SBIR/STTR 2011-1
National Aeronautics and Space Administration
SMALL BUSINESS
INNOVATION RESEARCH (SBIR)
&
SMALL BUSINESS
TECHNOLOGY TRANSFER (STTR)
Program Solicitations
Opening Date: July 18, 2011
Closing Date: September 8, 2011
The electronic version of this document
is at: http://sbir.nasa.gov
2011 SBIR/STTR Solicitation Noteworthy Changes
Changes for both Phase I and Phase II SBIR/STTR Solicitations:
Phase I and Phase II Instructions
The instructions for both Phase I and Phase II have been separated into two separate documents for a consolidated view of what is required for each phase.
1.2 Program Authority and Executive Order
Public Law 112-17, extending authorization of the SBIR/STTR Programs until September 30, 2011.
1.3 Program Management
The management function of the NASA SBIR/STTR programs has been transitioned to the newly established Office of the Chief Technologist.
1.5.3 Principal Investigator (PI)
The definition of the PI has been revised to further clarify what NASA considers to be fulltime employment of the PI with the firm (or research institution for those in the STTR Program).
1.6 NASA SBIR”TAV” Subtopics
A new initiative for SBCs to utilize NASA-owned/NASA IP, which are patented technologies that NASA is offering under a non-exclusive, royalty-free research license for use under specific SBIR subtopics for award. Further description can be found in Sections 2.12, Section 3.2.4 (Part 3), 5.7.6, and Form B).
2.5 Economically Disadvantaged Women-Owned Small Businesses (EDWOSBs)
A definition on the new legislation that was passed to encourage the participation of EDWOSBs.
1.5.2 Place of Performance
The description on the place of performance has been expanded.
3.2.2 Format Requirements
Proposals that do not follow the formatting requirement are subject to rejection during administrative screening. Any page(s) going over the required page limited will be deleted and omitted from the proposal review.
3.2.3 Forms
Forms A, B, C will all be done electronically, with each form counting as 1 page towards the page limit and accounting for pages 1-3 of the proposal regardless of the length. So all submitted technical proposals should start on page 4 with the table of contents.
3.2.4 Technical Content
Part 3: Technical Objectives
As stated above, here there is further description of the TAV initiative.
Part 8: Facilities/Equipment
The description and requirements for facilities and equipment has been further clarified and defined.
Part 9: Subcontracts and Consultants
The description and requirements for Subcontracts and Consultants has been further clarified and defined.
Part 11: Essentially Equivalent and Duplicate Proposals and Awards
The title, definition(s), and what is required in this section has been expanded upon. There is now a Part 11a and Part 11b. Part 11b will not be included in the page count and is meant to capture related research and development work that is being proposed, and to protect the SBC by showing full disclosure.
3.2.9 (for Phase I) and 3.2.8 (for Phase II) Briefing Chart
The briefing chart will now be submitted through an online form during the submissions process rather than being uploaded.
Note: Companies with Prior NASA SBIR/STTR Awards
NASA has instituted a comprehensive commercialization survey/data that firms must fill out. The survey will be done electronically during the submission process.
4.1.2 Phase I and Phase II Evaluation Criteria
Some of the descriptions for the evaluation criteria have minor edits and Factor 5 (below) was added.
Factor 5. Price Reasonableness
During the negotiation process, the offeror’s cost proposal will be evaluated for price reasonableness based on the information provided in Form C. NASA will comply with the FAR and NASA FAR Supplement (NFS) to evaluate the proposed price/cost to be fair and reasonable. After completion of evaluation for price reasonableness and determination of responsibility the contracting officer shall submit a recommendation for award to the Source Selection Official.
5.7.2 Proprietary Data
The description has been clarified further.
5.7.5 Invention Reporting, Election of Title and Patent Application Filing
The description has been clarified further.
5.10 (for Phase I) and 5.11 (for Phase II) Essentially Equivalent Awards and Prior Work
The description has been expanded to further clarify what is considered “Essentially Equivalent”.
5.11.8 (for Phase I) and 5.12.13 (for Phase II) 52.225-1 Buy American Act-Supplies
The description has been expanded to further clarify what is considered “Buy American Act-Supplies”.
Firm Certifications
As stated above, Economically Disadvantaged Women-Owned Small Businesses (EDWOSBs) has been added to the certifications.
Forms A, B, and C
Have all been revamped with significant changes and different requirements, so please look at each one carefully.
Specific Phase I Changes:
1.4 Three-Phase Program
The maximum value for a Phase I has increased from $100,000 to $125,000.
3.2.6 Prior Awards Addendum
An electronic form will now be provided during the submission process.
3.2.10 Contractor Responsibility Information
A new section on the contractor responsibilities and what is required no later than 10 days after the notification of the selection for negotiation.
5.3 Payment Schedule for Phase I
The exact payment terms for Phase I will be included in the contract.
Specific Phase II Changes:
1.1 Program Description
Note: The information in the Phase II instructions is subject to revision and if necessary, updated Phase II proposal instructions will be provided to the SBCs 6 weeks prior to the due date of the Phase II proposal.
1.4 Three-Phase Program
The maximum value for a Phase II-E has increased from $150,000 to $250,000. The total cumulative award for the Phase II contract plus the Phase II-E match is not expected to exceed $1,000,000.00 of SBIR/STTR funding. The description of brief policy for the Phase II-E initiative has changed as well.
3.2.4 Technical Proposal
Part 4: Work Plan
The Work Plan part has been elaborated further than previously before for clarification.
Part 6: Key Personnel and Bibliography of Directly Related Work
The Key Personnel and Bibliography of Directly Related Work part has been elaborated further than previously before for clarification. Note: If the Phase II PI is different than that proposed under the Phase I, please provide rational for the change.
3.2.6 Phase III Awards resulting from NASA SBIR/STTR Awards
An electronic form will now be provided during the submission process.
3.2.9 Contractor Responsibility Information
A new section on the contractor responsibilities and what is required no later than 10 days after the notification of the selection for negotiation.
5.3 Payment Schedule for Phase II
The exact payment terms for Phase II will be included in the contract. The progress payment method will not be authorized, but other forms of financing arrangements will be considered.
SBIR/STTR 2011-1
Part 1: Phase I Proposal Instructions for the NASA 2011 SBIR/STTR Solicitation
1. Program Description 1
1.1 Introduction 1
1.2 Program Authority and Executive Order 2
1.3 Program Management 2
1.4 Three-Phase Program 3
1.5 Eligibility Requirements 4
1.6 NASA SBIR”TAV” Subtopics 5
1.7 General Information 6
2. Definitions 7
2.1 Allocation of Rights Agreement 7
2.2 Commercialization 7
2.3 Cooperative Research or Research and Development (R/R&D) Agreement 7
2.4 Cooperative Research or Research and Development (R/R&D) 7
2.5 Economically Disadvantaged Women-Owned Small Businesses (EDWOSBs) 7
2.6 Essentially Equivalent Work 7
2.7 Funding Agreement 8
2.8 Historically Underutilized Business Zone (HUBZone) Small Business Concern 8
2.9 Infusion 8
2.10 Innovation 8
2.11 Intellectual Property (IP) 8
2.12 NASA Intellectual Property (NASA IP) 8
2.13 Principal Investigator (PI) 8
2.14 Research Institution (RI) 8
2.15 Research or Research and Development (R/R&D) 9
2.16 SBIR/STTR Technical Data 9
2.17 SBIR/STTR Technical Data Rights 9
2.18 Service Disabled Veteran-Owned Small Business 9
2.19 Small Business Concern (SBC) 9
2.20 Socially and Economically Disadvantaged Individual 10
2.21 Socially and Economically Disadvantaged Small Business Concern 10
2.22 Subcontract 10
2.23 Technology Readiness Level (TRLs) 10
2.24 United States 11
2.25 Veteran-Owned Small Business 11
2.26 Women-Owned Small Business 11
3. Proposal Preparation Instructions and Requirements 12
3.1 Fundamental Considerations 12
3.2 Phase I Proposal Requirements 12
4. Method of Selection and Evaluation Criteria 20
4.1 Phase I Proposals 20
4.2 Debriefing of Unsuccessful Offerors 21
5. Considerations 23
5.1 Awards 23
5.2 Phase I Reporting 23
5.3 Payment Schedule for Phase I 24
5.4 Release of Proposal Information 24
5.5 Access to Proprietary Data by Non-NASA Personnel 24
5.6 Proprietary Information in the Proposal Submission 24
5.7 Limited Rights Information and Data 25
5.8 Profit or Fee 26
5.9 Joint Ventures and Limited Partnerships 26
5.10 Essentially Equivalent Awards and Prior Work 26
5.11 Contractor Commitments 26
5.12 Additional Information 28
5.13 Required Registrations and Submissions 28
5.14 False Statements 30
6. Submission of Proposals 31
6.1 Submission Requirements 31
6.2 Submission Process 31
6.3 Deadline for Phase I Proposal Receipt 32
6.4 Acknowledgment of Proposal Receipt 32
6.5 Withdrawal of Proposals 33
6.6 Service of Protests 33
7. Scientific and Technical Information Sources 34
7.1 NASA Websites 34
7.2 United States Small Business Administration (SBA) 34
7.3 National Technical Information Service 34
8. Submission Forms and Certifications 35
Part 2: Phase II Proposal Instructions for the NASA 2011 SBIR/STTR Solicitation 69
9. Research Topics for SBIR and STTR 143
9.1 SBIR Research Topics 143
9.2 STTR 292
Appendices 311
Appendix A: Example Format for Briefing Chart 311
Appendix B: Technology Readiness Level (TRL) Descriptions 312
Appendix C: NASA SBIR/STTR Technology Taxonomy 315
Appendix D: SBIR/STTR and the Space Technology Roadmaps 321
Research Topics Index 330
2011 SBIR/STTR Program Description
2011 NASA SBIR/STTR Program Solicitations
1. Program Description
1.1 Introduction
This document includes two NASA program solicitations with separate research areas under which small business concerns (SBCs) are invited to submit proposals: the Small Business Innovation Research (SBIR) Program and the Small Business Technology Transfer (STTR) Program. Program background information, eligibility requirements for participants, information on the three program phases, and information for submitting responsive proposals is contained herein. The 2011 Solicitation period for Phase I proposals begins July 18, 2011 and ends September 8, 2011.
The purposes of the SBIR/STTR programs, as established by law, are to stimulate technological innovation in the private sector; to strengthen the role of SBCs 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.
Technological innovation is vital to the performance of the NASA mission and to the Nation’s prosperity and security. To be eligible for selection, a proposal must present an innovation that meets the technology needs of NASA programs and projects as described herein and has significant potential for successful commercialization. Commercialization encompasses the transition of technology into products and services for NASA mission programs, other U.S. Government agencies, and non-Government markets.
NASA considers every technology development investment dollar critical to the ultimate success of NASA’s mission and strives to ensure that the research topic areas described in this solicitation are in alignment with its Mission Directorate high priorities and technology needs. In addition, the Solicitation is structured such that SBIR/STTR investments are complementary to other NASA technology investments. NASA’S ultimate objective is to achieve infusion of the technological innovations developed in the SBIR/STTR programs into its Mission Directorates programs and projects.
The NASA SBIR/STTR programs do not accept proposals solely directed towards system studies, market research, routine engineering development of existing product(s), proven concepts, or modifications of existing products without substantive innovation.
It is anticipated that SBIR and STTR Phase I proposals will be selected for negotiation of firm-fixed-price contracts around the November/December 2011 timeframe. Historically, the ratio of Phase I proposals to awards is approximately 8:1 for SBIR and STTR, and approximately 45% of the selected Phase I contracts are selected for Phase II follow-on efforts.
NASA will not accept more than 10 proposals to either program from any one company in order to ensure the broadest participation of the small business community. NASA does not plan to award more than 5 SBIR contracts and 2 STTR contracts to any offeror.
Proposals must be submitted online via the Proposal Submissions Electronic Handbook at http://sbir.nasa.gov and include all relevant documentation. Unsolicited proposals will not be accepted.
1.2 Program Authority and Executive Order
SBIR and STTR opportunities are solicited annually pursuant to the Small Business Innovation Development Act of 1982 (Public Law 97-219), Small Business Innovation Research Program Reauthorization Act of 2000 (Public Law 106-554), the Small Business Research and Development Act of 1992 (Public Law 102-564), the Small Business Technology Transfer Program Reauthorization Act of 2001 (Public Law 107-50), and as most recently amended by Congress has extended the SBIR and STTR programs through September 30, 2011 (P.L. 112-17). A new authorization or extension is anticipated prior to this end date.
Executive Order: This Solicitation complies with Executive Order 13329 (issued February 26, 2004) directing Federal agencies that administer the SBIR and STTR programs to encourage innovation in manufacturing related research and development consistent with the objectives of each agency and to the extent permitted by law.
On February 26, 2004, the President issued Executive Order 13329 (69 FR 9181) entitled “Encouraging Innovation in Manufacturing.” In response to this Executive Order, NASA encourages the submission of applications that deal with some aspect of innovative manufacturing technology. If a proposal has a connection to manufacturing this should be indicated in the Part 5 (Related R/R&D) of the proposal and a brief explanation of how it is related to manufacturing should be provided.
Energy Independence and Security Act of 2007, section 1203, stated that federal agencies shall give high priority to small business concerns that participate in or conduct energy efficiency or renewable energy system research and development projects. If a proposal has a connection to energy efficiency or alternative and renewable energy this should be indicated in Part 5 (Related R/R&D) of the proposal and a brief explanation of how it is related to energy efficiency and alternative and renewable energy should be provided.
1.3 Program Management
The Office of the Chief Technologist under the Office of the NASA Associate Administrator provides overall policy direction for implementation of the NASA SBIR/STTR programs. The NASA SBIR/STTR Program Management Office, which operates the programs in conjunction with NASA Mission Directorates and Centers, is hosted at the NASA Ames Research Center. NASA Shared Services Center (NSSC) provides the overall procurement management for the programs. All of the NASA Centers actively participate in the SBIR/STTR programs; and to reinforce NASA’s objective of infusion of SBIR/STTR developed technologies into its programs and projects, each Center has personnel focused on that activity.
NASA research and technology areas to be solicited are identified annually by Mission Directorates. The Directorates identify high priority research and technology needs for their respective programs and projects. The needs are explicitly described in the topics and subtopics descriptions developed by technical experts at NASA’s Centers. The range of technologies is broad, and the list of topics and subtopics may vary in content from year to year. See section 9.1 for details on the Mission Directorate research topic descriptions.