National Aeronautics and Space Administration
Small Business Innovation Research 2000 Program Solicitation

Chapter 1. PROGRAM DESCRIPTION

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1.1 Introduction
1.2 Program Background
1.3 Program Management
1.4 Three Phase SBIR Program
1.5 Eligibility to Participate in the SBIR Program
1.6 General Information

1. Program Description

1.1 Introduction

The National Aeronautics and Space Administration (NASA) invites eligible small business concerns (SBCs) to submit Phase-I proposals for its 2000 Small Business Innovation Research (SBIR) Program. NASA seeks innovative concepts addressing the program needs and offering commercial application potential as described in the Solicitation subtopics.

This Solicitation contains program background information, outlines eligibility requirements for participants, describes the three SBIR program phases, and provides information for submitting responsive proposals. The 2000 Solicitation period for Phase-I proposals begins April 24, 2000 and ends July 14, 2000. Unsolicited proposals will not be accepted.

To be eligible for selection, a proposal must be based on an innovation having high technical or scientific merit that is responsive to a NASA need described by a subtopic in this Solicitation. Proposals involving high risk are encouraged when the anticipated payoff is great. Proposals submitted in response to this Solicitation must include all relevant documentation as required in Section 3. A proposal directed towards system studies, market research, routine engineering development of existing products or proven concepts and modifications of existing products without innovative changes is considered non-responsive. Selection preference will be given to eligible proposals where the innovations are judged to have significant potential for commercial application.

Subject to the availability of funds, NASA plans to select about 290 proposals in mid-October 2000 for negotiation of Phase-I fixed-price contracts. NASA anticipates that about 40 percent of these Phase-I projects will be selected for Phase-II. The FY 2000 NASA SBIR Program budget is approximately $92.1M.

1.2 Program Background

1.2.1 Legislative Basis. This Solicitation is issued pursuant to the authority contained in P.L. 97-219, as amended (Small Business Innovation Development Act of 1982) (15 U.S.C. 638). SBIR policy is provided by the Small Business Administration (SBA) through its Policy Directive dated January 26, 1993. The current law authorizes agencies participating in the SBIR Program to expend with small business concerns not less than 2.5 percent of their extramural Research/Research and Development (R/R&D) budgets in FY 2000.

1.2.2 Program Purposes. The purposes of the SBIR program as established by law are: to stimulate technological innovation in the private sector; to strengthen the role of small business concerns in meeting federal research and development needs; to increase the commercial application of these research results; and to encourage participation of socially and economically disadvantaged persons and women-owned small businesses.

1.3 Program Management

The NASA Office of Aero-Space Technology provides overall policy direction for the SBIR program. The Program Management Office is hosted at the Goddard Space Flight Center. The NASA Installations identify R&D needs, evaluate proposals, make recommendations for selections, and manage individual projects. All NASA Strategic Enterprises and Field Installations participate in the Program. NASA installations are:

1.4 Three Phase SBIR Program

The NASA SBIR Program is a three-phase program utilizing the entrepreneurial talents of the SBC for meeting the needs of both NASA and the commercial marketplace.

1.4.1 Phase-I. The purpose of Phase-I is to determine the scientific, technical, and commercial merit and feasibility of the proposed innovation, and the quality of the SBC’s performance with a relatively small NASA investment before consideration of further Federal support in Phase-II. NASA funding for each Phase-I contract is limited to $70,000. Contractors have up to 6 months to submit their final report. Successful completion of Phase-I objectives is a prerequisite to Phase-II consideration.

Phase-I must concentrate on establishing the scientific or technical merit and feasibility of the proposed innovation and on providing a basis for continued development in Phase-II. Proposals must conform to the format described in Section 3.2 of this Solicitation. Evaluation and selection criteria are described in Section 4.1. NASA is solely responsible for determining the relative merit of proposals, their selection for award, and judging the value of Phase-I results.

1.4.2 Phase-II. The objective of Phase-II is to continue the R/R&D effort from Phase-I. Only SBCs awarded Phase-I contracts are eligible for Phase-II SBIR funding agreements, and only at the Federal Agency which awarded the Phase-I project. The Government is not obligated to fund any specific SBIR Phase-II proposal. Funding for each Phase-II contract will be limited to $600,000. Contractors have up to 24 months to complete the effort and submit their final report.

Phase-II projects are chosen as a result of competitive evaluations based on selection criteria provided in Section 4.2. Phase-II proposals are more comprehensive than those required for Phase-I and are to be prepared in accordance with instructions provided in the Phase-I contract.

1.4.3 Phase-III. NASA may award Phase-III contracts for products or services with non-SBIR funds. Phase-I and Phase-II awards satisfy the requirements of the Competition in Contracting Act for subsequent NASA Phase-III contracting. The small business is also expected to use non-Federal capital to pursue private sector applications of the R/R&D effort.

1.5 Eligibility to Participate in the SBIR Program

1.5.1 Small Business Concern. Only firms qualifying as SBCs as defined in Section 2.1 of this Solicitation are eligible to participate in the SBIR program. Socially and economically disadvantaged and women-owned SBCs are particularly encouraged to propose.

1.5.2 Place of Performance. For both Phase-I and Phase-II, the R/R&D must be performed in the United States (Section 2.7).

1.5.3 Principal Investigator. The Principal Investigator (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 SBIR 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 apply personally on the project. The amount of time the PI proposes to spend on the project must be acceptable to the NASA 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 substitute PI based on factors such as education, experience, demonstrated ability and competence, and any other evidence related to the specific assignment.

Primary Employment. The offeror must certify in the proposal that the primary employment of the PI will be with the SBC at the time of award and during the conduct of the project. Primary employment means that the PI will average a minimum of 20 hours per week with the SBC, and that more than half of the PI’s total employed time (including all concurrent employers, consulting, and self-employed time) is spent with the SBC. If the PI does not meet these primary employment requirements, the offeror must explain how these requirements will be met if the proposal is selected for contract negotiations that may lead to an award.

Employees of Academic and Non-Profit Organizations. An offeror proposing a PI who is also to be employed concurrently in any capacity by an academic or non-profit organization must include, as part of the proposal, a written release statement. The PI release statement shall approve concurrent primary employment with the SBC as defined above, and agree to less than half-time employment by the organization beginning no later than the time of NASA SBIR contract award and continuing thereafter during contract performance. The organization must specifically release the employee from all duties, responsibilities, and activities required by or implied by employment in that position as much as or more than half-time. Proposals that do not include the required written release statement may be rejected.

Co-Principal Investigators. Co-PI’s are not acceptable.

Misrepresentation or Substitution. Substitution of a PI by the offeror at any time without NASA's advance written approval, or misrepresentation of PI qualifications and eligibility, will result in rejection of the proposal or termination of the contract.

1.6 General Information

1.6.1 Solicitation Distribution. This 2000 SBIR Program Solicitation is available via the NASA SBIR/STTR homepage (http://sbir.nasa.gov). If the SBC has difficulty accessing the Solicitation, contact the Help Desk (Section 1.6.2). SBCs are encouraged to check the SBIR/STTR homepage for program updates. Any updates or corrections to the Solicitation will be posted there.

1.6.2 Means of Contacting NASA SBIR Program

1. NASA SBIR/STTR Homepage: http://sbir.nasa.gov
2. Each of the NASA field centers has its own homepage including strategic planning and SBIR information. Please consult these homepages as noted in Section 1.3 for more details on the technology requirements within the subtopic areas.
3. Help Desk. For inquiries, requests, and help-related questions, contact via:

e-mail sbir@reisys.com
telephone 301-937-0888 between 8:00 a.m. - 5:00 p.m. (Mon.-Fri., Eastern Time)
facsimile 301-937-0204

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.

4. NASA SBIR/STTR Program Manager. Specific information requests that could not be answered by the Help Desk should be mailed to:

1.6.3 Questions About This Solicitation. To ensure fairness, questions relating to the intent and/or content of research topics in this Solicitation cannot be answered during the Phase-I Solicitation period. Only questions requesting clarification of proposal instructions and administrative matters will be answered.

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