CHAPTER 1.0 Program Description

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The National Aeronautics and Space Administration (NASA) invites eligible small business concerns to submit Phase I proposals for its 1998 Small Business Innovation Research (SBIR) Program, which is described in this NASA SBIR Program Solicitation. The 1998 solicitation period for Phase I proposals begins April 24, 1998, and ends July 7, 1998. NASA seeks innovative concepts addressing the program needs described in the SBIR Solicitation subtopics and offering commercial application potential.

Subject to the availability of funds, NASA plans to select about 335 proposals no earlier than October 26, 1998 for negotiation of a Phase I fixed-price contract. NASA anticipates that about 40 percent of these Phase projects will be selected for Phase II development.

This Solicitation contains program background information, outlines eligibility requirements for SBIR participants, describes the three SBIR program phases, and provides the information needed for submitting responsive proposals.

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 the SBA Policy Directive, January 26, 1993.

1.2.2 Program Purposes. SBIR program purposes established by law include stimulating technological innovation in the private sector, strengthening the role of small business concerns in meeting Federal research and development needs, increasing the commercial application of federally supported research results, and fostering and encouraging participation by socially and economically disadvantaged persons and women-owned small businesses in technological innovation.

1.2.3 Program Funding. Participating agencies conduct SBIR programs by reserving a small percent of their research and development budgets for funding agreements with small business concerns for research or research and development (R/R&D) during the first two phases of the three-phase process described here. Each agency, at its sole discretion, selects the technical topics and subtopics included in its Solicitation and selects its SBIR awards. Follow-on Phase III activities are capitalized by non-SBIR sources of funding for the pursuit of private sector or government sales.

1.2.4 Program Management. The NASA SBIR program is an agency-wide effort that contributes to NASA's mission in planning, directing, and conducting research and development for civilian uses of space and aeronautics. The program also encourages the commercialization of the products of SBIR-sponsored R/R&D. All NASA Field Installations and Headquarters Program Offices participate. The NASA Office of Aeronautics and Space Transportation Technology provides overall policy direction for the SBIR program, while the NASA Goddard Space Flight Center serves as the Program Management Office. NASA Field Installations identify R&D needs, evaluate proposals, make recommendations for selections, and manage the individual projects. The NASA installations that implement the program are:

ARC	Ames Research Center, Moffett Field, California
DFRC	Dryden Flight Research Center, Edwards, California
GSFC	Goddard Space Flight Center, Greenbelt, Maryland
HQ	NASA Headquarters, Washington, DC
JPL	Jet Propulsion Laboratory, Pasadena, California
JSC	Lyndon B. Johnson Space Center, Houston, Texas
KSC	John F. Kennedy Space Center, Kennedy Space Center, Florida
LaRC	Langley Research Center, Hampton, Virginia
LeRC	Lewis Research Center, Cleveland, Ohio
MSFC	George C. Marshall Space Flight Center, Marshall Space Flight Center, Alabama
SSC	John C. Stennis Space Center, Stennis Space Center, Mississippi

1.3.1 Phase I. The purpose of Phase I is to determine the scientific and technical merit and feasibility of the proposed innovation and the quality of the performance of the small business concern with a relatively small NASA investment before consideration of further Federal support in Phase II. To be eligible for Phase I 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 potential is great. Unsolicited proposals (those not responsive to a subtopic) will be rejected.

Projects are expected to emphasize near-term applicability to NASA. Selection preference will be given to eligible proposals where the innovations are judged to have significant potential for commercial application.

Phase I must concentrate on establishing, through analysis and/or experiment, 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 of this Solicitation. Evaluation and selection criteria are described in Section 4.1. NASA is solely responsible for determining the relative merit and value of proposed Phase I projects, selecting proposals for award, and judging the value of Phase I results.

SBIR contractors must have the capability to independently conduct the R/R&D they propose, and Phase I projects should not require the use of NASA facilities or equipment (See Section 5.14). Phase I contractors will have no more than six months in which to complete their Phase I projects, and to submit their Phase I final reports and Phase II proposals.

1.3.2 Phase II. The objective of Phase II is to continue development of those innovations shown to be feasible in Phase I, and that have the highest potential value to NASA and to the U.S. economy. The government is not obligated to fund any specific SBIR Phase II proposal. Participation in NASA SBIR Phase II is limited to those contractors conducting NASA SBIR Phase I projects.

Phase II projects are chosen as a result of competitive evaluations of Phase II proposals. 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. See Section 4.2.2 of this Solicitation and the Phase I model contract for required contents of Phase II proposals.

The Phase II proposal evaluation and selection criteria are provided in Section 4.2. They include consideration of the results of Phase I, but place greater emphasis non-SBIR funding commitments and evidence of non-government commercial application potential than does Phase I.

Fixed-price contracts are employed in Phase II, with performance periods up to two years.

1.3.3 Phase III. Phase III involves non-SBIR capital to develop commercial applications of a project, either in the Federal government or in the private sector.  Phase I, II, and III awards are considered competitive under the Competition in Contracting Act. NASA will give special acquisition preference for Phase III contracts to firms having valid business arrangements that pursue continued development of technology, products, or services developed under NASA SBIR Phase I and II.

1.4.1 Small Business Concern. Only firms qualifying as small business concerns as defined in Section 2.5 of this Solicitation are eligible to participate in the SBIR program. Socially and economically disadvantaged small business concerns and women-owned small business concerns are particularly encouraged to propose.

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

1.4.3 Principal Investigator. The Principal Investigator is considered key to the success of the effort; therefore a PI’s involvement with the project must be substantial. The following requirements are mandatory:

Functions. The functions of the Principal Investigator (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.

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

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

Primary Employment. The offeror must certify in the proposal that the primary employment of the PI will be with the small business concern at the time of award and during the conduct of the project. Primary employment means the PI will average a minimum of 20 hours per week with the small business concern, 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 small business. If the PI does not meet these primary employment requirements when the proposal is submitted, 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 (The Organization) must include, as part of the proposal, a written release statement by that organization. The PI release statement shall approve concurrent primary employment with the small business concern 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 to the small business concern and continuing thereafter during contract performance. It must specifically release the employee from all duties, responsibilities, and activities with The Organization 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 will be rejected.

1.5.1 Electronic Distribution of Solicitation. The 1998 SBIR Program Solicitation is available only via electronic means through the NASA SBIR/STTR home page (http://sbir.nasa.gov), or by requesting an electronic copy on Diskette. When requesting a diskette it is important to specify the platform you are using (IBM or Mac), the word processing application you use, and your complete address. Printed copies of the Solicitation will not be distributed.

Offerors are encouraged to check the SBIR/STTR home page for updates on the program. Any updates or corrections to the Solicitation will be posted there.

SBIR Program Support Office:

1. E-Mail. The e-mail address for contacting NASA to request a diskette containing the Solicitation or to request NASA SBIR information is sbir@reisys.com.
2. Facsimile Machine. Inquiries and requests may be made by facsimile to 301-918-8154 and must include the name, address, and telephone number of the person making the request and the specific questions or requests.
3. Telephone Information Inquiries. Information about the SBIR program is available by calling 301-918-1980. Office hours are 8:30 a.m. to 5:00 p.m. Eastern Daylight Time (EDT), Monday through Friday.

NASA SBIR Program Manager:

Requests for general information about the NASA SBIR program should be mailed to:

NASA Goddard Space Flight Center
SBIR Program Manager
Paul Mexcur, Code 710.3
Greenbelt, MD 20771-0001

1.5.3 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 ending July 7, 1998. Only questions requesting clarification of Solicitation instructions and administrative matters will be answered.

1.5.4 Questions Regarding Proposal Status. Except for an acknowledgment of proposal receipt (to be e-mailed within 30 days of the closing date), information about proposal status will not be available until final selections are announced (See Section 6.5).