NASA SBIR/STTR Program Solicitation Details | 1. Program Description

The purpose of Phase II is to continue the R/R&D developed under Phase I with a goal to commercialize and bring the innovation to either Federal or commercial markets, or both, as the Phase II project is completed. Phase II will require a more comprehensive proposal, outlining the effort in detail and the commercialization strategy for the effort. NASA recognizes that Phase II awards may not be sufficient in either dollars or time for the firm to complete the total R/R&D and the commercialization activities required to bring the project results to the marketplace. Therefore, completion of the research under these circumstances may have to be carried into Post Phase II opportunities or Phase III.

This solicitation includes instructions for small business concerns (SBCs) to submit a complete Phase II proposal package to the NASA SBIR program. Furthermore, program background information, eligibility requirements for participants, and information on the three program phases are contained herein. The 2023 Phase II solicitation period for submission of complete proposal packages begins on December 18, 2023, and ends at 5 p.m. Eastern Time on February 2, 2024.

The Space Technology Mission Directorate (STMD) provides overall policy direction for the implementation of the NASA SBIR program. The NASA SBIR/STTR Program Management Office (PMO), hosted at the NASA Ames Research Center, operates the program in conjunction with NASA mission directorates and centers. Additionally, the NASA Shared Services Center (NSSC) provides the overall procurement management for the programs. 

For this Phase II solicitation, NASA research and technology areas that were solicited at Phase I serve as the basis for the Phase II proposal. Under this solicitation, there will not be a listing of research topics/subtopics. Offerors are expected to provide proposals that are follow-on work from their 2023 Phase I award and should reference Chapter 9 of the Fiscal Year 2023 SBIR Phase I Solicitation for original subtopic information at https://sbir.nasa.gov/solicit-detail/97360. 

There is no commitment by NASA to fund any proposal or to make a specific number of awards and NASA may elect to make several or no awards in any specific research subtopic. The number of awards will be based on the level of appropriated funding provided to the program in FY 2024. Since this solicitation may be released prior to the passage of an appropriations act for FY 2024, enactment of continuing resolutions or an appropriations act may affect the availability or level of funding for this program and may delay the start date of Phase II contracts or impact the maximum contract value levels.

Offerors that proposed to use technology developed by NASA (Technology Available (TAV)) under their Phase II project should plan to continue to move the technology towards commercialization after Phase II. For more information on the NASA Technology Transfer program go to http://technology.nasa.gov. Whether or not a firm proposes the use of a NASA patent or computer software within its proposed effort will not in any way be a factor in the selection for the award.

1.6.1 Use of NASA Software

If an offeror intends to use NASA software, a Software Usage Agreement (SUA), on a nonexclusive, royalty-free basis, is necessary, and the clause at 48 C.F.R. 1852.227-88, Government-Furnished Computer Software and Related Technical Data, will apply to the contract. The SUA shall be requested from the appropriate NASA Center Software Release Authority (SRA), after the contract award.

1.6.2 Use of NASA Patent

All offerors submitting a proposal package that includes the use of a NASA patent must apply for a nonexclusive, royalty-free evaluation license. After firms have identified a patent to license in the NASA patent portfolio (http://technology.nasa.gov), a link on the patent webpage (“Apply Now to License this Technology”) will direct them to NASA’s Automated Licensing System (ATLAS) to finalize their license with the appropriate field center technology transfer office. The completed evaluation license application must be provided with the proposal following the directions in section 3.4. Such grant of nonexclusive evaluation license will be set forth in the successful offeror’s SBIR contract. The evaluation license will automatically terminate at the end of the SBIR contract. License applications will be treated in accordance with Federal patent licensing regulations as provided in 37 CFR Part 404.

In addition to an evaluation license, if the proposed work includes the making, using, or selling of products or services incorporating a NASA patent, successful awardees will be given the opportunity to negotiate a nonexclusive commercialization license or, if available, an exclusive commercialization license to the NASA patent. Commercialization licenses are also provided in accordance with 37 CFR Part 404.

An SBIR awardee who has been granted a nonexclusive, royalty-free evaluation license to use a NASA patent under the SBIR award may, if available and on a noninterference basis, also have access to NASA personnel knowledgeable about the NASA patent. Licensing Executives located at the appropriate NASA field 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 noninterference basis, provide access to the inventor or surrogate for the purpose of knowledge transfer. Access to the inventor for the purpose of knowledge transfer will require the requestor to enter into a Non-Disclosure Agreement (NDA) or other agreement, such as a Space Act Agreement. The awardee may be required to reimburse NASA for knowledge transfer activities.

Offerors that are successful in receiving a Phase II award are eligible to apply for an intern diversity supplement to be effective only in the summer months of the second year of their Phase II project period. Instructions for requesting a diversity supplement will be provided directly to Phase II awardees prior to the application period.

PURPOSE

The purpose of a Phase II intern diversity supplement is to improve the diversity of the research workforce by recruiting and supporting undergraduate and graduate students from groups that have been shown to be underrepresented in the U.S. science and engineering workforce.

Fostering diversity by encouraging the participation of individuals from nationally underrepresented groups in the scientific and engineering research workforce is a longstanding interest of Congress, and a key component of the NASA SBIR/STTR outreach strategy to identify, develop, support, and maintain the quality of its scientific and engineering workforce. Similarly, fostering and encouraging participation from women, socially and economically disadvantaged individuals, and other individuals in nationally underrepresented groups in the science and engineering workforce are equally critical to the success of the SBIR and STTR programs. Scientists, engineers, and entrepreneurs from underrepresented backgrounds and life experiences bring different perspectives, creativity, and individual enterprise to address complex scientific problems.

This diversity supplement is designed to provide support for research and entrepreneurial experiences for candidates whose participation will improve the SBIR/STTR program by promoting diversity in the small business community throughout the continuum from undergraduate to graduate level. Continuation of this program in the future will depend on evaluation of the career outcomes of the supported individuals as well as continuing assessments of the diversity of the small business programs by the U.S. Small Business Administration and the National Academies.

In all cases, the proposed research experience must be an integral part of the approved ongoing research of the eligible NASA Phase II award and must have the potential to contribute to the research and entrepreneurial career development of the candidates.

CANDIDATES

SBCs are encouraged to identify women, individuals from nationally underrepresented groups, individuals with a commitment to diversifying the science and engineering workforce, and/or individuals meeting the SBA definition of socially and economically disadvantaged.

Members of socially disadvantaged groups as defined by Executive Order on Advancing Racial Equity and Support for Underserved Communities Through the Federal Government dated January 20, 2021, are:

• Black, Latino, Indigenous, and Native American persons, Asian Americans and Pacific Islanders and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality Black Americans.

An economically disadvantaged individual candidate for a diversity supplement must have:

• a net worth less than $750,000 (not including his or her primary residence and the value of the individual’s ownership interest in a socially and economically disadvantaged SBC, if any),
• an average adjusted gross income of $350,000 or less for the preceding three years, and
• the fair market value of all his or her assets (including his or her primary residence and the value of the individual’s ownership interest in a socially and economically disadvantaged SBC, if any) does not exceed $6 million.

For purposes of the diversity supplement, the definitions above apply to the individual candidates, not the SBC Phase II offeror applying for the supplement.

As part of this supplement program, Undergraduate, Baccalaureate, and Master's Degree and Graduate students who have a demonstrated interest in or desire to pursue science, technology, engineering, or math (STEM) training and entrepreneurship, may participate in a Phase II research project during the summer months. This experience is separate from any requirement of the regular academic program.

The duration of the program is normally 10 weeks but could be extended with a no-cost extension request and approval from the Contracting Officer. This supplement program is limited to citizens or non-citizen nationals of the United States or individuals who have been lawfully admitted for permanent residence in the United States.

The purpose of the NASA Mentor-Protégé Program (MPP) is to provide incentives to NASA contractors, performing under at least one active approved subcontracting plan negotiated with NASA, to assist protégés in enhancing their capabilities to satisfy NASA and other contract and subcontract requirements. The NASA MPP established under the authority of Title 42, United States Code (U.S.C.) 2473(c)(1) and managed by the Office of Small Business Programs (OSBP), includes an Award Fee Pilot Program. Under the Award Fee Pilot Program, a mentor is eligible to receive an award fee at the end of the agreement period based upon the mentor’s performance of providing developmental assistance to an active SBIR Phase II contractor in a NASA Mentor-Protégé agreement (MPA). For more information on the Mentor-Protégé Program, please visit https://www.nasa.gov/osbp/mentor-protege-program.  

The NASA Procurement Ombudsman Program is available under this solicitation as a procedure for addressing concerns and disagreements concerning the terms of the solicitation, the processes used for the evaluation of completed proposal packages, or any other aspect of the SBIR procurement. The clause at NASA Federal Acquisition Regulation (FAR) Supplement (NFS) 1852.215-84 (“Ombudsman”) is incorporated into this solicitation.

The cognizant ombudsman is: 

Marvin Horne, Procurement Ombudsman Office of Procurement

Offerors are advised that, in accordance with NFS 1852.215-84, the ombudsman does not participate in any way in the evaluation of proposal packages, the source selection process, or the adjudication of formal contract disputes. Therefore, before consulting with the ombudsman, offerors must first address their concerns, issues, disagreements, and/or recommendations to the Contracting Officer for resolution. Offerors are further advised that the process set forth in this solicitation provision (and described at NFS 1852.215-84) does not augment their right to file a bid protest or otherwise toll or elongate the period in which to timely file such a protest.