NASA SBIR/STTR 2021 Program Solicitation Details | Chapter 8. Submission Forms

Chapter 8. Submission Forms

Note: Previews of all forms and certifications are available via the NASA SBIR/STTR Firm Library, located at: http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.

8.1 SBIR Phase I Checklist

For assistance in completing your Phase I proposal, use the following checklist to ensure your submission is complete.

1.      The proposal and innovation is submitted for one subtopic only (section 3.1).

2.      The entire proposal package is submitted consistently with the requirements outlined in section 3.3.

  1.      Proposal Contact Information

  2.      Proposal Certifications

  3.      Proposal Summary

  4.      Proposal Budget

  5.      Technical Proposal    

  6.      Briefing Chart

  7.      NASA Evaluation License Application (only if TAV is being proposed)
  8.      I-Corps Interest Form 

  9.      Technical and Business Assistance (TABA) Request, if applicable
  10.      Firm-Level Forms (completed once for all proposals submitted to a single solicitation)

    i.     Firm Certifications

    ii.     Audit Information

    iii.     Prior Awards Addendum

    iv.     Commercialization Metrics Survey (CMS)

  11. Electronic Endorsement by the Small Business Official and Principle Investigator (PI)

3.      The technical proposal shall not exceed a total of 19 standard 8.5- by 11-inch pages and shall follow the format requirements (section 3.3.2). 

4.      The technical proposal contains all 10 parts in order (section 3.3.4). 

5.      Any additional required letters/documentation.

a.      A letter of commitment from the appropriate Government official if the research or R&D effort requires use of Government resources (section 3.3.3.4).

b.      Letters of commitment from subcontractors/consultants.

c.      If the firm is an eligible joint venture or a limited partnership, a copy or comprehensive summary of the joint venture agreement or partnership agreement is included.

d.      NASA Evaluation License Application if proposing the use of NASA technology (TAV).

e.      Supporting documentation of budgeted costs.

6.      Proposed funding does not exceed $125,000 (section 1.3), and if requesting TABA, the cost for TABA does not exceed $6,500 (section 3.3.13).

7.      Proposed project duration does not exceed 6 months (section 1.3).

8.      Proposal package electronically endorsed by the Small Business Official and the Principal Investigator (PI) at the published deadline.

9.      Complete proposal packages and all endorsements shall be received no later than 5:00 p.m. ET on January 8, 2021 (section 6.3). 

8.2 STTR Phase I Checklist

For assistance in completing your Phase I proposal, use the following checklist to ensure your submission is complete.

1.      The proposal and innovation is submitted for one subtopic only (section 3.1).

2.      The entire proposal package is submitted consistently with the requirements outlined in section 3.3.

  1.      Proposal Contact Information

  2.      Proposal Certifications

  3.      Proposal Summary

  4.      Proposal Budget

  5.      Technical Proposal

  6.      Research Agreement (STTR only)

  7.      Briefing Chart

  8.      NASA Evaluation License Application (only if TAV is being proposed)
  9.      I-Corps Interest Form 

  10.      Technical and Business Assistance (TABA) Request, if applicable
  11.      Firm-Level Forms (completed once for all proposals submitted to a single solicitation)

    i.     Firm Certifications

    ii.     Audit Information

    iii.     Prior Awards Addendum

    iv.     Commercialization Metrics Survey (CMS)

  12. Electronic Endorsement by the Small Business Official and Principle Investigator (PI) For STTR submissions, it also includes the Research Agreement and endorsement of this agreement by the Research Institution (RI) official.

3.      The technical proposal shall not exceed a total of 19 standard 8.5- by 11-inch pages and shall follow the format requirements (section 3.3.2).

4.      The technical proposal contains all 10 parts in order (section 3.3.4). 

5.      Any additional required letters/documentation.

a.      A letter of commitment from the facility manager if the research or R&D effort requires use of Federal facilities (section 3.3.3.4).

b.      Letters of commitment from subcontractors/consultants.

c.      If the firm is an eligible joint venture or limited partnership, a copy or comprehensive summary of the joint venture agreement or partnership agreement is included.

d.      NASA Evaluation License Application if proposing the use of NASA technology (TAV).

e.      Supporting documentation of budgeted costs.

6.      Proposed funding does not exceed $125,000 (section 1.3) and if requesting TABA, the cost for TABA does not exceed $6,500 (section 3.3.13).

7.      Proposed project duration does not exceed 13 months (section 1.3).

8.      Research Agreement electronically endorsed by both the Small Business Official and the Research Institution (RI) (section 3.3.5, 6.2).

9.      Proposal package electronically endorsed by the Small Business Official and the Principal Investigator (PI) at the published deadline.

10.     Signed Allocation of Rights Agreement.

11.     Complete proposal packages and all endorsements shall be received no later than 5:00 p.m. ET on January 8, 2021 (section 6.3)

8.3 SBIR Phase II Checklist

For assistance in completing your Phase II proposal, use the following checklist to ensure your submission is complete.

1.      The proposal and innovation is submitted for one subtopic only (section 3.1).

2.      The entire proposal package is submitted consistently with the requirements outlined in section 3.4.

  1.      Proposal Contact Information

  2.      Proposal Certifications

  3.      Proposal Summary

  4.      Proposal Budget

  5.      Technical Proposal 

  6.      Briefing Chart

  7.      NASA Evaluation License Application, only if TAV is being proposed
  8.      Capital Commitments Addendum, if applicable

  9.      Technical and Business Assistance (TABA) Request, if applicable
  10.      Firm Level-Forms (completed once for all proposals submitted to a single solicitation)

    i.     Firm Certifications

    ii.     Audit Information

    iii.     Prior Awards Addendum

    iv.     Commercialization Metrics Survey (CMS)

  11. Electronic Endorsement by the Small Business Official and Principle Investigator (PI)

3.      The technical proposal shall not exceed a total of 46 8.5- by 11-inch pages and shall follow the format requirements (section 3.4.2).

4.      The technical proposal contains all 10 parts in order (section 3.4.4). 

5.      Any additional required letters/documentation

a.      A letter of commitment from the facility manager if the research or R&D effort requires use of Federal facilities (section 3.4.4).

b.      Letters of commitment from subcontractors/consultants.

c.      Letters in support of Capital Commitments Addendum.  

d.      If the firm is an eligible joint venture or limited partnership, a copy or comprehensive summary of the joint venture agreement or partnership agreement is included.

e.      NASA Evaluation License Application if proposing the use of NASA technology (TAV).

f.       Supporting documentation of budgeted costs.

6.      Proposed funding does not exceed $750,000 (section 1.8), and if requesting TABA, the cost for TABA does not exceed $50,000 (section 3.4.14).

7.      Proposed project duration does not exceed 24 months (section 1.3).

8.      Proposal package electronically endorsed by the Small Business Official and the Principal Investigator (PI) at the required deadline. 

9.      Complete Phase II proposal packages and all endorsements shall be received no later than 5 p.m. ET on the last day of the Phase I contract period of performance (section 6.4).

8.4 STTR Phase II Checklist

For assistance in completing your Phase II proposal, use the following checklist to ensure your submission is complete.

1.      The proposal and innovation is submitted for one subtopic only (section 3.1).

2.      The entire proposal package is submitted consistently with the requirements outlined in section 3.4.

  1.      Proposal Contact Information

  2.      Proposal Certifications

  3.      Proposal Summary

  4.      Proposal Budget

  5.      Technical Proposal

  6.      Research Agreement

  7.      Briefing Chart

  8.      Capital Commitments Addendum, if applicable

  9.      NASA Evaluation License Application if proposing the use of NASA Technology (TAV)
  10.      Technical and Business Assistance (TABA) Request, if applicable
  11.      Firm-Level Forms (completed once for all proposals submitted to a single solicitation)

    i.     Firm Certifications

    ii.     Audit Information

    iii.     Prior Awards Addendum

    iv.     Commercialization Metrics Survey (CMS)

  12. Electronic Endorsement by the Small Business Official and Principle Investigator (PI) For STTR submissions, it also includes the Research Agreement and endorsement of this agreement by the Research Institution (RI) official

3.      The technical proposal shall not exceed a total of 46 8.5- by 11-inch pages and shall follow the format requirements (section 3.4.2).

4.      The technical proposal contains all 10 parts in order (section 3.4.4). 

5.      Any additional required letters/documentation

a.      A letter of commitment from the facility manager if the research or R&D effort requires use of Federal facilities (section 3.4.4).

b.      Letters of commitment from subcontractors/consultants.

c.      Letter in support of Capital Commitments Addendum.

d.      If the firm is an eligible joint venture or limited partnership, a copy or comprehensive summary of the joint venture agreement or partnership agreement is included.

e.      NASA Evaluation License Application if proposing the use of NASA Technology (TAV).

f.       Supporting documentation of budgeted costs.

6.      Proposed funding does not exceed $750,000 (section 1.8), and if requesting TABA, the cost for TABA does not exceed $50,000 (section 3.4.14).

7.      Proposed project duration does not exceed 24 months (section 1.3).

8.      Research Agreement electronically endorsed by both the Small Business Official and the Research Institution (RI) (section 3.4.5, 6.2).

9.      Proposal package electronically endorsed by the Small Business Official and the Principal Investigator (PI) at the required deadline.

10.   Signed Allocation of Rights Agreement.

11.   Complete Phase II proposal packages and all endorsements shall be received no later than 5:00 p.m. ET on the last day of the Phase I contract period of performance (section 6.4).