National Aeronautics and Space Administration
Small Business Innovation Research & Technology Transfer 2004 Program Solicitations

Chapter 1. Program Description

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1.1 Introduction
1.2 Program Authority and Executive Order
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. Program background information, eligibility requirements for participants, the three program phases, and information for submitting responsive proposals is contained herein. The 2004 Solicitation period for Phase I proposals begins July 7, 2004, and ends September 9, 2004.

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. Selection preference will be given to eligible proposals where the innovations are judged to have significant potential for commercial application.

NASA plans to select for award those proposals offering the best value to the Government and the Nation. Subject to the availability of funds, approximately 300 SBIR and 40 STTR Phase I proposals will be selected for negotiation of fixed-price contracts in November 2004. Historically, the ratio of Phase I proposals to awards is approximately 8:1 for SBIR and 5:1 for STTR, and approximately 40% of the selected Phase I contracts are selected for Phase II follow-on efforts.

1.2 Program Authority and Executive Order

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 P.L. 107-50. Government wide STTR policy is provided by the SBA through its Policy Directive.The current law authorizes the program through September 30, 2009.

Executive Order: President Bush issued an executive order on February 24, 2004 directing federal agencies that administer the SBIR and STTR programs to encourage innovation in manufacturing related research and development consistent with the objectives of each agency and to the extent permitted by law.

1.3 Program Management

The Office of Exploration Systems 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 Strategic Enterprises (http://www.nasa.gov). The needs of all Strategic Enterprises are reflected in the research topics identified in Section 9.

The STTR Program Solicitation research areas correspond to the central underlying technological competencies of each participating NASA Center. The Jet Propulsion Laboratory (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 web sites:

NASA Strategic Enterprises
Aeronautics	http://www.hq.nasa.gov/office/aero
Biological and Physical Research	http://spaceresearch.nasa.gov
Earth Science	http://www.earth.nasa.gov
Education	http://education.nasa.gov/
Exploration Systems	http://www.nasa.gov
Space Flight	http://www.hq.nasa.gov/osf
Space Science	http://spacescience.nasa.gov

NASA Installations
Ames Research Center (ARC)	http://www.arc.nasa.gov
Dryden Flight Research Center (DFRC)	http://www.dfrc.nasa.gov
Glenn Research Center (GRC)	http://www.grc.nasa.gov
Goddard Space Flight Center (GSFC)	http://www.gsfc.nasa.gov
Jet Propulsion Laboratory (JPL)	http://www.jpl.nasa.gov
Johnson Space Center (JSC)	http://www.jsc.nasa.gov
Kennedy Space Center (KSC)	http://www.ksc.nasa.gov
Langley Research Center (LaRC)	http://www.larc.nasa.gov
Marshall Space Flight Center (MSFC)	http://www.msfc.nasa.gov
Stennis Space Center (SSC)	http://www.ssc.nasa.gov

1.4 Three-Phase Program

Both the SBIR and STTR programs are divided into three funding and development stages.

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 value and period of performance for Phase I contracts:

Phase I Contracts	SBIR	STTR
Maximum Contract Value	$ 70,000	$ 100,000
Maximum Period of Performance	6 months	12 months

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. Phase II projects are chosen as a result of competitive evaluations based on selection criteria provided in Section 4.2.

The maximum value for SBIR/STTR Phase II contracts is $600,000 with a maximum period of performance of 24 months.

1.4.3 Phase III. NASA may award Phase III contracts for products or services with non-SBIR/STTR funds.The competition for SBIR Phase I and Phase II awards satisfies any competition requirement of the Armed Services Procurement Act, the Federal Property and Administrative Services Act, and the Competition in Contracting Act. Therefore, an agency that wishes to fund an SBIR Phase III project is not required to conduct another competition in order to satisfy those statutory provisions. Phase III work may be for products, production, services, R/R&D, or any combination thereof. A Federal agency may enter into a Phase III SBIR agreement at any time with a Phase I or Phase II awardee.

There is no limit on the number, duration, type, or dollar value of Phase III awards made to a business concern. There is no limit on the time that may elapse between a Phase I or Phase II award and Phase III award. The small business size limits for Phase I and Phase II awards do not apply to Phase III awards.

1.5 Eligibility Requirements

1.5.1 Small Business Concern. Only firms qualifying as SBCs, as defined in Section 2.14, are eligible to participate in these programs.Socially and economically disadvantaged and women-owned SBCs are particularly encouraged to propose.

STTR: To be eligible, SBCs must submit a cooperative research agreement with a Research Institution (RI).

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 2.18). However, based on a rare and unique circumstance, for example, if a supply or material or other item or project requirement is not available in the United States, NASA may allow that 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. Approval by the Contracting Officer for such specific condition(s) must be in writing.

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.Primary employment means 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. 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, the offeror must explain how these requirements will be met if the proposal is selected for contract negotiations that may lead to an award.

REQUIREMENTS	SBIR	STTR
Primary Employment	PI must be with the SBC	PI must be employed with the RI or SBC
Employment Certification	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.	If the PI is not an employee of the SBC, the offeror must describe the management process to ensure SBC control of the project.
Co-Principal Investigators	Not Acceptable	Not Acceptable
Misrepresentation of Qualifications	Will result in rejection of the proposal or termination of the contract	Will result in rejection of the proposal or termination of the contract
Substitution of PIs	Must receive advanced written approval from NASA	Must receive advanced written approval from NASA

1.6 General Information

1.6.1 Solicitation Distribution. This 2004 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 or e-mailed to:

Paul Mexcur, Program Manager
NASA SBIR/STTR Program Management Office
Code 408, Goddard Space Flight Center
Greenbelt, MD 20771-0001
Winfield.P.Mexcur@nasa.gov

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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