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

Both the SBIR and STTR Programs are divided into three funding and development stages. These three phases are described in detail on the NASA SBIR/STTR website: http://sbir.nasa.gov/content/nasa-sbirsttr-basics.

Phase I and II

Maximum value and period of performance for Phase I and Phase II contracts:

Post-Phase II Opportunities for Continued Technology Development

The NASA SBIR/STTR Program has two initiatives for supporting its small business partners beyond the basic Phase II award.  These are the Phase II Extended (Phase II-E) contract option and the Civilian Commercialization Readiness Pilot Program (CCRPP) contract. 

Please refer to http://sbir.nasa.gov/content/post-phase-ii-initiatives for eligibility, application deadlines, matching requirements and further information.

Phase III

Phase III is the commercialization of innovative technologies, products and services resulting from either a Phase I or Phase II contract. This includes further development of technologies for transition into NASA programs, other government agencies or the private sector. Phase III contracts are funded from sources other than the SBIR and STTR programs and may be awarded without further competition.

Please refer to http://sbir.nasa.gov/content/post-phase-ii-initiatives for Phase III information.

1.5.1 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.

1.5.2 Place of Performance 

Research/Research & Development (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, 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.

Note: NASA will not approve purchases from or work with countries that appear on the list of Designated Countries. For reference, please visit https://oiir.hq.nasa.gov/nasaecp/ - Designated Countries List

1.5.3 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 Research Institution (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 full-time workweek to be nominally 40 hours and we consider a 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.

 1.5.4 Restrictions on Venture Capital-owned Businesses

At the current time, small businesses owned in majority part by multiple venture capital operating companies, hedge funds or private equity firms are not eligible to submit proposals to the NASA SBIR/STTR Solicitation.

1.5.5 Joint Ventures and Limited Partnerships

Both joint ventures and limited partnerships are permitted, provided the entity created qualifies as an SBC in accordance with the definition of an SBC here: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions.  A statement of how the workload will be distributed, managed and charged should be included in the proposal. A copy or comprehensive summary of the joint venture agreement or partnership agreement should be included on the Technical Proposal upload page.

1.5.6 Required Benchmark Transition Rate

The Transition Rate requirement applies only to SBIR and STTR Phase I applicants that have received more than 20 Phase I awards over the past five fiscal years, excluding the most recently completed fiscal year. To be eligible for a NASA Phase I SBIR or STTR award, the applicant must meet the Phase I to Phase II Transition Rate Benchmark as required by the SBIR/STTR Reauthorization Act of 2011 and extended by the Fiscal Year 2017 National Defense Authorization Act. Companies with more than 20 Phase I awards during the past five years can view their Transition Rate if they log onto their Company Registry account at www.sbir.gov. For these companies, the benchmark establishes a minimum number of Phase II awards the company must have received for a given number of Phase I awards received during the five-year time period in order to be eligible to receive a new Phase I award.

On June 1 of each year, the SBA assesses SBIR/STTR awardees using SBIR and STTR award information across all federal agencies reported on www.sbir.gov to determine if they meet the benchmark requirements. Companies that failed to meet the transition rate benchmark on June 1, 2018 are not eligible to submit a Phase I proposal during the period June 1, 2018 through May 31, 2019.  Companies were notified by the SBA if they failed to meet the benchmark.

More information on the Transition Rate requirements is available at https://www.sbir.gov/faqs/performance-benchmarks. 

The NASA SBIR/STTR Program is partnering with the National Science Foundation (NSF) to offer the NSF Innovation Corps Program (I-Corps ™) (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 3.3.6. 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 42 grants to SBIR and STTR Phase I contractors. The amount of funding is up to $25,000 for the full I-Corps Program for STTR firms, and up to $10,000 for the shortened version for SBIR firms.

The purpose of the NASA Mentor-Protégé Program (MPP) is to provide incentives to NASA contractors, performing under at least one active approved subcontracting plan negotiated with NASA, to assist protégés in enhancing their capabilities to satisfy NASA and other contract and subcontract requirements. The NASA MPP, established under the authority of Title 42, U.S.C., 2473(c)(1) and managed by the Office of Small Business Programs (OSBP), includes an Award Fee Pilot Program.  Under the Award Fee Pilot Program, a mentor is eligible to receive an award fee at the end of the agreement period based upon the mentor’s performance of providing developmental assistance to an active SBIR/STTR Phase II contractor in a NASA Mentor-Protégé agreement (MPA).

The evaluation criterion is based on the amount and quality of technology transfer and business development skills that will increase the protégé’s Technology Readiness Levels (TRLs). TRLs measure technology readiness on a scale of 1 to 9. A mentor should attempt to raise the TRL of the protégé and outline the goals and objectives in the MPA and the award fee plan. A separate award fee review panel set up by NASA OSBP will use the semiannual reports, annual reviews and the award fee plan in order to determine the amount of award fee given at the end of the performance period of the agreement.

For more information on the Mentor-Protégé Program please visit: http://www.osbp.nasa.gov/mpp/index.html. 

1.11.1 Means of Contacting NASA SBIR/STTR Program 

1. NASA SBIR/STTR Website: http://sbir.nasa.gov
2. Help Desk: The NASA SBIR/STTR Help Desk can answer any questions regarding clarification of proposal instructions and any administrative matters. Please contact the NASA SBIR/STTR Helpdesk at sbir@reisystems.com.
   • The requestor must provide the name and telephone number of the person to contact, the organization name and address, and the specific questions or requests.
3. NASA SBIR/STTR Program Manager: Specific information requests that could not be answered by the Help Desk should be emailed to: ARC-SBIR-PMO@mail.nasa.gov

1.11.2 Questions about this Solicitation  

To ensure fairness, questions relating to the intent and/or content of research topics in this Solicitation cannot be addressed during the open solicitation period. Only questions requesting clarification of proposal instructions and administrative matters will be addressed. 

The cut-off date and time for receipt of Phase I solicitation procurement related questions and answers is 5:00 p.m. Eastern, March 22, 2019.   

The cut-off date and time for receipt of Phase II solicitation procurement related questions and answers is seven calendar days prior to the end of the Phase I contract.