3. Phase II Proposal Preparation Instructions and Requirements
3.1 Phase II Proposal
The Phase II proposal is to continue the R/R&D developed under Phase I with a goal to commercialize and bring the innovation to Federal and commercial markets as the Phase II project is completed. Phase II will require a more comprehensive proposal, outlining the proposed 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 NASA Post-Phase II or Phase III opportunities.
3.2 Proprietary Information in the Proposal Submission
Information contained in unsuccessful proposals will remain the property of the applicant. The Federal Government may, however, retain copies of all proposals. Public release of information in any proposal submitted will be subject to existing statutory and regulatory requirements. If proprietary information is provided by an applicant in a proposal, which constitutes a trade secret, commercial or financial information, it will be treated in confidence, to the extent permitted by law, provided that the proposal is clearly marked by the applicant as follows:
(A) The following “italicized” legend must appear on the title page of the proposal:
This proposal contains information that shall not be disclosed outside the Federal Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this proposal unless authorized by law. The Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract if the award is made as a result of the submission of this proposal. The information subject to these restrictions is contained on all pages of the proposal except for pages [insert page numbers or other identification of pages that contain no restricted information]. (End of Legend); and
(B) The following legend must appear on each page of the proposal that contains information the applicant wishes to protect:
Use or disclosure of information contained on this sheet is subject to the restriction on the title page of this proposal.
3.3 Release of Certain Proposal Information
In submitting a proposal, the offeror agrees to permit the Government to disclose publicly the information contained in the Contact Information form, Proposal Summary form which includes the technical abstract, and Briefing Chart. Other proposal data is considered to be the property of the offeror, and NASA will protect it from public disclosure to the extent permitted by law, including requests submitted under the Freedom of Information Act (FOIA).
3.4 Requirements to Submit a Phase II Complete Proposal Package
3.4.1 General Requirements
Phase II proposals are more comprehensive than those required for Phase I. Submission of a Phase II proposal is in accordance with Phase I contract requirements and is voluntary. NASA assumes no responsibility for any proposal preparation expenses.
Offerors may only submit one Phase II proposal per Phase I award and offerors are only allowed to submit a Phase II proposal at the end of the FY2023 Phase I contract period of performance for this solicitation. NASA will not accept Phase II proposals from prior Phase I awardees that did not submit a proposal at the end of the Phase I contract period of performance.
The proposal will provide the planning for a focused project that builds upon Phase I results and encompasses technical, market, financial, and business factors relating to the development and demonstration of the proposed innovation and its transition into products and services for NASA mission programs, other Government agencies (Federal and State), and non-Government markets.
3.4.2 Format Requirements
Note: NASA administratively screens all proposals and reserves the right to decline any proposal that does not conform to the following formatting requirements.
A Phase II technical proposal must not exceed a total of 46 standard letter size (8.5 by 11 inch or 21.6 by 27.9 cm) pages. Proposals uploaded with more than 46 pages will prompt a warning that will prevent the completed proposal from being submitted. Each page must be numbered consecutively at the bottom. Technical proposal uploads with any page(s) going over the required page limit will not be accepted. The additional forms required for proposal submission will not count against the 46-page limit.
Margins must be 1.0 inch (2.5 cm).
Suggested Page Limits for Technical Proposal Parts
Section 3.4.4 gives suggested page limits for each part of the technical proposal. These are guidelines and are not strict requirements, except for the minimum page requirement stated for Part 7: Commercialization and Business Plan. Offerors are still required to meet the total page-limit proposal requirements as described above.
No type size smaller than 10 points shall be used for text or tables, except as legends on reduced drawings. Proposals prepared with smaller font sizes may be declined without consideration.
Headers shall include the firm name, proposal number, and project title. Footers must include the page number and proprietary markings if applicable. Margins can be used for header/footer information.
NASA does not accept proposals that contain classified information.
Embedded Animation, Video, and Further Reading
Embedded animation or video, as well as technical papers referenced for “further reading,” will not be considered for evaluation.
The proposal project title shall be concise and descriptive of the proposed effort. The title should not use acronyms or words like "development of" or "study of." The NASA research topic title must not be used as the proposal title.
A Complete Proposal Package Contains:
Each complete proposal package submitted shall contain the following items:
- Proposal Contact Information (Section 126.96.36.199)
- Proposal Certifications (Section 188.8.131.52)
- Proposal Summary – must not contain any proprietary data (Section 184.108.40.206)
- Proposal Budget (Section 220.127.116.11)
- Letters of commitment for Government resources and subcontractors/consultants (if applicable)
- Foreign Vendor form (if applicable) – Note: NASA and the Office of Management and Budget (OMB) have issued a policy that requires a review of any request to purchase materials or supplies from foreign vendors.
- Technical Proposal – To include all 10 Parts in the order specified in section 3.4.4, not to exceed 46 pages, including all graphics, and starting with a table of contents.
- Briefing Chart - must not contain proprietary data (Section 3.4.5)
- NASA Evaluation License Application, only if TAV is being proposed (Section 1.6)
- Capital Commitments Addendum Supporting Phase II and Phase III (optional) (Section 3.4.6)
- Technical and Business Assistance (TABA) Request, if applicable (Section 3.4.13)
- Firm-Level Forms (completed once per offeror for all proposals submitted to a single solicitation)
- Firm Certifications (Section 3.4.7)
- Audit Information (Section 3.4.9)
- Prior Awards Addendum (Section 3.4.10)
- Commercialization Metrics Survey (CMS) (Section 3.4.11)
- Disclosures of Foreign Affiliations or Relationships to Foreign Countries (Section 3.4.8)
- Electronic Endorsement in the EHB by the Small Business Official and Principal Investigator (PI)
Previews of forms and certifications are available via the NASA SBIR/STTR Resources website, located at http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.
Note: Letters expressing general technical interest are not required or desired and will not be considered during the review process. However, if submitted, such letter(s) will count against the page limit. Letters of funding support commitments are allowable for Phase II proposals but will only be considered under Factor 4: Commercial Potential and Feasibility. Letters of funding support commitments should be submitted as part of the Capital Commitments Addendum as described under Part 7: Commercialization and Business Plan.
Note: The EHB will not allow the upload of relevant technical papers, product samples, videotapes, slides, or other ancillary items, and they will not be considered during the review process.
All form submissions shall be done electronically and do not count toward the 46-page limit. Samples of forms can be found on the NASA SBIR/STTR Resources website: http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.
18.104.22.168 Contact Information
The offeror must provide complete information for each designated contact person and submit the form as required in section 6. Contact Information is public information and may be disclosed.
22.214.171.124 Proposal Certifications
The offeror must provide complete information for each item and submit the form as required in section 6.
126.96.36.199 Proposal Summary
The offeror shall provide complete information for each item and submit the form as required in section 6. The Proposal Summary, including the Technical Abstract, is public information and may be disclosed. Do not include proprietary information in this form.
188.8.131.52 Proposal Budget
The offeror must complete the Budget form following the contextual help provided on the electronic budget form in the EHB. The total requested funding for the Phase II technical effort shall not exceed $850,000. If requesting TABA, offerors are allowed to request up to $50,000 over the $850,000 for the technical effort. Information shall be submitted to explain the offeror’s plans for the use of the requested funds to enable NASA to determine whether the proposed price is fair and reasonable.
In addition, the following documents and information as directed by the EHB must be submitted with the Proposal Budget form, as applicable:
Proposal Requirements for Use of Government Resources
In cases where an offeror seeks to use NASA or another Federal department or agency laboratory services, equipment, or facilities (collectively, “resources”), the offeror shall provide the following:
- Statement, signed by the appropriate Government official at the affected Federal department or agency laboratory, verifying that the resources should be available during the proposed period of performance. Offerors must upload this letter in the Proposal Budget form.
- A signed letter on company letterhead from the contractor’s Small Business Official explaining why the SBIR research project requires the use of Government resources, including data that verifies the absence of non-Federal facilities or personnel capable of supporting the research effort, and the associated cost estimate. Offerors must upload this letter in the Proposal Budget form.
See Part 8 of the Technical Proposal instructions for additional information on the use of Government Resources.
Use of Subcontractors and Consultants
Subject to the restrictions set forth below, the offeror may establish business arrangements with other entities or individuals to participate in the performance of the proposed R/R&D effort. Subcontractors' and consultants' work have the same place-of-performance restrictions as stated in section 1.5.4.
- Offerors should list consultants by name and specify, for each, the number of hours and hourly costs.
- The breakdown of the subcontractor budget should mirror the offeror’s own breakdown in the Proposal Budget form and include breakdowns of direct labor, other direct costs, and profit, as well as indirect rate agreements.
- A signed letter of commitment is required for each subcontractor and/or consultant. For educational institutions that will serve as a subcontractor, the letter must be from the institution’s office of sponsored programs.
The following restrictions apply to the use of subcontractors/consultants, and the formula below must be used in preparing budgets with subcontractors/consultants. For Phase II SBIR, the proposed subcontracted business arrangements, including consultants, must not exceed 50 percent of the research and/or analytical work [as determined by the total cost of the proposed subcontracting effort (to include the appropriate overhead (OH) and general and administrative expense (G&A) in comparison to the total effort (total contract price including cost sharing, if any, less profit, if any)]. Occasionally, deviations from these SBIR requirements may occur and must be approved in writing by the Contracting Officer after consultation with the agency SBIR/STTR Program Manager.
Total price to include profit $850,000
Total price less profit $850,000 – $21,750 = $828,250
Subcontractor cost $250,000
G&A on subcontractor cost $250,000 ´ 5% = $12,500
Subcontractor cost plus G&A $250,000 + $12,500 = $262,500
Percentage of subcontracting effort* $262,500/$828,250 = 31.6%
*Subcontractor cost plus G&A/total price less profit
For an SBIR Phase II, this is acceptable because it is below the subcontracting limitation of 50 percent.
See Part 9 of the Technical Proposal for additional information on the use of subcontractors and consultants.
For Phase II, offerors shall submit a proposed quarterly milestone plan with the Proposal Budget form. The milestone plan shall be in accordance with the proposed work plan, outlining the work to be accomplished each quarter and the cost proposed associated with each of the quarterly milestones. The cost breakdown shall be similar to the Proposal Budget form for each of the proposed quarterly milestones (i.e., each milestone should include the labor, supplies, travel, and profit associated with those tasks to be accomplished that quarter). The proposed cost associated with each quarterly milestone must be realistic for the work to be accomplished but is not required to be equally distributed across each quarter.
Note: The Government is not responsible for any monies expended by the firm before the award of any contract. Successful offerors are responsible for reimbursing NASA for resources utilized in the performance of the effort, and the cost of such resources will be included in their contract values (not to exceed capped amounts).
3.4.4 Technical Proposal
This part of the submission shall not contain any budget data and must include all 10 parts listed below in the given order. All 10 parts of the technical proposal should be numbered and titled. Parts that are not applicable should be included by title and marked “Not applicable.” The table of contents is provided below:
Phase II Table of Contents
Part 1: Table of Contents……………………………………………………………………………….…………Page X
Part 2: Identification and Significance of the Innovation and Results of the Phase I Proposal……Page X
Part 3: Technical Objectives……………………………………………………………………………………..Page X
Part 4: Work Plan……………………………………………………………………………………………………..Page X
Part 5: Related R/R&D ……………………………………………………………………………………………..Page X
Part 6: Key Personnel and Bibliography of Directly Related Work…………………………….Page X
Part 7: Commercialization and Business Plan…………………………………………..………………Page X
Part 8: Facilities/Equipment……………………………………………………………………………………...Page X
Part 9: Subcontractors and Consultants……………………………………………………………………Page X
Part 10: Related, Essentially Equivalent, and Duplicate Proposals and Awards……………Page X
Part 1: Table of Contents (Suggested page limit – 0.5 page)
The technical proposal should begin with a brief table of contents indicating the page numbers of each of the parts of the proposal (see above).
Part 2: Identification and Significance of the Innovation and Results of the Phase I Award (Suggested page limit – 15 pages)
Provide a summary of your Phase I results and, building on those results, succinctly describe the Phase II proposed work, including
- The proposed innovation,
- The relevance and significance of the proposed innovation to an interest, need, or needs within the subtopic that aligned with the completed Phase I work, and
- The proposed innovation is relative to the state of the market, the state of the art, and its feasibility.
Please be advised that the evaluators may review the Phase I final technical report to verify the accuracy of this summary. However, offerors should not rely on this and should include relevant results in the Phase II proposal.
Part 3: Technical Objectives (Suggested page limit – 2 pages)
State the specific objectives of the Phase II effort as it relates to the problem statement(s) posed in the original subtopic description for Phase I.
Proposed Deliverables: Indicate the proposed deliverables at the end of the Phase II effort and how they match up to the subtopic.
All offerors who are planning to use NASA Intellectual Property (IP) must describe their planned developments with the IP. The NASA Evaluation License Application should be added as an attachment under Proposal Certifications (see section 1.6).
Part 4: Work Plan (Suggested page limit – 10 pages)
Include a detailed description of the Phase II R/R&D plan to meet the technical objectives. The plan should indicate what will be done, where it will be done, and how the R/R&D will be carried out. Discuss in detail the methods planned to achieve each task or objective. Task descriptions, schedules, resource allocations, estimated task hours for each key personnel, and planned accomplishments, including project milestones, shall be included. Offerors should ensure that the estimated task hours provided in the work plan for key personnel are consistent with the hours reported in the Proposal Budget form. If the offeror is a joint venture or limited partnership, a statement of how the workload will be distributed, managed, and charged should be included in the proposal.
Part 5: Related R/R&D (Suggested page limit – 1 page)
Describe significant current and/or previous R/R&D that is directly related to the proposal, including any conducted by the PI or by the offeror. Describe how it relates to the proposed effort and any planned coordination with outside sources. The offeror must persuade reviewers of his or her awareness of the state-of-the-art and key recent R/R&D conducted by others in the specific subject area.
Part 6: Key Personnel and Bibliography of Directly Related Work (Suggested page limit – 5 pages)
Identify all key personnel involved in Phase II activities whose expertise and functions are essential to the success of the project. Provide biographical information, including directly related education and experience. Where resume/vitae are extensive, summaries that focus on the most relevant experience or publications are desired and may be necessary to meet proposal size limitations.
The PI is considered key to the success of the effort and must make a substantial commitment to the project. If the Phase II PI is different than the PI proposed under Phase I, please provide a rationale for the change.
The following requirements are applicable:
Functions: The functions of the PI are planning and directing the 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. The Phase II proposal shall describe the nature of the PI's activities and the amount of time that the PI will personally apply to the project. The amount of time the PI proposes to spend on the project must be acceptable to the Contracting Officer. Competent management of PI functions is essential to project success.
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 decline a PI based on factors such as education, experience, demonstrated ability and competence, and any other evidence related to the specific assignment.
Eligibility: This part shall also establish and confirm the eligibility of the PI and shall indicate the extent to which existing projects and other proposals recently submitted or planned for submission in the year commit the time of the PI concurrently with this proposed activity. Any attempt to circumvent the restriction on PIs working more than half-time for an academic or a nonprofit organization by substituting an ineligible PI will result in a decline of the proposal.
Part 7: Commercialization and Business Plan (Required minimum of 2 pages; suggested page limit - 8 pages)
NASA requires Phase II offeror to provide commercialization and business planning information in the proposal and is enforcing a requirement that firms provide a minimum amount of information as required by page length. Firms that do not meet this requirement may be considered nonresponsive to this requirement and the proposal may not receive a score under Section 4.4.2: Factor 4: Commercialization and Business Planning, which could result in an overall lower score for the proposal.
The Commercialization Plan should provide the following information to communicate and validate that the firm has the knowledge and ability to commercialize the innovation being proposed.
- Market Feasibility and Competition Strategy: Describe (a) the target market(s) of the innovation and the associated product or service; (b) the competitive advantage(s) of the product or service; (c) key potential customers and applications, including NASA mission programs, prime contractors, and non-NASA commercial customers as applicable; (d) projected market size (NASA, other Government and/or non-Government); (e) the projected time to market and estimated market share within five years from market-entry; and (f) anticipated competition from alternative technologies, products and services and/or competing domestic or foreign entities.
- Commercialization Strategy: Present the commercialization strategy for the innovation and associated product or service and its relationship to the offeror’s business plans for the next five years. Describe experience and record in technology commercialization, and any existing and projected commitments (e.g., Government Phase III funding, Industry Investment, etc.).
- Financial Strategy: Delineate private financial resources committed to the development and transition of innovation into market-ready products or services. Describe current investment, sales, licensing, and other indicators of commercial potential and feasibility. Describe the projected financial requirements and the expected or committed capital and funding sources necessary to support the planned commercialization of the innovation. Provide evidence of current financial condition (e.g., standard financial statements including a current cash flow statement).
- Intellectual Property: Describe plans and current status of efforts to secure intellectual property rights (e.g., patents, copyrights, trade secrets) necessary to obtain investment, attain at least a temporary competitive advantage, and achieve planned commercialization.
- Assistance and Mentoring:Describe the plans for securing needed technical or business assistance through mentoring, partnering, or through arrangements with state assistance programs, Small Business Development Centers (SBDCs), Federally funded research laboratories, Manufacturing Extension Partnership Centers, Federal programs, or other assistance providers. Identify if any assistance and mentoring are being requested under TABA and provide details in this section of the Commercialization Plan. The TABA needs assessment is reviewed separately from the Commercialization Plan.
Note: Letters of funding support commitments should be submitted as part of the Capital Commitments Addendum found in section 3.4.5 and will be considered only under Factor 4: Commercial Potential and Feasibility (section 4). Any formal letters of commitment or intent submitted in the Capital Commitments Addendum will not count toward the page limits of the proposal.
Part 8: Facilities/Equipment (Suggested page limit – 2 pages)
The offeror should describe the facilities/equipment available to complete the proposed work plan. If an offeror requests to use Government-furnished laboratory equipment, facilities, or services (collectively, “Government resources”) the offeror shall describe in this part why the use of such Government resources is necessary and not reasonably available from the private sector. See sections 184.108.40.206and 5.13for additional requirements when proposing the use of such Government resources. The narrative description of resources should support the proposed approach and documentation in the Proposal Budget form.
Part 9: Subcontractors and Consultants (Suggested page limit – 2 pages)
The offeror must describe all subcontracting or other business arrangements and identify the relevant organizations and/or individuals with whom arrangements are planned. The expertise to be provided by the entities must be described in detail, as well as the functions, services, number of hours, and labor rates. Offerors are responsible for ensuring that all organizations and individuals proposed to be utilized are actually available for the time periods proposed. Subcontract costs shall be documented in the Subcontractors/Consultants section of the Proposal Budget form and supporting documentation should be uploaded for each (appropriate documentation is specified in the form). The narrative description of subcontractors and consultants in the technical proposal should support the proposed approach and documentation in the Proposal Budget form.
Part 10: Related, Essentially Equivalent, and Duplicate Proposals and Awards (Suggested page limit – 0.5 page)
WARNING: While it is permissible with proper notification to submit identical proposals or proposals containing a significant amount of essentially equivalent work for consideration under numerous Federal program solicitations, it is unlawful to enter into funding agreements requiring essentially equivalent work.
If an offeror elects to submit identical proposals or proposals containing a significant amount of essentially equivalent work under other Federal program solicitations, a statement must be included in each such proposal indicating the following:
- The name and address of the agencies to which proposals were submitted or from which awards were received.
- Date of proposal submission or date of award.
- Title, number, and date of solicitations under which proposals were submitted or awards received.
- The specific applicable research topics for each proposal submitted for award received.
- Titles of research projects.
- Name and title of principal investigator or project manager for each proposal submitted or award received.
Offerors are at risk for submitting essentially equivalent proposals and therefore are strongly encouraged to disclose these issues to the soliciting agency to resolve the matter prior to award. A summary of essentially equivalent work information, as well as related research and development on proposals and awards, is also required on the Proposal Certifications form (if applicable).
3.4.5 Briefing Chart
A one-page briefing chart is required to assist in the ranking and advocacy of proposals prior to selection and contains the following sections:
- Identification and Significance of Innovation
- Technical Objectives
- Proposed Deliverables
- NASA Applications
- Non-NASA Applications
The briefing chart shall not contain any proprietary data or International Traffic in Arms Regulation (ITAR)-restricted data. An electronic form will be provided during the submission process. The briefing chart is public information and may be disclosed. Do not include proprietary information in this form.
3.4.6 Capital Commitments Addendum
Letters of capital commitment act as an indication of market validation for the proposed innovation and add significant credibility to the proposed effort. Although NASA can be a future stakeholder/buyer and could possibly issue a Phase III contract for the innovation to be infused in a future mission or program, NASA’s goal under the SBIR program is for small businesses to commercialize innovations in markets that are larger than just NASA. Letters of capital commitment should demonstrate that the company has initiated dialogue with relevant stakeholders in the commercial market(s) for the proposed innovation and that a legitimate business opportunity may exist should the innovation prove feasible outside of NASA. The letter(s) must not exceed 2 pages in length; should come directly from potential customers, end users, strategic partners, investors, etc.; and must contain affiliation information and contact information for the signatory stakeholder. Letters and supporting documents that only support the development of the innovation with no capital funding commitment as described above will not be reviewed. Letters and supporting documents from state, local, and Congressional representatives are NOT considered letters of capital commitment. They should not be submitted as part of the application and will not be reviewed.
If letters of capital commitment are not appropriate for this stage of innovation due to business considerations, then the offeror must clearly justify why letters of capital commitment are not being included in the proposal. The justification should relate to the technical and commercial considerations of the innovation proposed in the application.
3.4.7 Firm Certifications
Firm certifications that are applicable across all proposal submissions submitted to this solicitation must be completed via the Firm Certifications section of the Proposal Submissions EHB. The offeror shall answer “Yes” or “No” as applicable. The designated firm administrator, typically the first person to register your firm, is the only individual authorized to update the certifications.
3.4.8 Disclosures of Foreign Affiliation or Relationships to Foreign Countries
Each offeror is required to complete the Disclosures of Foreign Affiliations or Relationships to Foreign Countries form. See section 2.5 for additional information on these disclosures. The offeror shall answer “Yes” or “No” as applicable and provide the requested information related to each “yes” response. The designated firm administrator, typically the first person to register your firm, is the only individual authorized to update the disclosures.
Please note that even if you do not have any foreign relationships, you must complete the "Disclosures of Foreign Affiliations or Relationships to Foreign Countries form" to represent that such relationships do not exist. Failure to complete and include this form will result in the declination of your application during the administrative screening.
3.4.9 Audit Information
Although firms are not required to have an approved accounting system, the knowledge that a firm has an approved accounting system facilitates NASA’s determination that rates are fair and reasonable. The Contracting Officer will use this audit information to assist with negotiations if the proposal is selected for an award. The Contracting Officer will advise offerors on what is required to determine reasonable costs and/or rates in the event the Audit Information is not adequate to support the necessary determination of rates. The offeror shall complete the questions in the Audit Information form regarding the firm’s rates and upload the Federal agency audit report or related information that is available from the last audit. There is a separate Audit Information section in the Proposal Budget form that shall also be completed. If your firm has never been audited by a federal agency, then answer "No" to the first question and you do not need to complete the remainder of the form. The designated firm administrator, typically the first person to register your firm, is the only individual authorized to update the audit information.
3.4.10 Prior Awards Addendum
If the offeror has received more than 15 Phase II awards in the prior 5 fiscal years, submit the name of the awarding agency, solicitation year, phase, date of award, funding agreement/contract number, and topic or subtopic title for each Phase II. If your firm has received any SBIR or STTR Phase II awards, even if it has received fewer than 15 in the last 5 years, it is still recommended that you complete this form for those Phase II awards your firm did receive. This information will be useful when completing the Commercialization Metrics Survey (CMS) and in tracking the overall success of the SBIR and STTR programs. Any NASA Phase II awards your firm has received will be automatically populated in the electronic form, as are any Phase II awards previously entered by the SBC during prior submissions (you may update the information for these awards). The designated firm administrator, typically the first person to register your firm, is the only individual authorized to update the addendum information.
3.4.11 Commercial Metrics Survey (CMS)
NASA has instituted a comprehensive commercialization survey/data-gathering process for firms with prior NASA SBIR/STTR awards. If the SBC has received any Phase III awards resulting from work on any NASA SBIR or STTR awards, provide the related Phase I or Phase II contract number, name of Phase III awarding agency, date of award, Funding Agreement number, amount, project title, and period of performance. The survey will also ask for firm financial, sales, and ownership information, as well as any commercialization success the firm has had as a result of SBIR or STTR awards. This information must be updated annually during proposal submission via the EHB. This information will allow firms to demonstrate their ability to carry SBIR/STTR research through to achieve commercial success and allow agencies to track the overall commercialization success of their SBIR and STTR programs. The survey should be limited to the information requested above.
The CMS is a required part of the proposal submissions process and must be completed via the Proposal Submissions EHB. Companies with no SBIR/STTR awards or only recent SBIR/STTR awards will not be penalized under past performance for the lack of past SBIR/STTR commercialization. Information received from SBIR/STTR awardees completing the survey is kept confidential and will not be made public except in broad aggregate, with no firm-specific attribution.
3.4.12 Contractor Responsibility Information
No later than 10 business days after the notification of selection for negotiations, the offeror shall provide a signed statement from the firm’s financial institution(s), on the financial institution’s letterhead, stating whether or not the firm is in good standing and how long the firm has been with the institution.
3.4.13 Phase II Request for Use of Technical and Business Assistance (TABA) Funds
Offerors are not required to request TABA at Phase II, and there is no prerequisite that an offeror must request and use TABA during Phase I to obtain TABA under a Phase II award. If an offeror chooses to request up to $50,000 for TABA at Phase II, the offeror will be required to provide a TABA plan and coordinate with the selected vendors to obtain the vendor qualification statement(s) and submit these via the Electronic Handbook (EHB). Below is an example of the type of information that will be requested under each.
- Name, contact information, website, and company information including Sam.gov Unique Entity Identifier (UEI) for TABA vendor(s) that will provide the TABA services.
- All TABA vendors must be legal business in the United States, and NASA will review the U.S. Government-wide System for Award Management (SAM) excluded parties list to ensure the proposed TABA vendor can receive Federal funds. NASA will consider TABA requests that are missing any requested TABA information (e.g., Vendor Qualification Statements, etc.) as incomplete and will not review the TABA request or provide TABA approval under the award.
- Description of TABA vendor(s) expertise and knowledge of providing technical and business assistance services.
- An itemized list of services and costs.
- Expected metric and outcome for each service to be provided.
- Plan to submit a deliverable summarizing the outcome of the TABA services with expected supporting information.
- TABA costs are reflected in the budget forms.
Vendor Qualification Statement(s)—A qualification statement for each of the selected vendors(s) that provides the following:
- Statement on the selected vendor(s) letterhead and signed by an authorizing entity within the vendors’ organization that can attest to the services being provided.
- Documentation that the vendor is a legal business in the United States.
- A capabilities statement that
- Indicates the qualifications, expertise, and knowledge to provide the TABA services requested by the offeror
- Indicates the level of expertise and knowledge of the Federal SBIR/STTR program and specifically any prior support provided to Phase I or II awardees.
- Describes the overall metrics of success for the services requested by the offeror.
- Describe the plans to report to the offeror so the offeror can report back to NASA as a deliverable on the outcomes and success of the TABA services and what information will be provided to validate the results.
NASA reserves the right to withhold funds requested for TABA until a formal review and approval of the requested vendor(s) is completed. If the project is selected for award and the offeror demonstrates this requirement sufficiently as determined by the Government, NASA will permit the awardee to acquire the requested assistance, in an amount up to $50,000 for the Phase II project, as an allowable cost of the SBIR/STTR award. Approval or denial of TABA funding will be provided during the contract negotiation period and before the award. The amount will be in addition to the Phase II award value, is not subject to any profit or fee by the requesting firm, and cannot be used in the calculation of indirect cost rates or General and Administrative Expenses (G&A). The amount is based on the original period of performance. Requests for TABA funding outside of the Phase II period of performance will not be considered.
Schedule of Deliverables and Payments for TABA—Offerors that are approved to receive TABA under a Phase II award will be reimbursed for TABA expenses. Firms may request TABA reimbursement at the midpoint of the contract when submitting the midterm report and/or at the end of the contract when submitting the final report. Awardees requesting reimbursement will be required to submit invoices for services received when submitting the contract reports.
Requests for TABA funding are not reviewed under the technical evaluation of the proposal, and the request for TABA will not be part of the decision to make a Phase II award. All TABA requests will be reviewed after a proposal is selected for award and during the contract negotiation process.
3.4.14 Phase II Request for the Intern Diversity Supplement (IDS) Program
Offerors that are successful in receiving a Phase II award are eligible to apply for a 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.
ANTICIPATED CONTENT FOR APPLICATION
SALARY, BUDGET, TERMS AND CONDITIONS
All NASA diversity supplements are subject to the terms and conditions, cost principles, and other considerations described in the NASA SBIR/STTR Specific Terms and Conditions that accompany every Phase II award. Application budgets are limited to no more than $11,000 (up to $10,000 for the cost of the intern and $1,000 for supplies and travel). The budget must reflect the actual needs of the proposed project. NASA will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed Phase II research. If approved, the request will be provided as a supplement above the Phase II award amount. This program does not require cost sharing. The amount will be in addition to the Phase II award value, is not subject to any profit or fee by the requesting firm, and cannot be used in the calculation of indirect cost rates or General and Administrative Expenses (G&A).
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.
Undergraduate Students, Baccalaureate and Master's Degree Holders, and Graduate (Predoctoral) Students: The salary for a student should be consistent with SBC salary policies. Students are expected to devote the equivalent of at least 10 weeks of full-time effort to the research project and related activities during the period of performance for the award. Exceptions to these requirements will be considered, depending on the circumstances of the Phase II award circumstances warranting the specific request.
An IDS application may consist of the following information:
- A header with Proposal Title and Number, Company Name, Business Official Name, and PI Name.
- Internship candidate’s full name
- Address of Primary Site where the proposed supplement activities will be performed.
- The supplemental activities must principally take place at the awardees’ place of business. Applications that request supplemental funding for activities that occur principally at a subrecipient location will be declined. If a portion of the proposed supplement activities will be performed at any other sites, identify all locations.
- Diversity Justification:
- Address the six (6) review criteria listed in section 1.8 in two (2) pages or fewer and provide evidence to support a focus on the enhancement of the research and entrepreneurial capability of the underrepresented intern and how that experience is intended to provide opportunities for development as a productive researcher or future small business leader.
- Research and Mentoring Plan:
- In two (2) pages, please include a research and mentoring plan for the candidate intern to interact with other individuals on the Phase II award, to contribute intellectually to the research, and to enhance his/her research skills and knowledge regarding the selected area of R&D along with business and entrepreneurship.
- Please provide a budget and a budget justification showing the amount requested and how the funds will be used.
- Intern resume (should not exceed one page) that includes:
- Evidence of STEM achievement and entrepreneurial interest
- A statement from the intern candidate that confirms their availability and commitment to participate in the internship
- Any source(s) of current and pending funding for research or projects that the intern is working on
- A statement from the candidate outlining his/her research objectives and career goals
Schedule of Deliverables and Payments for IDS—Awardees that are approved to receive IDS under a Phase II award will be reimbursed for IDS expenses (not to exceed $10,000 for the cost of the intern and $1,000 for supplies and travel). Firms may request IDS reimbursement at the end of the contract when submitting the final report. Awardees requesting reimbursement will be required to submit documentation in the final report on intern performance and how the awardee has provided the intern support.