (Phase III) of the proposed innovation. Commercialization encompasses the transition of technology into products and services for NASA mission programs, other Government agencies and non-Government markets. The commercialization plan, at a minimum, shall address the following areas:

(1)    Market Feasibility and Competition: Describe (a) the target market(s) of the innovation and the associated product or service; (b) the competitive advantage(s) of the product or service; (c) key potential customers, including NASA mission programs and prime contractors; (d) projected market size (NASA, other Government and/or non-Government); (e) the projected time to market and estimated market share within five years from market-entry; and (f) anticipated competition from alternative technologies, products and services and/or competing domestic or foreign entities.

(2)    Commercialization Strategy and Relevance to the Offeror: Present the commercialization strategy for the innovation and associated product or service and its relationship to the SBC’s business plans for the next five years. Infusion into NASA missions and projects is an option for commercialization strategy.

(3)    Key Management, Technical Personnel and Organizational Structure: Describe: (a) the skills and experiences of key management and technical personnel in technology commercialization; (b) current organizational structure; and (c) plans and timelines for obtaining expertise and personnel necessary for commercialization.

(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 committed to the development and transition of the innovation into market-ready product or service. Describe the projected financial requirements and the expected or committed capital and funding sources necessary to support the planned commercialization of the innovation. Provide evidence of current financial condition (e.g., standard financial statements including a current cash flow statement).

(6)    Intellectual Property: Describe plans and current status of efforts to secure intellectual property rights (e.g., patents, copyrights, trade secrets) necessary to obtain investment, attain at least a temporally competitive advantage, and achieve planned commercialization.            

Part 8: Facilities/Equipment

General

In accordance with the Federal Acquisition Regulations (FAR) Part 45, it is NASA's policy not to provide services, equipment or facilities (resources) [capital equipment, tooling, test and computer facilities, etc.] for the performance of work under SBIR/STTR contracts. Generally, any contractor will furnish its own resources to perform the proposed work on the contract.

In all cases, the Contractor shall be responsible for any costs associated with services, equipment or facilities provided by a NASA or another Federal Department or Agency, and such costs shall result in no increase in the price of this contract.

Use of Federal Services, Facilities or Equipment

Federal Departments and Agencies:   

Use of SBIR funding for unique Federal/Non-NASA services, equipment or facilities from a Federal Department or Agency which does not meet the definition of a Federal laboratory as defined in the SBA Policy Directive on the SBIR/STIR Program, requires a waiver from the SBA.  Proposals requiring waivers must include an explanation of why the waiver is appropriate.  NASA will provide the offeror’s request, along with an explanation to SBA during the negotiation process. NASA cannot guarantee that a waiver can be obtained from SBA.  Specific proposal instructions to request use of Federal Services, Facilities or Equipment are in section 3.3 of the solicitation.  Note:  NASA Facilities qualify as Federal Laboratories.        

Agreement to Use Any Federal Facility: 

All offerors selected for award that require the use of any Federal Facility shall, within twenty (20) business days of notification of selection for negotiations, provide to the NASA Shared Services Center Contracting Officer an agreement by and between the Contractor and the appropriate Federal facility, executed by the Government official authorized to approve such use. The Agreement must delineate the terms of use, associated costs, facility responsibilities and liabilities.  Having a signed agreement for use of Federal Facilities is a requirement for award.

The offeror must execute an SBIR Use Agreement (http://sbir.gsfc.nasa.gov/sbir/firm_library/phase2_proposal.htm) before using any NASA Services, Facilities, or Equipment. The content of the SBIR Use Agreement is limited to the information necessary to ensure efficient administration of the reimbursable work because the terms and conditions for the relationship between the Government and the contractor are contained in any contract awarded pursuant to this solicitation.

Proposal Requirements for Use of Federal Services, Facilities or Equipment:

In cases where an offeror seeks to use NASA or another Federal Department or Agency services, equipment or facilities, the offeror shall provide the following:

a)       Statement, signed by the appropriate Government official at the effected Federal Department or Agency, verifying that the resources should be available during the proposed period of performance.  Offerors must upload this letter in Form C of their proposal.

b)      Signed letter on company letterhead from the contractor’s Small Business Official explaining why the SBIR/STTR research project requires the use of Federal services, equipment or facilities, including data that verifies the absence of non-Federal facilities or personnel capable of supporting the research effort, a statement confirming that the facility proposed is not a Federal laboratory if applicable, and the associated cost estimate.  Offerors must upload this letter in Form C of their proposal.

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 proposed. Subcontract costs shall be documented in the subcontractor/consultant budget section in Form C and supporting documentation should be uploaded for each (appropriate documentation is specified in Form C). Subcontractors' and consultants' work has the same place of performance restrictions as stated in section 1.4.2.

The following restrictions apply to the use of subcontracts/consultants:

SBIR Phase II Subcontracts/Consultants

STTR Phase II Subcontracts/Consultants

The proposed subcontracted business arrangements including consultants, must not exceed 50 percent of the research and/or analytical work (as determined by the total cost of the proposed subcontracting effort (to include the appropriate OH and G&A) in comparison to the total effort (total contract price including cost sharing, if any, less profit if any).      

A minimum of 40 percent of the research or analytical work must be performed by the proposing SBC and minimum of 30 percent must be performed by the RI. Any subcontracted business effort other than that performed by the RI, shall not exceed 30 percent of the research and/or analytical work (as determined by the total cost of the subcontracting effort (to include the appropriate OH and G&A) in comparison to the total effort (total contract price including cost sharing, if any, less profit if any).

                      

Example:             Total price to include profit - $725,000

                             Profit - $21,750

Total price less profit - $725,000 - $21,750 = $703,250

Subcontractor cost - $250,000

G&A - 5%

                             G&A on subcontractor cost - $250,000 x 5% = $12,500

                             Subcontractor cost plus G&A - $250,000 + $12,500 = $262,500

Percentage of subcontracting effort – subcontractor cost plus G&A / total price less profit - $262,500/$703,250 = 37.3%

 

For an SBIR Phase II this is acceptable since it is below the limitation of 50%.

 

For an STTR Phase II, where there is a subcontract with a company other than the RI, this is unacceptable since it is above 30% limitation.

Part 10: Potential Post Applications (Commercialization) 

Building upon section3.3.4, part 7; further specify the potential NASA and commercial applications of the innovation and the associated potential customers; such as NASA mission programs and projects, within target markets. Potential NASA applications include the projected utilization of proposed contract deliverables (e.g., prototypes, test units, software) and resulting products and services by NASA organizations and contractors.

Part 11a: Essentially Equivalent and Duplicate Proposals and Awards

WARNING – While it is permissible with proposal notification to submit identical proposals or proposals containing a significant amount of essentially equivalent work for consideration under numerous Federal program solicitations, it is unlawful to enter into funding agreements requiring essentially equivalent work. Offerors are at risk for submitting essentially equivalent proposals and therefore, are strongly encouraged to disclose these issues to the soliciting agency to resolve the matter prior to award. See Part 11b.

If an applicant elects to submit identical proposals or proposals containing a significant amount of essentially equivalent work under other Federal program solicitations, a statement must be included in each such proposal indicating:

(1)    The name and address of the agencies to which proposals were submitted or from which awards were received.

(2)    Date of proposal submission or date of award.

(3)    Title, number, and date of solicitations under which proposals were submitted or awards received.

(4)    The specific applicable research topics for each proposal submitted for award received.

(5)    Titles of research projects.

(6)    Name and title of principal investigator or project manager for each proposal submitted or award received.

A summary of essentially equivalent work information is also required on Form A.

Part 11b: Related Research and Development Proposals and Awards

All federal agencies have a mandate to reduce waste, fraud, and abuse in federally funded programs. The submission of essentially equivalent work and the acceptance of multiple awards for essentially equivalent work in the SBIR/STTR Program have been identified as an area of abuse and possibly fraud. SBIR/STTR funding agencies and the Office of the Inspector General are actively evaluating proposals and awards to eliminate this problem. Related research and development includes proposals and awards that do not meet the definition of “Essentially Equivalent Work”, but are related to the technology innovation in the proposal being submitted. Related research and development could be interpreted as essentially equivalent work by outside reviewers without additional information. Therefore, if you are submitting closely related proposals or your firm has closely related research and development that is currently or previously funded by NASA or other Federal agencies, it is to your advantage to describe the relationships between this proposal and related efforts clearly delineating why this should not be considered an essentially equivalent work effort. These explanations should not be longer than one page, will not be included in the page count, and will not be part of the technical evaluation of the proposal.

3.3.5 Research Agreement (Applicable for STTR proposals only) 

The Research Agreement (different from the Allocation of Rights Agreement) is a single-page document electronically submitted and endorsed by the SBC and Research Institution (RI). A model agreement is provided, or firms can create their own custom agreement. The Research Agreement should be submitted as required in section 6. This agreement counts as one page toward the 50-page limit.

3.3.6 Capital Commitments Addendum Supporting Phase II and Phase III 

Describe and document capital commitments from non-SBIR/STTR sources or from internal SBC funds for pursuit of Phase II and Phase III efforts. Offerors for Phase II contracts are strongly urged to obtain non-SBIR/STTR funding support commitments for follow-on Phase III activities and additional support of the Phase II from parties other than the proposing firm. Funding support commitments must show that a specific and substantial amount will be made available to the firm to pursue the stated Phase II and/or Phase III 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 a Phase III 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 II 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 II 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 II proposal. This addendum will not be counted against the 50-page limitation.

3.3.7 Briefing Chart 

A one-page briefing chart is required to assist in the ranking and advocacy of proposals prior to selection. Submission of the briefing chart is not counted against the 50-page limit, and shall not contain any proprietary data or ITAR restricted data. An electronic form will be provided during the submissions process.

3.3.8 Firm Level Certifications

Firm level certifications that are applicable across all proposal submissions submitted to this solicitation must be completed via the “Certifications” section of the Proposal Submission Electronic Handbook. The offeror shall answer Yes or No as applicable. An example of the certification can be found in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.

Note: The designated firm admin, typically the first person to register your firm, is the only individual authorized to update the certifications.

3.3.9 Audit Information

Although firms are not required to have an approved accounting system, knowledge that a firm has an approved accounting system facilitates NASA’s determination that rates are fair and reasonable.   To assist NASA, the SBC shall complete the questions regarding the firm’s rates and upload the Federal agency audit report or related information that is available from the last audit. There is a separate “Audit Information” section in Forms C that shall also be completed.  If your firm has never been audited by a federal agency, then answer "No" to the first question and you do not need to complete the remainder of the form.

The contracting officer will use this “Audit Information” to assist with negotiations if the proposal is selected for award. The contracting officer will advise offerors what is required to determine reasonable cost and/or rates in the event the “Audit Information” is not adequate to support the necessary determination on rates.

The audit information is not included in the 50-page limit. An electronic form will be provided during the submissions process.

Note: The designated firm admin, typically the first person to register your firm, is the only individual authorized to update the audit information.

3.3.10 Prior Awards Addendum

If the SBC has received more than 15 Phase II 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 II. If your firm has received any SBIR or STTR Phase II awards, even if it has received fewer than 15 in the last 5 years, it is still recommended that you complete this form for those Phase II awards your firm did receive. This information will be useful when completing the Commercialization Metrics Survey, and in tracking the overall success of the SBIR and STTR programs. Any NASA Phase II awards your firm has received will be automatically populated in the electronic form, as are any Phase II awards previously entered by the SBC during prior submissions (you may update the information for these awards). The addendum is not included in the 50-page limit. An electronic form will be provided during the submissions process.

Note: The designated firm admin, typically the first person to register your firm, is the only individual authorized to update the addendum information.

3.3.11 Commercial Metrics Survey

NASA has instituted a comprehensive commercialization survey/data gathering process for firms with prior NASA SBIR/STTR awards. If the SBC has received any Phase III awards resulting from work on any NASA SBIR or STTR awards, provide the related Phase I or Phase II contract number, name of Phase III awarding agency, date of award, funding agreement number, amount, project title, and period of performance. The survey will also ask for firm sales and ownership information, as well as any commercialization success the firm has had as a result of Phase II SBIR or STTR awards. This information will allow firms to demonstrate their ability to carry SBIR/STTR research through to achieve commercial success, and allow agencies to track the overall commercialization success of their SBIR and STTR programs. The survey is not included in the 50-page limit and content should be limited to information requested above. An electronic form will be provided during the submissions process.

Note: Information received from SBIR/STTR awardees completing the survey is kept confidential, and will not be made public except in broad aggregate, with no firm-specific attribution. The Commercialization Metrics Survey is a required part of the proposal submissions process and must be completed via the Proposal Submission Electronic Handbook

3.3.12 Contractor Responsibility Information

No later than 10 business days after the notification of selection for negotiations the offeror shall provide a signed statement from your financial institution(s), on its letterhead, stating whether or not your firm is in good standing and how long you have been with the institution.

3.3.13 Allocation of Rights Agreement (STTR awards only)

No more than 10 business days after the notification of selection for negotiation, the offeror should provide to the Contracting Officer, a completed Allocation of Rights Agreement (ARA), which has been signed by authorized representatives of the SBC, RI and subcontractors and consultants, as applicable. The ARA shall state the allocation of intellectual property rights with respect to the proposed STTR activity and planned follow-on research, development and/or commercialization. A sample ARA is available in the NASA SBIR/STTR Firm Library http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html of this Solicitation.

 

If the ARA form is completed and available at the time of submission, offers should upload it in Form C, which will help to expedite contract negotiations.