2024 SBIR Phase I Solicitation Final.pdf

National Aeronautics and Space Administration

Small Business Innovation Research (SBIR)

Phase I Fiscal Year 2024 Solicitation

Proposal Package Due Date and Time:

March 11, 2024 - 5:00 p.m. ET

Contents Executive Summary

1. Program Description

1.1 Legislative Authority and Background

1.1.1 Due Diligence Program to Assess Security Risks

1.2 Purpose and Priorities

1.3 Three-Phase Program

1.4 Availability of Funds

1.5 Eligibility Requirements

1.5.1 Small Business Concern (SBC)

1.5.2 SBC Size

1.5.3 SBIR Restrictions on Level of Small Business Participation

1.5.4 Place of Performance and American-made Products and Equipment

1.5.5 Principal Investigator (PI) Employment Requirement

1.5.6 Restrictions on Venture-Capital-Owned Businesses

1.5.7 Joint Ventures or Limited Partnerships

1.5.8 Required Benchmark Transition Rate

1.6 NASA Technology Available (TAV) for SBIR Use

1.6.1 Use of NASA Software

1.6.2 Use of NASA Patent

1.7 I-Corps™

1.8 Technical and Business Assistance (TABA)

1.9 Small Business Administration (SBA) Applicant Resources

1.10 Fraud, Waste and Abuse and False Statements

1.11 NASA Procurement Ombudsman Program

1.12 General Information

1.12.1 Questions About This Solicitation and Means of Contacting NASA SBIR Program

1.13 Definitions

2. Registrations, Certifications and Other Information

2.1 Small Business Administration (SBA) Company Registry

2.2 System for Award Management (SAM) Registration

2.3 Certifications

2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries

2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses

2.5 Software Development Standards

2.6 Human and/or Animal Subject

2.7 Flight Safety Standards

2.8 HSPD-12

3. Proposal Preparation Instructions and Requirements

3.1 Requirements to Submit a Phase I Proposal Package

3.1.1 General Requirements

3.1.2 Format Requirements

3.1.3 Proposal Package

3.1.3.1 Proposal Contact Information Form

3.1.3.2 Proposal Certifications Form

3.1.3.3 Proposal Summary Form

3.1.3.4 Proposal Budget Form

3.1.3.5 Technical Proposal

3.1.3.6 Briefing Chart

3.1.3.7 NASA Evaluation License Application, only if TAV is being proposed

3.1.3.8 Request for Technical and Business Assistance (TABA) Supplement at Phase I

3.1.3.9 I-Corps Interest Form

3.1.3.10 SBC Level Forms

3.2 Multiple Proposal Submissions

3.3 Understanding the Patent Landscape

3.4 Proprietary Information in the Proposal Submission

3.5 Release of Certain Proposal Information

4. Method of Selection and Evaluation Criteria

4.1 Phase I Selection Process and Evaluation Criteria

4.1.1 Administrative Review

4.1.2 Technical Responsiveness

4.1.3 Technical Evaluation Criteria

4.1.4 Price Evaluation

4.2 Scoring of Factors and Weighting to Determine the Most Highly Rated Proposals

4.3 Prioritization

4.4 Selection

4.5 I-Corps Evaluation Process

4.6 Technical and Business Assistance (TABA)

4.7. Access to Proprietary Data by Non-NASA Personnel

4.7.1 Non-NASA Reviewers

4.7.2 Non-NASA Access to Confidential Business Information

4.8 Notification and Feedback to Offerors

4.8.1 Phase I Feedback

5. Considerations for Contracting and Additional Information

5.1 Requirements for Negotiations

5.2 Requirements for Contracting

5.2 Awards

5.2.1 Anticipated number of Awards

5.2.2 Award Conditions

5.2.3 Type of Contract

5.2.4 Model Contracts

5.3 Reporting and Required Deliverables

5.4 Payment Schedule

5.5 Profit or Fee

5.6 Cost Sharing

5.7 Rights in Data Developed Under SBIR Funding Agreements

5.8 Copyrights

5.9 Invention Reporting, Election of Title, Patent Application Filing, and Patents

5.10 Government-Furnished and Contractor-Acquired Property

5.11 Essentially Equivalent Awards and Prior Work

5.12 Additional Information

5.12.1 Precedence of Contract Over this Solicitation

5.12.2 Evidence of Contractor Responsibility

5.13 Use of Government Resources

5.14 Agency Recovery Authority and Ongoing Reporting

6. Submission of Proposals

6.1 How to Apply for SBIR Phase I

6.1.1 Electronic Submission Requirements via the ProSAMS

6.1.2 Deadline for Phase I Proposal Package

6.1.3 Proposal Package Submission

6.1.4 Acknowledgment of a Proposal Package Receipt

6.1.5 Withdrawal of Proposal Packages

6.1.6 Service of Protests

7. Proposal, Scientific and Technical Information Sources

7.1 NASA Organizational and Programmatic Information

7.2 United States Small Business Administration (SBA)

7.3 National Technical Information Service

8. Submission Forms

8.1 SBIR Phase I Checklist

9. Research Subtopics for SBIR

Appendix A: Technology Readiness Level (TRL) Descriptions

Appendix B: SBIR and the Technology Taxonomy

Appendix C: List of NASA SBIR Phase I Clauses, Regulations and Certifications

Fiscal Year 2024 SBIR Phase I Solicitation

Executive Summary This solicitation sets the requirements for you, the offeror, to submit a proposal to NASA for Small Business Innovation Research (SBIR) Program Phase I projects in fiscal year (FY) 2024. Chapters 1-8 contain the objectives, deadlines, funding information, eligibility criteria, and instructions to submit a proposal package. Chapter 9 contains research and technology topics, categorized by focus areas and subtopics.

The NASA SBIR program supports small businesses to create innovative, disruptive technologies that benefit society and may be used in NASA programs and missions, other government agencies, and/or sold in commercial markets. Different from most investors, the NASA SBIR Program provides equity-free funding for early or "seed" stage research and development.

Important considerations:

Ensure you have the following registrations complete and up to date. If you are not registered, NASA recommends you start immediately.

• SAM.gov registration at https://sam.gov/. You must have a unique Entity Identifier (UEI)

• Registration with the SBIR Firm Registry at https://www.sbir.gov/registration

You must use the Proposal Submissions and Award Management System (ProSAMS) to submit a proposal package. ProSAMS requires firm registration and login and provides a secure connection. To access ProSAMS, go to https://prosams.nasa.gov/. Agencies must assess the security risks presented by offerors with financial ties or obligations to certain foreign countries. SBIR programs may not make awards to businesses with certain connections to foreign entities. See sections 1.1.1 Due Diligence Program to Assess Security Risks and 2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries for additional details.

https://sam.gov/ https://www.sbir.gov/registration https://prosams.nasa.gov/

1. Program Description

1.1 Legislative Authority and Background

Congress created the Small Business Innovation Research (SBIR) program to support scientific excellence and technological innovation through the investment of federal research funds. The purpose of this investment is to build a strong national economy, strengthen the role of small business in meeting federal research and development needs, increase the commercial application of research results, and foster and encourage participation by socially and economically disadvantaged and women-owned small businesses.

The Small Business Administration (SBA) provides policy through the combined Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs. The SBIR and STTR Extension Act of 2022 amended the Small Business Act (15 U.S.C. 638) to extend the SBIR and STTR programs until September 30, 2025.

1.1.1 Due Diligence Program to Assess Security Risks

The SBIR and STTR Extension Act of 2022 requires NASA, in coordination with the SBA, to establish and implement a due diligence program to assess security risks presented by offerors seeking a federally funded award. As noted above, the NASA SBIR/STTR Programs follow the policies and practices of the SBA SBIR/STTR Policy Directive. Revisions to the Policy Directive are in effect as of May 3, 2023, and can be viewed through the Federal Register Notice. This revision is incorporated into this solicitation, including Appendix III, “Disclosures of Foreign Affiliations or Relationships to Foreign Countries” as reflected in the Disclosures of Foreign Affiliations or Relationships to Foreign Countries form (see section 2.3.1).

In accordance with Section 4 of the SBIR and STTR Extension Act of 2022, NASA will review all proposals submitted in response to this solicitation to assess security risks presented by offerors seeking an SBIR or STTR award. NASA will use information provided by the offeror in response to the Disclosures of Foreign Affiliations or Relationships to Foreign Countries form and the proposal to conduct a risk-based due diligence review on the cybersecurity practices, patent analysis, employee analysis, and foreign ownership of a small business concern, including the financial ties and obligations (which shall include surety, equity, and debt obligations) of the offeror and its employees to a foreign country, foreign person, or foreign entity.

1.2 Purpose and Priorities

This solicitation sets the requirements for you, the offeror, to submit a proposal to NASA for Small Business Innovation Research (SBIR) Program Phase I projects in fiscal year (FY) 2024. NASA will release its FY 2024 Phase I SBIR solicitation on January 9, 2024. You must submit completed proposal packages by Monday, March 11, 2024, 5:00 p.m. Eastern.

The Space Technology Mission Directorate (STMD) directs implementation of the NASA SBIR and STTR programs. The NASA SBIR/STTR Program Management Office (PMO), hosted at the NASA Ames Research Center, operates the programs together with NASA mission directorates and centers. The NASA Shared Services Center (NSSC) manages SBIR and STTR procurements.

https://www.congress.gov/bill/117th-congress/senate-bill/4900/text https://www.congress.gov/bill/117th-congress/senate-bill/4900/text https://www.sbir.gov/about https://www.federalregister.gov/documents/2023/04/03/2023-06870/small-business-innovation-research-program-and-small-business-technology-transfer-program-policy

Each year NASA mission directorates, programs, and projects identify the research problems and technology needs that the SBIR program will solicit. The range of problems and technologies is broad, and the list of research subtopics varies from year to year to maintain alignment with current interests.

For details on the research subtopic descriptions by Technology Taxonomy, see chapter 9.

1.3 Three-Phase Program

NASA SBIR projects advance through three phases and are described in detail on the NASA SBIR/STTR website: https://sbir.nasa.gov/.

Phase I Phase I projects should demonstrate technical feasibility of the proposed innovation and the potential for use in a NASA program or mission and/or the commercial market. The NASA SBIR Program does not make awards solely directed toward system studies, market research, routine engineering, development of existing product(s), proven concepts, or modifications of existing products without substantive innovation.

Maximum value and period of performance (POP) for Phase I:

Phase I Contracts SBIR Maximum Contract Value $150,000 Period of Performance 6 months

Phase II Phase II proposals continue the research and development started in Phase I to bring the innovation closer to use in a NASA program or mission and/or the commercial market. Phase II requires a more detailed proposal of the technical effort and commercialization strategy. Only Phase I awardees are eligible to submit a Phase II proposal at the conclusion of the Phase I contract. NASA will publish a separate solicitation for Phase II proposals.

Phase II Contracts SBIR Maximum Contract Value $850,000 Maximum Period of Performance 24 months

Post-Phase II Opportunities for Continued Technology Development Phase I and II awards may not be sufficient in either dollars or time to prepare the project for government or commercial use. Therefore, NASA supports small businesses beyond Phase I and II awards with several Post Phase II initiatives. Please refer to the NASA SBIR/STTR website for eligibility, application deadlines, matching requirements and further information.

Phase III SBIR awardees are eligible to receive sole-source Phase III contracts any time after award of their Phase I contracts. In Phase III, customers outside the SBIR and STTR programs—including NASA programs, other government agencies, or the private sector—fund the further development or use of innovative https://sbir.nasa.gov/ technologies, products, and services resulting from either a Phase I or Phase II award. Please refer to the NASA SBIR/STTR website for Phase III information.

1.4 Availability of Funds

NASA does not commit to fund any proposal or to make a specific number of awards. NASA may elect to make several or no awards in any specific research subtopic. NASA will determine the number of awards based on the level of appropriated funding provided to the program in FY 2024.

NASA will not accept more than 10 proposal packages from any one offeror. NASA does not plan to award more than five (5) SBIR contracts to any offeror. See sections 3.2 and chapter 4.

1.5 Eligibility Requirements

1.5.1 Small Business Concern (SBC)

You must submit a certification stating that the SBC meet the size, ownership, and other requirements of the SBIR program at the time of proposal package submission, award, and at any other time set forth in SBA’s regulations at 13 CFR §§ 121.701-121.705. NASA encourages socially and economically disadvantaged and women-owned SBCs to propose.

1.5.2 SBC Size

You, combined with affiliates, must not have more than 500 employees.

1.5.3 SBIR Restrictions on Level of Small Business Participation You must be the primary performer of the proposed research effort. To be awarded an SBIR Phase I contract, you must perform at least two-thirds or 67% of the effort, and subcontractors or consultants may perform up to one-third or 33% of the effort.

1.5.4 Place of Performance and American-made Products and Equipment Congress intends that the Awardee of a Funding Agreement under the SBIR/STTR program should, when purchasing any equipment or a product with funds provided through the Funding Agreement, purchase only American-made equipment and products, to the extent possible, in keeping with the overall purposes of this program.

If a rare and unique circumstance exists (for example, if a supply, material, equipment, product, subcontractor/ consultant, or project requirement is not available in the United States), NASA requires you to provide justification by completing the Foreign Vendor Form. This form must be submitted within the Proposal Budget Form, see section 3.1.3.4. NASA will consider a deviation request during contract negotiation and either approve or decline before award.

If a foreign vendor is proposed, the Phase I contract may be delayed or not awarded.

NASA will not approve purchases from or work with countries that appear on the Designated Country list. For reference, please see https://www.nasa.gov/oiir/export-control.

https://www.govinfo.gov/content/pkg/CFR-2013-title13-vol1/pdf/CFR-2013-title13-vol1-sec121-702.pdf https://www.nasa.gov/oiir/export-control

1.5.5 Principal Investigator (PI) Employment Requirement

Requirements SBIR Primary Employment

Principal investigator must be primarily employed with the SBC

Employment Certification

For Phase I, the principal investigator must be primarily employed with the SBC at the time of award and during the conduct of the proposed project. Primary employment means that more than one-half of the PI employment time is spent in the employ of the SBC, based on a 40-hour workweek. NASA considers a 19.9-hour or more workweek elsewhere to conflict with this rule.

Co-PIs Not allowed Deviation Request NASA will review any deviation requests during negotiation and either approve or decline before award.

Misrepresentation of Qualifications

If you mispresent qualifications, NASA will decline the proposal package or terminate the contract.

Substitution of PIs To substitute PIs, you must request approval from NASA after award

1.5.6 Restrictions on Venture-Capital-Owned Businesses

Small businesses owned in majority part by multiple venture capital operating companies, hedge funds, or private equity firms are not eligible to submit a proposal to this solicitation.

1.5.7 Joint Ventures or Limited Partnerships

Both joint ventures and limited partnerships are permitted, provided the entity created qualifies as an SBC as defined in 1.5.1. Include in the proposal package a copy or summary of the joint venture or partnership agreement that includes, at a minimum, a statement of how the workload will be distributed, managed, and charged. See definitions for Joint Ventures along with examples at 13 CFR 121.103(h).

1.5.8 Required Benchmark Transition Rate

More experienced firms (SBCs with 21 or more Phase I awards) must meet performance benchmark requirements to continue participating in SBIR and STTR programs. The purpose of these benchmarks is to ensure that Phase I offerors that have won multiple prior SBIR and STTR awards are progressing towards commercialization. SBA will notify companies failing the benchmarks as well as the relevant officials at participating agencies like NASA.

Please refer to https://www.sbir.gov/performance-benchmarks for more information.

1.6 NASA Technology Available (TAV) for SBIR Use

You may use technology developed by NASA, or Technology Available (TAV), on SBIR projects.

NASA has over 1,400 patents available for licensing, including many patents related to sensors and materials, and over 1,000 available software applications/tools in the Portfolio and Software Catalog via the NASA Technology Transfer Portal, http://technology.nasa.gov.

NASA provides these technologies "as is" and makes no representation or guarantee that additional effort will result in infusion or commercial viability. Whether or not an offeror proposes the use of a NASA https://www.govinfo.gov/content/pkg/CFR-2013-title13-vol1/pdf/CFR-2013-title13-vol1-sec121-103.pdf https://www.sbir.gov/performance-benchmarks https://www.sbir.gov/performance-benchmarks http://technology.nasa.gov/ patent or computer software within its proposed effort will not in any way be a factor in the selection for award.

1.6.1 Use of NASA Software

If you intend to use NASA software, a Software Usage Agreement (SUA), on a nonexclusive, royalty-free basis, is necessary, and the clause at 48 C.F.R. 1852.227-88, Government-Furnished Computer Software and Related Technical Data, will apply to the contract. Awardees will request the SUA from the appropriate NASA Center Software Release Authority (SRA) after contract award.

1.6.2 Use of NASA Patent

If you intend to use a NASA patent, you must apply for a nonexclusive, royalty-free evaluation license prior to submitting a proposal. After you have identified a patent to license in the NASA patent portfolio (http://technology.nasa.gov), click the link on the patent webpage (“Apply Now to License this Technology”) to NASA’s Automated Licensing System (ATLAS) to finalize your license with the appropriate field center technology transfer office. You must provide the completed evaluation license application with the proposal following the directions in section 3.1.3.7.

The evaluation license will automatically terminate at the end of the SBIR contract. License applications are treated in accordance with federal patent licensing regulations in 37 CFR Part 404. In addition to an evaluation license, if the proposed work includes the making, using, or selling of products or services incorporating a NASA patent, successful awardees will be given the opportunity to negotiate a nonexclusive commercialization license or, if available, an exclusive commercialization license to the NASA patent. Commercialization licenses are also provided in accordance with 37 CFR Part 404.

An SBIR awardee that has been granted a nonexclusive, royalty-free evaluation license to use a NASA patent under the SBIR award may, if available and on a noninterference basis, also have access to NASA personnel knowledgeable about the NASA patent. Licensing executives located at the appropriate NASA field center will be available to assist awardees requesting information about a patent that was identified in the SBIR contract and, if available and on a noninterference basis, provide access to the inventor or surrogate for the purpose of knowledge transfer.

Access to the inventor for the purpose of knowledge transfer will require the requestor to enter into a non-disclosure agreement (NDA) or other agreement, such as a Space Act Agreement. The awardee may be required to reimburse NASA for knowledge transfer activities. This is a time-consuming process and therefore, NASA does not recommend it for Phase I projects.

1.7 I-Corps™

NASA partners with the National Science Foundation (NSF) to give Phase I awardees the opportunity to participate in the NSF Innovation Corps (I-Corps™) program. I-Corps enables you to conduct customer discovery to learn your customers' needs, to obtain a better understanding of your company's value proposition, and to develop an outline of a business plan for moving forward. This training is designed to lower the market risk inherent in bringing a product or innovation to market, thereby improving the chances for a viable business. For more information on the NASA I-Corps program, visit the NASA SBIR/STTR website.

If you are selected for Phase I contract negotiations, you will be provided the opportunity to opt into and participate in the NASA SBIR/STTR I-Corps program as indicated in section 3.1.3.9.

The amount of funding is up to $10,000 to support participation in the shortened I-Corps version for SBIR awardees. I-Corps awards will be made separately with a modification to the Phase I contract.

1.8 Technical and Business Assistance (TABA)

Under the Small Business Act, you may request a Technical and Business Assistance (TABA) supplement up to $6,500 above the award amount of the Phase I contract. At Phase II, you may request a TABA supplement up to $50,000. If your project is selected for award and the TABA supplement is authorized by NASA, you must use the TABA supplement to contract with one or more vendors to receive services to assist in:

• Making better technical decisions concerning this SBIR project

• Solving technical problems that arise during the conduct of this SBIR project

• Minimizing technical risks associated with this SBIR project

• Commercializing new products and processes resulting from this SBIR project

TABA may include, for example:

• Access to a network of non-NASA scientists and engineers

• Assistance with product sales

• Intellectual property (IP) protections

• Market research

• Market validation

• Development of regulatory and manufacturing plans

• Access to technical and business literature available through online databases

TABA vendors may include private commercialization assistance or business development service providers, public-private partnerships, other entrepreneurial support organizations (ESOs), and attorneys or other IP or licensing professionals. TABA funds may not be used to fund activities conducted internally by the small business awardee.

For information on how to request a TABA supplement at Phase I, please see section 3.1.3.8, Request for Use of Technical and Business Assistance Funds. NASA does not guarantee approval of requests for a TABA supplement. Awardees who receive a TABA supplement must deliver a description of services obtained, and results at completion of their Phase I contract. For reference, see https://www.sbir.gov/node/2088581.

1.9 Small Business Administration (SBA) Applicant Resources

The SBA works with several local partners of various organizational types to train and support potential SBIR/STTR applicants around the country from proposal assistance to SAM registration, and commercialization support to industry connections. To find local assistance visit:

https://www.sbir.gov/local-assistance.

To find out more information on the specific types of SBA federal resources available, visit:

https://www.sbir.gov/resources.

https://www.govinfo.gov/content/pkg/COMPS-1834/pdf/COMPS-1834.pdf https://www.sbir.gov/node/2088581 https://www.sbir.gov/local-assistance https://www.sbir.gov/resources

1.10 Fraud, Waste and Abuse and False Statements

Fraud is “any false representation about a material fact or any intentional deception designed to deprive the United States unlawfully of something of value or to secure from the United States a benefit, privilege, allowance, or consideration to which an individual or business is not entitled.”

NASA reserves the right to decline any proposal packages that include plagiarism and false claims.

Further, 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., section 1001), punishable by a fine and imprisonment of up to 5 years in prison. The Office of the Inspector General (OIG) has full access to all proposal packages submitted to NASA.

Pursuant to NASA policy, any company representative who observes crime, fraud, waste, abuse, or mismanagement or receives an allegation of crime, fraud, waste, abuse, or mismanagement from a federal employee, contractor, grantee, contractor, grantee employee, or any other source will report such observation or allegation to the OIG. NASA contractor employees and other individuals are also encouraged to report crime, fraud, waste, and mismanagement in NASA's programs to the OIG. The OIG offers several ways to report a complaint:

NASA OIG Hotline: 1-800-424-9183 (TDD: 1-800-535-8134)

NASA OIG Cyber Hotline: https://oig.nasa.gov/cyberhotline.html

Or by mail:

NASA Office of Inspector General P.O. Box 23089 L'Enfant Plaza Station Washington, DC 20026

1.11 NASA Procurement Ombudsman Program

The NASA Procurement Ombudsman Program is available under this solicitation as a procedure for addressing concerns and disagreements concerning the terms of the solicitation, the processes used for evaluation of proposal packages, or any other aspect of the SBIR procurement. The clause at NASA Federal Acquisition Regulation (FAR) Supplement (NFS) 1852.215-84 (“Ombudsman”) is incorporated into this solicitation.

The cognizant ombudsman is:

Marvin Horne, Procurement Ombudsman Office of Procurement NASA Headquarters Washington, DC 20546-0001 Telephone: 202-358-4483 Email: nhq-dl-op-comp-advocate-vendor-engagement@mail.nasa.gov

In accordance with NFS 1852.215-84, the ombudsman does not participate in any way with the evaluation of proposal packages, the source selection process, or the adjudication of formal contract disputes.

Therefore, before consulting with the ombudsman, you must first address your concerns, issues, https://oig.nasa.gov/cyberhotline.html mailto:nhq-dl-op-comp-advocate-vendor-engagement@mail.nasa.gov disagreements, and/or recommendations to the Contracting Officer for resolution. The process set forth in this solicitation provision (and described at NFS 1852.215-84) does not change your right to file a bid protest or the period in which to timely file a protest.

1.12 General Information

1.12.1 Questions About This Solicitation and Means of Contacting NASA SBIR Program To ensure fairness, NASA will not answer questions about the intent and/or content of research subtopics in this solicitation during the open solicitation period.

If you have questions requesting clarification of proposal package instructions and administrative matters, refer to the NASA SBIR/STTR website or contact the NASA SBIR/STTR Helpdesk. The Helpdesk will not guarantee a timely answer to questions received after March 4, 2024, at 5:00 p.m. ET.

1. NASA SBIR/STTR Website: http://sbir.nasa.gov

2. Helpdesk:

a. Email: agency-sbir@mail.nasa.gov

b. You must provide the name and telephone number of the person to contact, the organization name and address, and the specific questions or requests.

1.13 Definitions

NASA strongly encourages you to review the list of definitions available at http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions. These definitions include those from the combined SBIR/STTR Policy Directives as well as terms specific to NASA.

http://sbir.nasa.gov/ mailto:sbir@reisystems.com http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions

2. Registrations, Certifications and Other Information

2.1 Small Business Administration (SBA) Company Registry

You must register with SBA’s Company Registry and update your commercialization status. See https://www.sbir.gov/registration. You must provide your unique SBC Control ID (assigned by SBA upon completion of the Company Registry registration) and upload a PDF copy of the SBA Company Registry registration with the Firm Certification From.

2.2 System for Award Management (SAM) Registration

SAM, maintained by the GSA’s Federal Acquisition Service, is the primary repository for contractor information required to conduct business with NASA. To be registered in SAM, all mandatory information, including the Unique Entity Identifier (UEI) and a Commercial and Government Entity (CAGE) code, must be validated in SAM. You may obtain information on SAM registration and annual confirmation requirements at https://sam.gov/content/home or by calling 866-606-8220.

You must start the registration process with SAM prior to submitting a proposal package. To be eligible for SBIR awards, you must have an active SAM registration under North American Industry Classification System (NAICS) code 541713 or 541715 at the time of proposal selection.

If you do not have an active SAM registration at the time of proposal selection, you will be ineligible for award. If you have started the registration process but did not complete the registration by the time of proposal selection, you will be ineligible for award.

If you are not registered, you should consider applying for registration immediately upon receipt of this solicitation. Typically, SAM registration and updates to SAM registration take several weeks. NASA recommends to list Purpose of Registration as “All Awards” on your SAM Registration.

2.3 Certifications

You must complete the Firm and Proposal Certifications by answering “Yes” or “No” to certifications as applicable in the Proposal Submissions and Award Management System (ProSAMS). Carefully read each of the certification statements. The Federal Government relies on the information to determine whether you are eligible for a SBIR program award. ProSAMS requires firm registration and login. To access ProSAMS, go to https://prosams.nasa.gov.

NASA uses a similar certification to ensure continued compliance with specific program requirements at time of award and at the time of final payment. The definitions for the terms used in this certification are set forth in the Small Business Act, SBA regulations (13 CFR Part 121), the SBIR/STTR Policy Directives, and any statutory and regulatory provisions referenced in those authorities.

For Phase I awards, in addition to invoice certifications and as a condition for payment, a life cycle certification shall be completed in ProSAMS. The life cycle certification shall be completed along with the final invoice certification before uploading the final invoice in the Department of Treasury’s Invoice Processing Platform (IPP).

https://www.sbir.gov/registration https://sam.gov/content/home

If the Contracting Officer believes that you may not meet certain eligibility requirements for award, they may request you provide clarification or supporting documentation. If the Contracting Officer still believes you are not eligible, you must file a size protest with the SBA, who will determine eligibility.

2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries You must complete the “Disclosures of Foreign Affiliations or Relationships to Foreign Countries” form as part of your proposal submission. Even if you do not have any foreign relationships, you must complete this form to represent that such relationships do not exist. If you do not submit this form, NASA will decline your proposal during the administrative screening process, and it will not be evaluated.

Foreign involvement or investment does not independently disqualify you but failing to disclose such affiliations or relationships may result in denial of an award.

The disclosures require the following information:

(A) the identity of all owners and covered individuals of the small business concern who are a party to any foreign talent recruitment program of any foreign country of concern, including the People’s Republic of China;

(B) the existence of any joint venture or subsidiary of the small business concern that is based in, funded by, or has a foreign affiliation with any foreign country of concern, including the People’s Republic of China;

(C) any current or pending contractual or financial obligation or other agreement specific to a business arrangement, or joint venture-like arrangement with an enterprise owned by a foreign state or any foreign entity;

(D) whether the small business concern is wholly owned in the People’s Republic of China or another foreign country of concern;

(E) the percentage, if any, of venture capital or institutional investment by an entity that has a general partner or individual holding a leadership role in such entity who has a foreign affiliation with any foreign country of concern, including the People’s Republic of China;

(F) any technology licensing or intellectual property sales to a foreign country of concern, including the People’s Republic of China, during the five-year period preceding submission of the proposal;

and

(G) any foreign entity, offshore entity, or entity outside the United States related to the small business concern.

After reviewing the above listed disclosures, and if determined appropriate by NASA, the program may ask you to provide true copies of any contractual or financial obligation or other agreement specific to a business arrangement or joint venture-like arrangement with an enterprise owned by a foreign state or any foreign entity in effect during the five-year period before proposal submission.

During award, you must regularly report to NASA any changes to a required disclosure.

2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses SAM contains required certifications that you may access at https://www.acquisition.gov/browsefar as part of the required registration (see FAR 4.1102). You must complete these certifications to be eligible for award. You must provide representations and certifications electronically via the website and update the representations and certifications as necessary, and at least annually, to keep them current, accurate, and complete. NASA will not enter any contract if you do not comply with these requirements.

https://www.acquisition.gov/browsefar

In addition, you will need to be aware of the clauses that will be included in the contract if selected for a contract. For a complete list of FAR and NASA clauses see Appendix C.

2.5 Software Development Standards

If you are proposing projects involving the development of software, you may be required to comply with NASA Procedural Requirements (NPR) 7150.2D, NASA Software Engineering Requirements, available online at https://nodis3.gsfc.nasa.gov/npg_img/N_PR_7150_002D_/N_PR_7150_002D__Preface.pdf.

2.6 Human and/or Animal Subject

NASA requires a protocol approved by a NASA review board if proposed work includes human or animal subjects. Due to the complexity of the approval process, NASA does not allow use of human and/or animal subjects for Phase I projects. For additional information, contact the NASA SBIR/STTR Program Office at agency-sbir@mail.nasa.gov. Reference 14 CFR 1230 and 1232.

2.7 Flight Safety Standards

If you are proposing projects involving the delivery of a spacecraft, you must comply with NASA Procedural Requirements (NPR) 8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space Environment Protection, available online at https://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=8079&s=1.

2.8 HSPD-12

If your project is selected for award and requires access to federally controlled facilities or access to a federal information system (as defined in FAR 2.101(b)(2)) for 6 consecutive months or more, you must apply for and receive appropriate Personal Identify Verification (PIV) credentials.

FAR clause 52.204-9, Personal Identity Verification of Contractor Personnel, states in part that the contractor must ensure that individuals needing such access provide the personal background and biographical information requested by NASA. See https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-3.pdf.

https://nodis3.gsfc.nasa.gov/npg_img/N_PR_7150_002D_/N_PR_7150_002D__Preface.pdf mailto:agency-sbir@mail.nasa.gov https://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=8079&s=1 https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-3.pdf

3. Proposal Preparation Instructions and Requirements

3.1 Requirements to Submit a Phase I Proposal Package

3.1.1 General Requirements

NASA will be using ProSAMS for the submission of these proposal packages. This solicitation guides firms through the steps for submitting a complete proposal package. All submissions will be completed through the secure ProSAMS URL and most communication between NASA and the firm is through email. To access ProSAMS, go to https://prosams.nasa.gov.

Proposal packages contain a Technical Proposal as described in section 3.1.3.5 below. A Technical Proposal must clearly and concisely:

1. Describe the proposed innovation relative to the current state of the art;

2. Address the scientific, technical, and commercial merit and feasibility of the proposed innovation as well as its relevance and significance to NASA interests as described in chapter 9 of this solicitation; and

3. Provide a preliminary strategy that addresses key technical, market, and business factors pertinent to the successful development and demonstration of the proposed innovation and its transition into products and services for NASA missions and/or programs, commercial markets, and other potential markets and customers.

Be thoughtful in selecting a subtopic to ensure the proposal is responsive to the subtopic. NASA will not move a proposal between subtopics or programs.

Classified Information NASA will decline any proposal package that contains classified information.

3.1.2 Format Requirements

NASA administratively screens all elements of a proposal package for compliance with format requirements. At its discretion, NASA may decline any proposal package or disregard specific proposal content that exceeds the stated limits when adjusted to comply with format requirements.

Required Page Limits and Suggested Page Lengths A Phase I technical proposal—all 10 parts including all graphics and table of contents—must not exceed a total of 19 standard letter size (8.5- by 11-inch or 21.6- by 27.9-cm) pages.

NASA will not accept technical proposal uploads with any page(s) over the 19-page limit. The additional forms required for proposal package submission do not count against the 19-page limit.

As a guideline to help you address each part of the technical proposal within the 19-page limit, NASA suggests a page length for each of the 10 parts.

Technical Proposal Part Suggested Number of Pages

Part 1: Table of Contents 0.5 pages

Part 2: Identification and Significance of Innovation 5 pages Part 3: Technical Objectives 1 page Part 4: Work Plan 5 pages Part 5: Related R/R&D 1 page Part 6: Key Personnel and Bibliography of Directly Related Work 2.5 pages Part 7: The Market Opportunity 1 page Part 8: Facilities/Equipment 1 page Part 9: Subcontractors and Consultants 1 page Part 10: Related, Essentially Equivalent, and Duplicate Proposals and Award 1 page

Margins Use 1.0-inch (2.5 cm) margins.

Type Size Use type size 10 point or larger for text or tables, except as legends on reduced drawings.

Header/Footer Requirements Include the SBC name, proposal number, and project title in the header on each page of the proposal.

Include the page number and proprietary legend (see section 3.4), if applicable in the footer on each page of the proposal. You may use margins for header/footer information.

Project Title The proposal project title must be concise and descriptive of the proposed effort. Do not use the NASA research subtopic title, acronyms, or words like "development of" or "study of."

3.1.3 Proposal Package

Each proposal package must contain the following items:

1. Proposal Contact Information

2. Proposal Certifications, electronically endorsed

3. Proposal Summary (must not contain proprietary data)

4. Proposal Budget (including letters of commitment for government resources, subcontractors/consultants, and Foreign Vendor Form, if applicable)

5. Technical Proposal

6. Briefing Chart (must not contain proprietary data)

7. NASA Evaluation License Application, only if NASA Technology Available (TAV) is being proposed

8. Technical and Business Assistance (TABA) request (optional)

9. I-Corps Interest Form

10. SBC-Level Forms (completed once for all proposals submitted to a single solicitation)

a. Firm Information

b. Firm Certifications

c. Audit Information

d. Disclosures of Foreign Affiliations or Relationships to Foreign Countries Audit Information

e. Prior Awards Addendum

f. Commercial Metrics Report (CMR)

11. Electronic Endorsement by the designated small business representative and principal investigator

(PI) is completed before the deadline

For many of the required forms, offerors can view sample forms located in the NASA SBIR/STTR Resources website: https://submissions.gsfc.nasa.gov/submissions/learning-support/firm-templates.

What Not to Include NASA will not consider the following items during evaluation:

• Letters of interest, support, or funding commitment

• Technical papers

• Product samples

• Videos

• Slides

• PowerPoint slide decks

• Other ancillary items

However, all submitted content other than the required forms designated in 1-11 above will count against the proposal page limit.

3.1.3.1 Proposal Contact Information Form

You must provide complete information for each contact person and submit the form as required.

Contact Information is public information and may be disclosed.

3.1.3.2 Proposal Certifications Form

You must provide complete information for each question in the form and certify its accuracy as required.

3.1.3.3 Proposal Summary Form

You must provide complete information for each section of the form as required. The Proposal Summary, including the technical abstract, is public information and may be disclosed.

3.1.3.4 Proposal Budget Form

You must complete the Proposal Budget form following the instructions provided. See 5.5 Profit or Fee and 5.6 Cost Sharing. The total requested funding for the Phase I effort must not exceed $150,000 or $156,500 (if requesting $6,500 for Technical and Business Assistance (TABA), see section 1.8 and

3.1.3.8 for more information on the TABA opportunity).

All proposed cost is supported with documentation, such as a quote, previous purchase order, published price lists, etc. NASA is not responsible for any monies you expend for proposal preparation and submission.

In addition, you must submit the following information in the Proposal Budget form, as applicable:

https://submissions.gsfc.nasa.gov/submissions/learning-support/firm-templates

• Use of a Foreign Vendor. If you are requesting to purchase products and equipment from a foreign vendor, you must complete the Foreign Vendor Form (see section 1.5.4 for more information).

• Use of Government Resources. If you plan to use government resources (such as, services, equipment, facilities, laboratories, etc.), as described in Part 8 of the technical proposal instructions, you must provide the following:

1. Statement, signed by the appropriate Federal department or agency official, verifying that the resources are available during the proposed period of performance, authorizing their use, and if applicable, including the associated cost.

2. Signed letter on your company letterhead explaining why your SBIR research project requires the use of government resources. Include data that verifies the absence of non-federal facilities or personnel capable of supporting the research effort, and, if applicable, the associated cost estimate.

Due to the complexity and length of time for the approval process, NASA strongly discourages you from requesting the use of government resources during the performance of a Phase I.

Approval for the use of government resources for a Phase I technical proposal requires a strong justification at the time of submission and will require approval by the Contracting Officer during negotiations if selected for award.

• Use of Subcontractors and Consultants. You may establish business arrangements with other entities or individuals to perform some of the proposed R/R&D effort, within the limits in section

1.5 and below. Subcontractors' and consultants' work must also be performed in the United States (see section 1.5.4 for more information).

If you propose using subcontractors or consultants, you must submit the following:

1. List of consultants by name with the number of hours and hourly costs identified for each consultant.

2. Subcontractor budget that aligns with your Proposal Budget form and includes direct labor, other direct costs, and profit, as well as indirect rate agreements.

3. A letter of commitment for each subcontractor and/or consultant, dated and signed by the appropriate person with contact information.

a. If a university is proposed as a subcontractor, the signed letter must be on the university letterhead from the Office of Sponsored Programs.

b. If an independent consultant is proposed, the signed letter must not be on university letterhead.

The proposed subcontracted business arrangements, including consultants, must not exceed 33 percent of the research and/or analytical work. To calculate this percentage, divide the total cost of the proposed subcontracting effort including applicable indirect rates such as overhead and G&A by the total price proposed less profit.

Percentage of subcontracting effort = (Subcontractor cost + G&A) / (Total price – Profit)

Example: Total price including profit $150,000

Profit $15,000 Total price less profit $150,000 - $15,000 = $135,000

Subcontractor cost $40,000 G&A 7% G&A on subcontractor cost $40,000 x 7% = $2,800 Subcontractor cost plus G&A $40,000+ $2,800 = $42,800

Percentage of subcontracting effort $42,800/$135,000 = 31.7%

For an SBIR Phase I, this is acceptable because it is below the limitation of 33 percent.

Occasionally, deviations from this requirement may occur, and must be approved in writing by the Contracting Officer after consultation with the NASA SBIR PMO.

See Part 9 of the Technical Proposal for additional information on the use of subcontractors and consultants.

Travel in Phase I Due to the intent and short period of performance of the Phase I contracts, along with a limited budget, NASA strongly discourages travel during the Phase I contract. If the purpose of the meeting cannot be accomplished via videoconference or teleconference, you must justify the trip in the proposal budget form. The Contracting Officer and Technical Monitor will review travel requests to determine if they are necessary to complete the proposed effort.

3.1.3.5 Technical Proposal

The technical proposal must contain all 10 parts in order, number, and title as listed below. NASA will decline any proposal package that does not have all 10 parts and it will not be evaluated. If a part is not applicable to your proposed effort, you must include the part and mark it “Not applicable.” Do not include any budget data in the technical proposal.

Part 1: Table of Contents (Suggested page limit – 0.5 page and counts toward the 19-page limit) Begin the technical proposal with a brief table of contents indicating the page numbers of each of the parts of the technical proposal).

Example:

Phase I Table of Contents

Part 1: Table of Contents………………………………………………….………………………..Page X Part 2: Identification and Significance of the Innovation…………………………………………. Page X Part 3: Technical Objectives………………………………………………………………………. Page X Part 4: Work Plan……………………………….…………………………………………………. Page X Part 5: Related R/R&D……………………………………………………………………………. Page X Part 6: Key Personnel and Bibliography of Directly Related Work………………………………. Page X Part 7: The Market Opportunity……………………………………...……………………………. Page X Part 8: Facilities/Equipment……………………………………………………………………….. Page X Part 9: Subcontractors and Consultants……………………………….…………………………….Page X Part 10: Related, Essentially Equivalent, and Duplicate Proposals and Awards……..…………….Page X

Part 2: Identification and Significance of the Proposed Innovation (Suggested page limit – 5 pages)

Succinctly describe:

• The proposed innovation.

• The relevance and significance of the proposed innovation to an interest, need, or needs, within a subtopic described in chapter 9.

• The proposed innovation relative to the current state of the art.

Part 3: Technical Objectives (Suggested page limit – 1 page) State the specific objectives of the Phase I R/R&D effort as it relates to the problem statement(s) posed in the subtopic description and the types of innovations being requested.

Indicate the proposed deliverables at the end of the Phase I effort and how these align with the proposed subtopic deliverables described within a subtopic found in chapter 9.

If you plan to use NASA TAV including Intellectual Property (IP), you must describe planned developments with the IP. Add the NASA Evaluation License Application as an attachment in the Proposal Certifications form (see section 1.6).

Part 4: Work Plan (Suggested page limit – 5 pages) Include a detailed plan to meet the Phase I technical objectives. The plan must include:

• Detailed task descriptions, that is, what will be done, where it will be done, and the methods you will use to do it

• Schedules

• Resource allocations

• Estimated task hours for each key personnel that match hours reported in the Proposal Budget

Form

• Planned…