1. Select SBIR Phase II Program Description
1.1 Introduction
This document provides a general description of the NASA Select SBIR Phase II Program and proposal submission requirements. All small business concerns (SBCs) that are awarded and have successfully completed their Select Phase I contracts are invited to submit Select Phase II proposals. Receipt of Select Phase II proposals are due on the last day of performance under Select SBIR Phase I contracts, the submission period will be available approximately 6 weeks prior to the contract completion date.
Proposals must be submitted online via the Proposal Submissions Electronic Handbook at http://sbir.nasa.gov and include all relevant documentation.
1.2 Select SBIR Phase II Description
Select Phase II
The purpose of Select Phase II is the development, demonstration and delivery of the innovation. Only SBCs awarded a Select Phase I contract are eligible to submit a proposal for a Select Phase II funding agreement. Select Phase II projects are chosen as a result of competitive evaluations and based on selection criteria provided in the Select Phase II Proposal Instructions and Evaluation Criteria. The funding outlined above for Select Phase II contracts should enable significant test, demonstration, and evaluation activities leading to technologies at high readiness levels for NASA utilization.
Maximum value and period of performance for Select Phase II contracts:
| Phase II Contracts |
SBIR |
| Maximum Contract Value |
$1,500,000 |
| Period of Performance |
24 months |
1.3 Select Phase II Contract Options
Select Phase II Enhancement (Phase II-E)
The purpose of the Phase II-E Option is to further encourage the advancement of innovations developed under Phase II contracts via an extension of R/R&D efforts to the current Phase II contract. Eligible firms must secure a third-party investor to partner and invest in enhancing their technology for further research, infusion, and commercialization. Under this option, the NASA SBIR Program will match, on a dollar-to-dollar basis, up to $125,000 of non-NASA-SBIR investments to extend a project from 6-to-12 months. There is a minimum funding requirement for Phase II-E, as eligible firms must secure at least $25,000 in third party investments. These non-NASA-SBIR third party investments can come from a NASA project, NASA contractor, or any commercial investor. The total cumulative award for the Select Phase II contract plus the Phase II-E match is not expected to exceed $1,625,000 of SBIR funding. The non-SBIR contribution is not limited since it is regulated under the guidelines for Phase III awards.
The Phase II-E application may be submitted anytime during the 4th month before the end of the contract period of performance (for example, a 24 month period of performance, the application would be due any time during the 20th month of the period of performance; a 18 month period of performance, the application would be due any time during the 14th month of the period of performance). Also, any additional information regarding the submission of a Phase II-E proposal will be included in the Phase II contracts. Firms interested in executing a Phase II-E option are requested to notify the NASA SBIR Program of its intent to propose in writing to ARC-SBIR-PMO@mail.nasa.gov, by the end of the 14th month of performance of the Phase II contract. This written notification will be non-binding.
Maximum value and period of performance for Select Phase II-E contract options:
|
Phase II Enhancement |
Minimum non-SBIR Funding Required for Eligibility for Matching in Phase II-E |
Corresponding SBIR Program Contribution |
Anticipated Period of Additional Performance |
|
$25,000 |
$25,000 |
6-12 Months |
|
|
Maximum non-SBIR Funding to be Matched by SBIR Program in Phase II-E |
Corresponding SBIR Program Contribution |
Anticipated Period of Additional Performance |
|
|
$125,000 |
$125,000 |
6-12 Months |
Phase II contracts with a period of performance less than 18 months, will NOT be eligible for a Phase II-E. In addition, to be eligible for this option, the contractor's performance must be on time in accordance with the contract work plan. The number of Phase II- E options to be exercised is subject to the availability of funds and will be selected based on criteria provided in the Phase II contract.
Select Phase II eXpanded (Phase II-X)
The purpose of the Phase II-X Option is to establish a strong and direct partnership between the NASA SBIR Program and other NASA projects undertaking the development of new technologies of innovations for future use. Under a Phase II-X option, innovations developed in Phase II are to be advanced via an extension of R/R&D efforts to the current Phase II contract. There are two specific requirements to be met for firms to be eligible for a Phase II-X option. First, eligible firms must secure a NASA program or project (other than the NASA SBIR Program) as a partner to invest in enhancing their technology for further research or infusion. Second, there is a minimum funding requirement for Phase II-X, as eligible firms must secure at least $75,000 in NASA program or project funding. Under this option, the NASA SBIR Program will match, on a 2-for-1 basis, up to $250,000 of NASA program or project funding, thus enabling a maximum of $500,000 of SBIR award funds to be added from the NASA SBIR Program. Note: A firm may acquire additional, non-NASA, third-party investments as part of a Phase II-X option, but those funds will not be counted in the NASA SBIR Program's matching calculation. Executing a Phase II-X option is anticipated to extend a Select Phase II from 12-to-24 months after the completion of Phase II. The total cumulative award for the Select Phase II contract plus the Phase II-X match is not expected to exceed $2,000,000 of SBIR funding. The NASA contribution is not limited since it is regulated under the guidelines for Phase III awards.
The Phase II-X application may be submitted anytime during the 4th month before the end of the contract period of performance (for example, a 24 month period of performance, the application would be due any time during the 20th month of the period of performance; a 18 month period of performance, the application would be due any time during the 14th month of the period of performance). Also, any additional information regarding the submission of a Phase II-X proposal will be included in the Phase II contracts. Firms interested in executing a Phase II-X option are requested to notify the NASA SBIR Program of its intent to propose in writing to ARC-SBIR-PMO@mail.nasa.gov, by the end of the 13th month of performance of the Phase II contract. This written notification will be non-binding.
Maximum value and period of performance for Select Phase II-X contract options:
|
Phase II eXpanded |
Minimum Funding Required from non-SBIR NASA Source for Eligibility for Matching in Phase II-X |
Corresponding SBIR Program Contribution |
Anticipated Period of Additional Performance |
|
$75,000 |
$150,000 |
12-24 Months |
|
|
Maximum Funding Amount from non-SBIR NASA Source to be Matched in Phase II-X |
Corresponding SBIR Program Contribution |
Anticipated Period of Additional Performance |
|
|
$250,000 |
$500,000 |
12-24 Months |
Phase II contracts with a period of performance less than 18 months, will NOT be eligible for a Phase II-X. In addition, to be eligible for this option, the contractor's performance must be on time in accordance with the contract work plan. The number of Phase II-X options to be exercised is subject to the availability of funds and will be selected based on criteria provided in the Phase II contract.
Proposing to the Phase II-E or Phase II-X Option
Note: The SBIR Program will allow firms with a Phase II contract that follows a Phase I contract from this solicitation to submit a proposal for either a Phase II-E contract option, or a Phase II-X contract option. Firms are not permitted to submit a proposal for both options. The number of Phase II- E and Phase II-X options to be exercised may be limited by availability of funds and will be selected based on the evaluation criteria.
1.5 NASA SBIR Technology Available (TAV)
All subtopics have the option of using Technology Available (TAV) with NASA IP (defined below), which may also include NASA non-patented software technology requiring a Software Usage Agreement (SUA) or similar permission for use by others. All subtopics address the objective of increasing the commercial application of innovations derived from Federal R&D. While NASA scientists and engineers conduct breakthrough research that leads to innovations, the range of NASA's effort does not extend to commercial product development in any of its intramural research areas. Additional work is often necessary to exploit these NASA technologies for either infusion or commercial viability and likely requires innovation on behalf of the private sector. NASA provides these technologies "as is" and makes no representation or guarantee that additional effort will result in infusion or commercial viability.
The NASA technologies identified in a subtopic or via the IP search tool (http://technology.nasa.gov): (1) are protected by NASA-owned patents (NASA Patents), (2) are non-patented NASA-owned or controlled software (NASA software), or (3) are otherwise available for use by the public. In the event offeror requests to use NASA owned or controlled technologies, which are not NASA patents or NASA software, NASA shall consider such request and permit such uses as NASA, in its sole discretion, deems appropriate and permissible. If a proposer elects to use a NASA patent, a non-exclusive, royalty-free research license will be required to use the NASA IP during the SBIR performance period.
Similarly, if a proposer wishes to use NASA software, the parties will be required to enter into a Software Usage Agreement on a non-exclusive, royalty-free basis in order to use such NASA software for government purposes and "Government-Furnished Computer Software and Related Technical Data" will apply to the contract. As used herein, "NASA IP" refers collectively to NASA patents and NASA software disclaimer: All subtopics include an opportunity to license or otherwise use NASA IP on a non-exclusive, royalty-free basis, for research use under the contract. Use of the NASA IP is strictly voluntary. Whether or not a firm uses NASA IP within their proposed effort will not in any way be a factor in the selection for award. NASA software release is governed by NPR 2210.1C.
Use of NASA Patent
All offerors submitting proposals citing a NASA patent must submit a non-exclusive, royalty-free license application if the use of a NASA patent is desired. The NASA license application is available on the NASA SBIR/STTR website: http://sbir.gsfc.nasa.gov/sites/default/files/research_license_app.doc. NASA only will grant research licenses to those SBIR offerors who submitted a license application and whose proposal resulted in an SBIR award under this solicitation. Such grant of non-exclusive research license will be set forth in the successful offeror's SBIR contract. License applications will be treated in accordance with Federal patent licensing regulations as provided in 37 CFR Part 404.
SBIR offerors are notified that no exclusive or non-exclusive commercialization license to make, use or sell products or services incorporating the NASA patent will be granted unless an SBIR offeror applies for and receives such a license in accordance with the Federal patent licensing regulations at 37 CFR Part 404. Awardees with contracts that identify a specific NASA patent will be given the opportunity to negotiate a non-exclusive commercialization license or, if available, an exclusive commercialization license to the NASA patent.
An SBIR awardee that has been granted a non-exclusive, royalty-free research license to use a NASA patent under the SBIR award may, if available and on a non-interference basis, also have access to NASA personnel knowledgeable about the NASA patent. The NASA Intellectual Property Manager (IPM) located at the appropriate NASA Center will be available to assist awardees requesting information about a patent that was identified in the SBIR contract and, if available and on a non-interference basis, provide access to the inventor or surrogate for the purpose of knowledge transfer.
Note: Access to the inventor for the purpose of knowledge transfer, will require the requestor to enter into a Non-Disclosure Agreement (NDA), the awardee "may" be required to reimburse NASA for knowledge transfer activities.
Use of NASA Software
Software identified and requested under a SBIR contract shall be treated as Government Purpose Rights. Government purpose releases includes releases to other NASA Centers, Federal government agencies, and recipients who have a government contract. The software may be used for "government purposes" only. The recipients of such software releases are typically U.S. citizens. Non U.S. citizens will not be allowed access to NASA software under the SBIR contract.
A Software Usage Agreement (SUA) shall be requested after contract award from the appropriate NASA Center Software Release Authority (SRA). The SUA request shall include the NASA software title, version number, requesting firm contract info including recipient name, and SBIR contract award info. The SUA will expire when the contract ends.
