National Aeronautics and Space Administration
Small Business Innovation Research & Technology Transfer 2001 Program Solicitation

Chapter 1. PROGRAM DESCRIPTION

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1.1 Introduction
1.2 Program Authority
1.3 Program Management
1.4 Three-Phase Program
1.5 Eligibility Requirements
1.6 General Information

1. Program Description

1.1 Introduction

This document includes two NASA program solicitations with separate research areas under which small business concerns (SBCs) are invited to submit proposals: the Small Business Innovation Research (SBIR) program and the Small Business Technology Transfer (STTR) program. In the past, NASA has issued separate SBIR and STTR solicitations. Because of the similarities in the execution of these programs, this single document is being issued for FY 2001.

The STTR Program is modeled on the SBIR program with the additional purpose to encourage the transfer of the intellectual concepts and ideas resident in our nation's nonprofit Research Institutes (RIs). The STTR program allows the principal investigator (PI) to be employed at the RI, while the SBIR program requires that the PI have primary employment at the SBC. In addition, STTR proposals must include a formal cooperative research agreement between the SBC and the RI. SBIR proposals may involve collaboration between the SBC and other organizations, including a RI. For the STTR program, not less than 40 percent of the work (amount requested including cost sharing, less fee, if any) is to be performed by the SBC as the prime contractor, and not less than 30 percent of the work is to be performed by the RI. For the SBIR Program, not less than 2/3 of the work is to be performed by the SBC as the prime contractor during Phase I, and not less than 50 percent of the work is to be performed by the SBC as the prime contractor during Phase II.

This document contains program background information, outlines eligibility requirements for participants, describes the three program phases, and provides information for submitting responsive proposals. The 2001 Solicitation period for Phase I proposals begins March 28, 2001 and ends June 6, 2001.

The purposes of the SBIR/STTR programs, as established by law, are to stimulate technological innovation in the private sector; to strengthen the role of SBCs 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.

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 herein, and which offers potential commercial application. Proposals must be submitted via the internet (http://sbir.nasa.gov) and include all relevant documentation. Unsolicited proposals will not be accepted.

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 around 300 SBIR and 20 STTR Phase I proposals for negotiation of fixed-price contracts in September 2001. Historically, the ratio of the number of Phase I proposals to awards for SBIR is 7:1 and for STTR is 5:1.

1.2 Program Authority

SBIR: This Solicitation is issued pursuant to the authority contained in P.L. 106-554. Government-wide SBIR policy is provided by the Small Business Administration (SBA) through its Policy Directive. The current law authorizes the program through September 30, 2008.

STTR: This Solicitation is issued pursuant to the authority contained in PL 102-564. Government-wide STTR policy is provided by the SBA through its Policy Directive. The current law authorizes the program through September 30, 2001.

1.3 Program Management

The Office of Aerospace Technology provides overall policy direction for the NASA SBIR/STTR programs. The Program Management Office is hosted at the Goddard Space Flight Center. The Procurement Management Office is hosted at Glenn Research Center.

The SBIR Program Solicitation is aligned with NASA's five Strategic Enterprises (http://www.nasa.gov). The needs of all Strategic Enterprises are reflected in the research areas identified in Section 8.

The STTR Program Solicitation is aligned with the NASA Centers of Excellence. Each Center of Excellence participates every other year. JPL does not participate in the management of the STTR program.

Information regarding the Strategic Enterprises and the NASA Centers can be obtained at the following websites:

1.4 Three-Phase Program

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. 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. 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.

Maximum funding and period of performance for Phase I:

1.4.2 Phase II. The objective of Phase II is to continue the Research or Research and Development (R/R&D) effort from Phase I. Only SBCs awarded Phase I contracts are eligible for Phase II funding agreements, and only at the Federal Agency, which awarded the Phase I project. The Government is not obligated to fund any specific Phase II proposal. 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.

Maximum funding and period of performance for Phase II:

1.4.3 Phase III. NASA may award Phase III contracts for products or services with non-SBIR/STTR 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 nonfederal 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, 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. For both Phase I and Phase II, the R/R&D must be performed in the United States (Section 2.9).

1.5.3 Principal Investigator. The primary employment of the PI must be with the SBC under the SBIR Program, while under the STTR Program the PI may be employed with the RI.

1.6 General Information

1.6.1 Solicitation Distribution. This 2001 SBIR/STTR Program Solicitation is available via the NASA SBIR/STTR homepage (http://sbir.nasa.gov). SBCs are encouraged to check the SBIR/STTR homepage for program updates. Any updates or corrections to the Solicitation will be posted there. If the SBC has difficulty accessing the Solicitation, contact the Help Desk (Section 1.6.2).

1.6.2 Means of Contacting NASA SBIR/STTR Program

1. NASA SBIR/STTR Homepage: http://sbir.nasa.gov
2. Each of the NASA field installations has its own homepage including strategic planning and program 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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