National Aeronautics and Space Administration
Small Business Technology Transfer 2000 Program Solicitation

Chapter 1. STTR Program Description

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

1. STTR Program Description

1.1 Introduction

The National Aeronautics and Space Administration (NASA) invites Small Business Concerns (SBCs), in collaboration with a Research Institution (RI), to submit proposals for cooperative research under this 2000 Solicitation for the Small Business Technology Transfer (STTR) Program. The NASA STTR Program facilitates transferring the nation's investment in research into new commercial technologies for advancing U.S. economic competitiveness and high-tech development.

This Solicitation contains program background information, outlines eligibility requirements for participants, describes the three STTR program phases, and provides information for submitting responsive proposals. The Solicitation period for Phase-I proposals begins March 1, 2000 and ends May 10, 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 research topic in this Solicitation. Proposals involving high risk are encouraged when the anticipated payoff is great. A proposal directed towards systems studies, market research, and routine engineering design is considered non-responsive. Selection preference will be given to eligible proposals where the innovations are judged to have significant potential for commercial application.

Proposals submitted in response to this Solicitation must be jointly developed by the SBC and the RI, and must include all relevant documentation as required in Section 3. At least 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 at least 30 percent of the work is to be performed by the RI.

Subject to the availability of funds, NASA plans to select about 20 proposals in August 2000 for negotiation of Phase-I fixed-price contracts. NASA anticipates that about 35 percent of these Phase-I projects will be selected for Phase-II. The FY 2000 NASA STTR Program budget is approximately $5.6M

1.2 Program Background

1.2.1 Legislative Basis. The legislative basis for this Solicitation is the Small Business Research and Development Enhancement Act of 1992 (P.L. 102-564, October 28, 1992). It amends Section 9 of the Small Business Act (15 U.S.C. 638). On August 10, 1993, the Small Business Administration (SBA) issued a Policy Directive for the general conduct of STTR Programs within the Federal Government. The current law authorizes agencies participating in the STTR Program to expend with small business concerns not less than 0.15 percent of their extramural Research/Research and Development (R/R&D) budgets in FY 2000.

1.2.2 Program Purposes. The purposes of the STTR 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 including increasing the commercialization of research results.

1.3 Program Management

The NASA Office of Aero-Space Technology provides overall policy direction for the STTR 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. Proposals submitted in response to this Solicitation must present an innovative technology concept, which is applicable to the following Research Topics and NASA Centers of Excellence:

Research Topics from the other NASA Centers of Excellence will be included in future solicitations.


1.4 Three Phase STTR Program

The NASA STTR Program is a three-phase program utilizing the entrepreneurial talents of the SBC to transfer technology resident at the RI 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 cooperative R/R&D effort, 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 $100,000. Contractors have up to 12 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 STTR funding agreements, and only at the Federal Agency which awarded the Phase-I project. The Government is not obligated to fund any specific STTR Phase-II proposal. Funding for each Phase-II contract will be limited to $500,000. 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-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 non-Federal capital to pursue private sector applications of the R/R&D effort.

1.5 Eligibility to Participate in the STTR Program

1.5.1 Small Business Concern/Research Institution. Firms qualifying as SBCs as defined in Section 2.1 of this Solicitation are eligible to participate in the STTR program. Only cooperative research and development proposals as defined in Section 2.4 submitted by the SBC in conjunction with the RI will be considered responsive to this Solicitation. 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 Principal Investigator (PI) is considered key to the success of the effort and must make a substantial commitment to the project. If the PI is not an employee of the SBC, the offeror must describe the management process in the proposal to ensure SBC control of the project.

Functions. The functions of the PI are: planning and directing the STTR 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. 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 STTR Program Solicitation is available via the NASA SBIR/STTR homepage (http://sbir.nasa.gov). If the SBC/RI has difficulty accessing the Solicitation, contact the Help Desk (Section 1.6.2).

SBCs and RIs 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 STTR 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 Small Business Innovation Research (SBIR) and STTR information. Please consult these homepages as noted in Section 1.3 for more details on the technology requirements within the topic areas.
   
   
3. Help Desk. For inquiries, requests, and help-related questions, contact via:
   
   e-mail sttr@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:
   
   Paul Mexcur, Program Manager
   NASA SBIR/STTR Program Management Office
   Code 710, Building 3, Room 108
   Goddard Space Flight Center
   Greenbelt, MD 20771-0001
   

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.

1.6.4 Proposal Acknowledgment. An acknowledgment of postal proposal submission will be e-mailed within 15 days of the Solicitation closing date. Information about proposal status will not be available until final selections are announced.

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