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National Aeronautics and Space Administration
Small Business Technology Transfer 1999 Program Solicitation

Chapter 4. Method of Selection and Evaluation Criteria 

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4.1 Phase-I
4.2 Phase-II
4.3 Debriefing of Unsuccessful Offerors

4.1.1 Phase-I Evaluation Process. Proposals compliant with the administrative requirements of the Solicitation and responsive to the topic chosen by the offeror will be evaluated on a competitive basis using the criteria specified in Section 4.1.2. The prime objective of the evaluation process is to ensure that only innovative and promising proposals are selected for contract negotiations.

Evaluators rely only on information contained in the technical proposals. Offerors should not assume that evaluators are acquainted with the firm, the research institution, key individuals, or with any experiments/data regarding the proposed research. Any pertinent references or publications should be provided in Part 5 of the technical proposal.

4.1.2 Phase-I Evaluation Criteria. Each proposal will be judged and scored on its own merits using the factors described below.

Factor 1. Scientific/technical merit and feasibility
The proposed cooperative R/R&D effort will be evaluated on whether it offers a clearly innovative and feasible technical approach to a problem area posed in the topic. Specific objectives, approaches and plans for developing and verifying the innovation must demonstrate a clear understanding of the problem and the current state-of-the-art. The degree of understanding and significance of the risks involved in the proposed innovation should be presented.

Factor 2. Experience and qualifications
The technical capabilities and experience of the principal investigator or project manager, key personnel, staff, consultants and subcontractors, if any, are evaluated for consistency with the research effort and their degree of commitment/availability. The necessary instrumentation or facilities required by the SBC and RI must be shown to be adequate and any reliance on external sources, such as Government Furnished Equipment or Facilities addressed (see 5.14).

Factor 3. Effectiveness of the proposed organization
The clear delineation of the responsibilities of the SBC and RI for the success of the proposed cooperative R/R&D effort will be evaluated. The joint work plan will be reviewed for its comprehensiveness, effective use of available resources, cost management and proposed schedule for meeting the Phase-I objectives. The offeror must demonstrate the ability to organize for effective conversion of intellectual property provided by the RI into products or services of value to NASA and the commercial marketplace.

Factor 4. Commercial merit and feasibility
The proposal will be evaluated for any potential commercial applications in the private sector or for use by the Federal Government.

Scoring of Factors and Weighting: The sum of the scores for factors 1, 2 and 3 constitutes the numerical value for the Technical Merit of a proposal. Factor 1 is about twice the weight of factors 2 and 3. The score for Commercial Merit will be in the form of an adjectival rating (Excellent, Very Good, Average, Below Average, Poor, Insufficient Data). Technical Merit is more significant for Phase-I. In proposals of equal Technical Merit, Commercial Merit can be a deciding factor. Commercial Merit rises in significance for Phase-II consideration.

4.1.3 Selection After a proposal is evaluated, it will be ranked relative to all others evaluated under the same topic. Those determined suitable for selection will be recommended for further consideration by the NASA Center STTR Committee. The committee will prepare final recommendations for selection based on proposal merit, program priorities, and mission needs. These recommendations will then be forwarded to the Source Selection Official at NASA Headquarters. Selection decisions will consider the recommendations from all Centers, overall NASA priorities, and program balance.

Firms selected for negotiations that may lead to an award will be notified by e-mail. An announcement of all awards will be posted on the SBIR/STTR web site (http://sbir.nasa.gov). The list of selections will also be available electronically via the Internet and by public announcement. The notification letters will identify the Contracting Officer at the NASA Center responsible for negotiating a Phase-I contract.

4.1.4 Contracting Fixed-price contracts will be issued for Phase-I. Simplified contract documentation is employed. SBCs selected for negotiation of contract awards can reduce processing time by examining the procurement documents, furnishing the contracting officer with signed representations and certifications, and indicating any contract terms to be negotiated or agreement with the contract terms. NASA will make the Phase-I model contract and other documents available to the public on the NASA SBIR/STTR homepage (http://sbir.nasa.gov) at the time of selection announcement. From the time of proposal selection until the award of a contract, only the Contracting Officer is authorized to commit the Government, and all communications must be through the Contracting Officer.

4.1.5 Allocation of Rights Agreement. After being selected for Phase-I contract negotiations, but before the contract starts, the offeror shall, if requested, provide to the Contracting Officer at the managing NASA Center, a completed Allocation of Rights Agreement (ARA), which has been signed by authorized representatives of the SBC, RI and subcontractors and consultants, as applicable. The ARA shall state the allocation of intellectual property rights with respect to the proposed STTR activity and planned follow-on research, development and/or commercialization.

Selection of Phase-II proposals will be based on evaluation factors listed in Section 4.2.3 and other considerations as discussed in Section 4.2.4.

4.2.1 Phase-II Proposals. The STTR Phase-I contract will serve as the Request for Proposal (RFP) for the STTR Phase-II follow-on contract except (1) when NASA notifies the contractor that the area or topic of R/R&D no longer has high priority in the agency, or (2) when NASA notifies the contractor that the Phase- I R/R&D results are not worthy of continuation. Submission of a Phase-II proposal is strictly voluntary, and NASA assumes no responsibility for proposal preparation cost. NASA is not obligated to fund any specific Phase-II proposals.

Phase-II proposals are more comprehensive than those required for Phase-I. They shall be submitted no later than the end of the Phase-I contract performance term; however, contractors are encouraged to submit their proposals and the Phase-I final reports as early as possible. Final selections will be based upon the evaluation of the Phase-I final report and the Phase-II proposal.

4.2.2 Phase-II Proposal Contents. Phase-II proposals shall be addressed in the following "Part" order listed. Failure to include any requested information in the proposal may make it non-responsive to the RFP.

Part 1: Cover Page. (Form provided by NASA)

Part 2: Project Summary. (Form provided by NASA)

Part 3: Table of Contents.

Part 4: Results of the Phase-I Project. Briefly describe how Phase-I has: proven the feasibility of the innovation; provided a rationale for both NASA and commercial applications; and demonstrated the ability of the offeror to conduct the R/R&D.

Part 5: Phase-II Technical Objectives, Approach, and Work Plan. Define the specific objectives of the Phase-II research and technical approach to meet these objectives; and provide a work plan defining specific tasks, performance schedules, milestones, and deliverables.

Part 6: Company Information. Describe the capability of the firm to carry out Phase-II and Phase- III activities including its organization, operations, number of employees, R/R&D capabilities, and experience relevant to the work proposed.

Part 7: Facilities and Equipment. This section shall provide adequate information to allow the evaluators to assess the ability of the SBC/RI team to carry out the proposed Phase-II activities. The offeror should describe the relevant facilities and equipment currently available, and those to be purchased, in order to adequately support the team's proposed research efforts. NASA will not fund the acquisition of equipment, instrumentation, or facilities under STTR Phase-II contracts as a direct cost (Section 5.14). The capability of the offeror to perform the proposed activities and bring a resulting product or service to market must be indicated. Qualifications of the offeror and its principals in marketing related products or services or in raising capital should be presented.

If an offeror proposes the use of unique or one-of-a-kind Government facilities, a statement, describing the uniqueness of the facility and its availability to the offeror at specified times, signed by the appropriate Government Official must be included with the proposal. Proposals lacking this signed statement may be rejected without evaluation.

If the proposer does not require the use of Government Facilities or Equipment, the proposer shall so state in this part of the proposal.

Part 8: Key Personnel. Identify the key personnel for the project, confirm their specific availability for Phase-II, and discuss their qualifications in terms of education, work experience, and accomplishments that are relevant to the project.

Part 9: Subcontracts and Consultants. Describe in detail any subcontract, consultant, or other business arrangements and provide written evidence of their availability for the project. For Phase- II, a minimum of 40 percent of the work must be performed by the proposing SBC and 30 percent by the RI unless approved in writing by the Contracting Officer. The proposal must include a commitment from each subcontractor and/or consultant that they will be available at the times required for the purposes and extent of effort described in the proposal.

Part 10: Commercialization and Phase-III Plans. Describe plans for commercialization (Phase-III) in terms of each of the following areas:

1. Product or Service Commercial Feasibility
2. Market Feasibility and Competition
3. Strategic Relevance to the Offeror
4. Current and Proposed Personnel and Organizational Structure relevant to bringing innovative technology to commercial application.
5. Production and Operations, Plans and Dates, and
6. Financial Resources and Planning

Part 11: Capital Commitments Supporting Phases II and III. Describe and document capital commitments from non-STTR sources or from internal funds for pursuit of Phase-II and Phase-III. Potential Phase-II contractors are strongly urged to obtain valid non-STTR funding support commitments for (1) follow-on Phase-III activities, and (2) additional support of Phase-II from parties other than the proposing firm. Valid funding support commitments must provide that a specific, substantial amount will be made available to the firm to pursue the stated Phase-II and/or Phase-III objectives. They must indicate the source, date, and conditions or contingencies under which the funds will be made available. Alternatively, self-commitments of the same type and magnitude that are required from outside sources can be considered. If Phase-III will be funded internally, offerors should describe their financial position.

Evidence of funding support commitments from outside parties must be provided in writing to the proposing entity, and should accompany the Phase-II proposal. Letters of commitment should specify funding commitments, availability, other resources to be provided, and any contingent conditions. Expressions of technical interest by such parties in the Phase-II research or of potential future financial support are insufficient and will not be accepted as support commitments by NASA.

Part 12: Related R/R&D. Describe R/R&D related to the proposed work and affirm that the proposed objectives have not already been achieved and that the same development is not presently being pursued elsewhere under contract to the government.

Part 13: Proposal Pricing. Special instructions for pricing the Phase-II proposal will be provided in the Phase-I contract and may be provided in writing by the Contracting Officer.

4.2.3 Phase-II Evaluation Factors. The evaluation of Phase-II proposals that may result from Phase-I contracts awarded under this Solicitation will apply the following factors:

Factor 1. Scientific/technical merit and feasibility
The proposed cooperative R/R&D effort will be evaluated on its innovativeness, originality, and technical payoff potential if successful, including the degree to which Phase-I objectives were met, the feasibility of the innovation, and whether the Phase-I results indicate a Phase-II project is appropriate.

Factor 2. Future importance and eventual value to NASA
The eventual value of the product, process, or technology results to the NASA mission will be assessed.

Factor 3. Capability of the Small Business Concern.
NASA will assess the capability of the concern to conduct Phase-II based on (a) the validity of the project plans for achieving the stated goals, (b) the qualifications and ability of the project team (Principal Investigator/Project Manager, company staff, consultants and subcontractors) relative to the proposed research, and (c) the availability of any required equipment and facilities.

Factor 4. Commercial Potential.
Consideration will be given to the commercial potential of the technology; demonstrated commercial intent of the offeror; and capability of the offeror to bring successfully developed technology to commercial application.

In applying these commercial criteria, NASA will assess proposal information in terms of credibility, objectivity, reasonableness of key assumptions, independent corroborating evidence, internal consistency, demonstrated awareness of key risk areas and other indicators of sound business analysis and judgment.

4.2.4 Evaluation and Selection. At least two NASA engineers or scientists will evaluate factors 1, 2, and 3 for each proposal. Clarity and comprehensiveness in addressing all three of these factors is critical to award consideration. Proposals satisfying the first three factors will be evaluated and rated for their commercial potential using the criteria listed in factor 4 and by applying the same adjectival ratings as set forth for Phase-I proposals (Section 4.1.2). A peer review panel that may include reviewers from government, academia, and private industry does commercial evaluation.

The Center's STTR Committee will recommend proposals for award to the STTR Source Selection Official. Final selections by the STTR Source Selection Official will be based on recommendations from all Centers; NASA Headquarters Program Offices’ assessments of project value to NASA programs and plans; and any other evaluations or assessments (particularly of commercial potential) that may become available to the Source Selection Official. Past performance evaluations under prior contracts with NASA may be reviewed by the Source Selection Official and considered in making final selection decision.

After Phase-I and Phase-II selection decisions have been announced, a proposal critique (debriefing) for an unsuccessful offeror will be available to the offeror's corporate official or designee via e-mail. Telephone requests for debriefings will not be accepted. Debriefings are not opportunities to reopen selection decisions. They are intended to acquaint the offeror with perceived strengths and weaknesses of the proposal and perhaps identify constructive future action by the offeror.

Debriefings will not disclose the identity of the proposal evaluators nor provide proposal scores, proposal rankings in the competition, or the content of, and comparisons with other proposals with which they were in competition.

4.3.1 Phase-I Debriefings. For Phase-I proposals, any request for a debriefing must be made via e-mail to sttr@reisys.com, within 60 days after the selection announcement. Late requests will not be honored.

4.3.2 Phase-II Debriefings. To request debriefings on Phase-II proposals, offerors must request via e-mail to the Contracting Officer at the appropriate NASA Center (not the STTR Program Manager) within 60 days after notification sent to the offeror that their proposal was not selected. Late requests will not be honored.

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