Program Year 2022 STTR Phase II Solicitation

National Aeronautics and Space 

Administration

Small Business

Technology Transfer (STTR)

Phase II

Program Year 2022 Solicitation

Completed Proposal Package Due Date and Time: 

August 25, 2023 - 5:00 p.m. ET
Program Year 2022 STTR Phase II Solicitation

Contents

Executive Summary..............................................................................................................................5

1. Program Description.........................................................................................................................6

1.1 Legislative Authority and Background.......................................................................................................... 6

1.1.1 Due Diligence Program to Assess Security Risks................................................................................... 6

1.2 Purpose and Priorities.................................................................................................................................. 6

1.3 Three-Phase Program................................................................................................................................... 7

1.4 Availability of Funds..................................................................................................................................... 8

1.5 Eligibility Requirements................................................................................................................................ 8

1.5.1 Small Business Concern (SBC)............................................................................................................... 8

1.5.2 SBC Size................................................................................................................................................. 8

1.5.3 STTR Restrictions on Level of Small Business Participation .................................................................. 8

1.5.4 Place of Performance and American-made Products and Equipment ................................................. 8

1.5.5 Principal Investigator (PI) Employment Requirement .......................................................................... 8

1.5.6 Restrictions on Venture-Capital-Owned Businesses............................................................................. 9

1.5.7 Joint Ventures or Limited Partnerships ................................................................................................ 9

1.6 NASA Technology Available (TAV) for STTR Use........................................................................................... 9

1.6.1 Use of NASA Software........................................................................................................................... 9

1.6.2 Use of NASA Patent .............................................................................................................................. 9

1.7 Technical and Business Assistance (TABA)................................................................................................. 10

1.8 Phase II Intern Diversity Supplement (IDS) Program.................................................................................. 10

1.9 Small Business Administration (SBA) Applicant Resources........................................................................ 12

1.10 NASA Mentor-Protégé Program (MPP).................................................................................................... 12

1.11 Fraud, Waste, Abuse, and False Statements............................................................................................ 12

1.12 NASA Procurement Ombudsman Program .............................................................................................. 13

1.13 General Information................................................................................................................................. 13

1.13.1 Questions About This Solicitation and Means of Contacting NASA STTR Program .......................... 14

1.14 Definitions................................................................................................................................................ 14

2. Registrations, Certifications, and Other Completed Proposal Package Information ..............14

2.1 Small Business Administration (SBA) Company Registry............................................................................ 14

2.2 System for Award Management (SAM) Registration ................................................................................. 14

2.3 Certifications .............................................................................................................................................. 15

2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries............................................ 15

2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses.............................................. 16

2.5 Software Development Standards ............................................................................................................. 16

2.6 Human and/or Animal Subject................................................................................................................... 16

2.7 Homeland Security Presidential Directive 12 (HSPD-12)............................................................................ 17

3. Phase II Proposal Preparation Instructions and Requirements.................................................18
Program Year 2022 STTR Phase II Solicitation

3.1 Phase II Proposal ........................................................................................................................................ 18

3.2 Proprietary Information in the Proposal Submission................................................................................. 18

3.3 Release of Certain Proposal Information ................................................................................................... 18

3.4 Requirements to Submit a Phase II Completed Proposal Package............................................................. 18

3.4.1 General Requirements........................................................................................................................ 18

3.4.2 Format Requirements......................................................................................................................... 19

3.4.3 Forms.................................................................................................................................................. 20

3.4.4 Technical Proposal .............................................................................................................................. 22

3.4.5 Briefing Chart...................................................................................................................................... 26

3.4.6 Capital Commitments Addendum ...................................................................................................... 26

3.4.7 Firm Certifications............................................................................................................................... 27

3.4.8 Disclosures of Foreign Affiliation or Relationships to Foreign Countries............................................ 27

3.4.9 Audit Information ............................................................................................................................... 27

3.4.10 Prior Awards Addendum................................................................................................................... 27

3.4.11 Commercial Metrics Survey (CMS) ................................................................................................... 28

3.4.12 Contractor Responsibility Information ............................................................................................. 28

3.4.13 Research Agreement ........................................................................................................................ 28

3.4.14 Allocation of Rights Agreement........................................................................................................ 28

3.4.15 Phase II Request for Use of Technical and Business Assistance (TABA) Funds................................. 28

3.4.16 Phase II Request for the Intern Diversity Supplement (IDS) Program .............................................. 30

4. Phase II Selection Process and Evaluation Criteria....................................................................31

4.1 Selection Process........................................................................................................................................ 31

4.2 Phase II Evaluation Criteria......................................................................................................................... 32

4.3 Selection..................................................................................................................................................... 34

4.3.1 Denial of Awards................................................................................................................................. 34

4.4 Technical and Business Assistance (TABA)................................................................................................. 34

4.5 Intern Diversity Supplement (IDS) Program............................................................................................... 35

4.6 Notification and Feedback to Unsuccessful Offerors................................................................................. 35

4.6.1 Phase II Feedback ............................................................................................................................... 35

5. Considerations ................................................................................................................................35

5.1 Requirement for Contracting ..................................................................................................................... 35

5.2 Awards........................................................................................................................................................ 37

5.2.1 Anticipated Number of Awards.......................................................................................................... 37

5.2.2 Award Conditions ............................................................................................................................... 37

5.2.3 Type of Contract ................................................................................................................................. 37

5.2.4 Model Contracts ................................................................................................................................. 37

5.3 Reporting and Required Deliverables......................................................................................................... 37

5.4 Payment Schedule...................................................................................................................................... 38

5.5 Profit or Fee................................................................................................................................................ 38
Program Year 2022 STTR Phase II Solicitation

5.6 Cost Sharing................................................................................................................................................ 39

5.7 Rights in Data Developed Under STTR Funding Agreements..................................................................... 39

5.8 Copyrights .................................................................................................................................................. 39

5.9 Invention Reporting, Election of Title, Patent Application Filing, and Patents .......................................... 39

5.10 Export Control .......................................................................................................................................... 39

5.11 Government-Furnished and Contractor-Acquired Property .................................................................... 39

5.12 Essentially Equivalent Awards and Prior Work......................................................................................... 39

5.13 Additional Information............................................................................................................................. 40

5.13.1 Precedence of Contract Over this Solicitation.................................................................................. 40

5.14 Use of Government Resources................................................................................................................. 40

5.15 Agency Recovery Authority and Ongoing Reporting................................................................................ 41

6. Submission of Proposals..............................................................................................................41

6.1 How to Apply for STTR Phase II .................................................................................................................. 41

6.1.1 Electronic Submission Requirements via the EHB .............................................................................. 41

6.1.2 Deadline for Phase II Proposal Receipt............................................................................................... 42

6.1.3 Complete Proposal Package Submission ............................................................................................ 42

6.1.4 Acknowledgment of a Completed Proposal Package Receipt ............................................................ 43

6.1.5 Withdrawal of Completed Proposal Packages.................................................................................... 43

6.1.6 Service of Protests.............................................................................................................................. 43

7. Proposal, Scientific and Technical Information Sources ...........................................................45

7.1 NASA Organizational and Programmatic Information ............................................................................... 45

7.2 United States Small Business Administration (SBA)................................................................................... 45

7.3 National Technical Information Service ..................................................................................................... 46

8. Submission Forms..........................................................................................................................47

8.1 STTR Phase II Checklist ............................................................................................................................... 47

9. Research Subtopics for STTR .......................................................................................................49

Appendices..........................................................................................................................................50

Appendix A: Technology Readiness Level (TRL) Descriptions .......................................................................... 50

Appendix B: STTR and the Technology Taxonomy ........................................................................................... 53

Appendix C: List of NASA STTR Phase II Clauses, Regulations, and Certifications............................................ 54
Program Year 2022 STTR Phase II Solicitation

Executive Summary

This notice identifies the objectives for the Small Business Technology Transfer (STTR) Program Phase II 

projects, deadlines, funding information, eligibility criteria for projects and offerors, and instructions to submit 

a complete proposal package.

STTR facilitates cooperative research and development (R&D) between small business concerns and U.S. 

research institutions – with potential for commercialization. The STTR program has a statutory requirement to 

stimulate a partnership of ideas and technologies between innovative Small Business Concerns (SBCs) and 

Research Institutions through federally funded research or research and development (R/R&D). STTR also 

adheres to SBA directives to increase participation by Women-Owned, Service-Disabled Veteran-Owned and 

Small Disadvantaged Businesses and outreach to Historically Black Colleges and Universities (HBCUs) and 

Minority Serving Institutions. Outreach is also made to underrepresented areas/regions of the country.

The NASA STTR program focuses on the following:

• Stimulate technological innovation in the private sector.

• Strengthen the role of SBCs in meeting Federal research and development needs.

• Foster and encourage participation of socially and economically disadvantaged persons and womenowned small businesses.

• Increase the commercial application of these research results.

• Foster technology transfer through cooperative R&D between small businesses and research 

institutions. 

Different from most other investors, the NASA STTR Program funds early or "seed" stage research and 

development that has commercial potential. The program provides equity-free funding at the earliest stages of 

company and technology development.

NASA requests proposal packages for the STTR Program Phase II as follow-on work that originally started and 

was completed under the fiscal year (FY) 2022 STTR Phase I. Only small businesses that had a FY 2022 NASA 

STTR Phase I award are allowed to submit a proposal for Phase II. 

The solicitation period for Program Year 2022 Phase II submission of completed proposal packages begins on 

July 14, 2023, and ends at 5 p.m. Eastern Time on August 25, 2023.

Note: If an offeror has received a no-cost extension on their Phase I contract, the original period of 

performance date of the contract applies as the deadline. Therefore, the new period of performance date 

for the extension does not apply and cannot be used as the deadline to submit a Phase II Proposal. 

NASA uses an electronic submission system called the Electronic Handbook (EHB) 

https://sbir.gsfc.nasa.gov/submissions/login and all offerors must use the EHB for submitting a completed 

proposal package. The EHB guides firms through the steps for submitting a complete proposal package. All 

submissions are through a secure connection and most communication between NASA and the firm is through 

either the EHB or email via the helpdesk at agency-sbir@mail.nasa.gov. For more information see section 3.

The SBIR and STTR Extension Act of 2022 (https://www.congress.gov/bill/117th-congress/senatebill/4900/text) reauthorizes through FY 2025 and modifies the Small Business Innovation Research (SBIR) 

program, the Small Business Technology Transfer (STTR) program, and related pilot programs.

The bill requires agencies with an SBIR or STTR program to assess the security risks presented by offerors with 

financial ties or obligations to certain foreign countries. The programs may not make awards to businesses 

with certain connections to foreign entities. See sections 1.1.1 Due Diligence Program to Assess Security Risks 

and 2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries for additional details. 
Program Year 2022 STTR Phase II Solicitation

1. Program Description

1.1 Legislative Authority and Background

The SBIR and STTR Extension Act of 2022 (Pub. L. 117-183.) amended 15 U.S.C. § 638 of the Small Business Act 

to extend the SBIR/STTR programs until September 30, 2025. The policy is provided by the Small Business 

Administration (SBA) through the combined Small Business Innovation Research (SBIR) and Small Business 

Technology Transfer (STTR) programs Policy Directive. The main purpose of the legislation is to stimulate 

technological innovation in the Federal Research/Research and Development (R/R&D) sector and increase 

private sector commercialization in both the SBIR and STTR programs. Accordingly, the NASA STTR program is 

in a unique position to meet both goals by transforming scientific discovery and innovation to be used in NASA 

programs and missions as well as emphasizing private-sector commercialization.

The STTR program is Congressionally mandated and intended to support scientific excellence and technological 

innovation through the investment of Federal research funds to build a strong national economy by 

stimulating technological innovation in the private sector; strengthening the role of small businesses in 

meeting Federal research and development needs; increasing the commercial application of federally 

supported research results; fostering and encouraging participation by socially and economically 

disadvantaged and women-owned small businesses; and fostering technology transfer through cooperative 

R&D between small businesses and research institutions.

1.1.1 Due Diligence Program to Assess Security Risks

The SBIR and STTR Extension Act of 2022 requires NASA, in coordination with the SBA, to establish and 

implement a due diligence program to assess security risks presented by offerors seeking a Federally funded 

award. As noted above, the NASA SBIR/STTR Programs follow the policies and practices of the SBA SBIR/STTR 

Policy Directive. Revisions to the Policy Directive are in effect as of May 3, 2023 and the Federal Register 

Notice is available at: https://www.federalregister.gov/documents/2023/04/03/2023-06870/small-businessinnovation-researchprogram-and-small-business-technology-transfer-program-policy. This revision is 

incorporated into this solicitation, including Appendix III, “Disclosures of Foreign Affiliations or Relationships to 

Foreign Countries” as reflected in the Disclosures of Foreign Affiliations or Relationships to Foreign Countries 

form (see section 2.3.1).

In accordance with Section 4 of the SBIR and STTR Extension Act of 2022, NASA will review all proposals 

submitted in response to this solicitation to assess security risks presented by offerors seeking an SBIR or STTR 

award. NASA will use information provided by the offeror in response to the Disclosures of Foreign Affiliations 

or Relationships to Foreign Countries form and the proposal to conduct a risk-based due diligence review on 

the cybersecurity practices, patent analysis, employee analysis, and foreign ownership of a small business 

concern, including the financial ties and obligations (which shall include surety, equity, and debt obligations) of 

the offeror and its employees to a foreign country, foreign person, or foreign entity. NASA will also assess 

proposals utilizing open-source analysis and analytical tools, for the nondisclosures of the information set forth 

in 15 U.S.C. § 638(o)(17).

1.2 Purpose and Priorities

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 completes. 

Phase II will require a more comprehensive application, 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 Post Phase II opportunities or Phase III.
Program Year 2022 STTR Phase II Solicitation

This solicitation includes instructions for Small Business Concerns (SBCs) in collaboration with a Research 

Institution (RI) to submit a Phase II completed proposal package to the NASA STTR program. Furthermore, 

program background information, eligibility requirements for participants, information on the three program 

phases, and information for submitting completed and responsive proposal packages to NASA-specific 

research subtopics are contained herein. The solicitation period for Program Year 2022 Phase II 

submission of completed proposal packages begins on July 14, 2023, and ends at 5 p.m. Eastern 

Time on August 25, 2023.

The Space Technology Mission Directorate (STMD) provides overall policy direction for the implementation of 

the NASA STTR 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 the STTR program, NASA research and technology areas that were solicited in Phase I serve as the basis for 

the Phase II proposal. Under this solicitation, there will not be a listing of research topics to be solicited. 

Offerors are expected to provide proposals that are follow-on work from the prior 2022 Phase I award. See FY

2022 STTR Phase I Solicitation Chapter 9 for reference. 

1.3 Three-Phase Program

The NASA STTR program is carried out in three separate phases. Only Phase II is described below as offerors 

will have already completed Phase I to submit under this solicitation. The three phases are described in detail 

on the NASA SBIR/STTR website: http://sbir.nasa.gov/content/nasa-sbirsttr-basics.

Phase II

Phase II proposals continue the R/R&D developed under Phase I to bring the innovation closer to infusion into 

a NASA program or mission and/or commercialization of the innovation in the marketplace. Phase II will 

require a more comprehensive proposal, outlining the proposed effort in detail and the commercialization 

strategy for the effort. Only prior Phase I awardees are eligible to submit a Phase II proposal at the conclusion 

of the Phase I contract. 

Phase II Contracts STTR

Maximum Contract Value $850,000

Maximum Period of Performance 24 months

Post-Phase II Opportunities for Continued Technology Development 

NASA recognizes that Phase I and 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 make the project ready for infusion 

or the commercial marketplace. Therefore, NASA has several initiatives for supporting its small business 

partners beyond their Phase I and Phase II awards.

Please refer to http://sbir.nasa.gov/content/post-phase-ii-initiatives for Post Phase II eligibility, application 

deadlines, matching requirements, and further information.

Phase III

Phase III is the commercialization of innovative technologies, products, and services resulting from either a 

Phase I or Phase II contract. This includes further development of technologies for transition into NASA 

programs, other Government agencies, or the private sector. Phase III contracts are funded from sources other 

than the STTR program and may be awarded without further competition.

Please refer to https://sbir.nasa.gov/content/post-phase-ii-initiatives#Phase-III for Phase III information. 
Program Year 2022 STTR Phase II Solicitation

1.4 Availability of Funds 

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 2023. 

It is anticipated the STTR Phase II completed proposal packages will be selected for negotiation of firm-fixedprice contracts for a period of performance not to exceed twenty-four (24) months. 

1.5 Eligibility Requirements

1.5.1 Small Business Concern (SBC)

Each Phase II offeror must submit a certification stating that it meets the size, ownership, and other 

requirements of the STTR program at the time of a completed proposal package submission, award, and at any 

other time set forth in SBA’s regulations at 13 CFR §§ 121.701-121.705. Socially and economically 

disadvantaged and women-owned SBCs are particularly encouraged to propose.

1.5.2 SBC Size 

A Phase II offeror, combined with its affiliates (as defined in 13 CFR § 121.702), must not have more than 500 

employees. The SBC must be the primary performer of the proposed Phase II research effort. 

1.5.3 STTR Restrictions on Level of Small Business Participation

To be awarded an STTR Phase II contract, at least 40% of the research or analytical effort must be performed 

by the offeror, and at least 30% of the effort must be performed by a single research institution.

1.5.4 Place of Performance and American-made Products and Equipment 

All work shall be performed in the United States. When purchasing equipment or a product under the 

SBIR/STTR funding agreement, purchase only American-made items whenever possible. However, based on a 

rare and unique circumstance (for example, if a supply, material, or other item or project requirement is not 

available in the United States), NASA may allow a particular portion of the research or work to be performed 

or obtained in a country outside of the United States. 

Completed proposal packages must clearly indicate if any work will be performed outside the United States, 

including subcontractor performance, and justification must be provided by downloading and completing the 

“Request to Use a Foreign Vendor/Purchase of Items from a Foreign Vendor” form found at 

https://sbir.gsfc.nasa.gov/submissions/learning-support/firm-templates and while completing the budget

under section 3.4.

Prior to award, approval by the Contracting Officer for such specific condition(s) must be in writing.

Note: NASA will not approve purchases from or work with countries that appear on the list of Designated 

Countries. For reference, please see https://www.nasa.gov/oiir/export-control. 

1.5.5 Principal Investigator (PI) Employment Requirement

Requirements STTR

Primary Employment The primary employment of the Principal Investigator (PI) shall be with the SBC or the 

Research Institution (RI) under the STTR program.

Employment 

Certification

The offeror must certify in the completed proposal package that the primary 

employment of the PI will be with the SBC or the RI at the time of award and during the 

execution of the project. Primary employment means that more than 50 percent of the 

PI’s total employed time (including all concurrent employers, consulting, and selfemployed time) is spent with the SBC or RI at the time of award and during the entire 

period of performance. Primary employment with an SBC precludes full-time 
Program Year 2022 STTR Phase II Solicitation

employment at another organization. If the PI does not currently meet these primary 

employment requirements, then the offeror must explain how these requirements will 

be met if the proposal is selected for contract negotiations that may lead to an award.

Co-PIs Not allowed.

Deviation Request Any deviation requests will be reviewed during the negotiation of the award and either 

approved or declined before the final award by the funding agreement officer.

Misrepresentation of 

Qualifications

This shall result in a decline of the completed proposal package or termination of the 

contract.

Substitution of PIs Requires prior approval from NASA after award.

Note: NASA considers full-time employment to include salaried employees and employees who regularly 

work a 40-hour workweek. NASA considers a 19.9-hour or more workweek elsewhere to conflict with this 

rule. In rare occasions, minor deviations from this requirement may be necessary; however, any minor 

deviation must be approved in writing prior to the award by the Contracting Officer after consultation with 

the NASA SBIR/STTR Program Manager/Business Manager.

1.5.6 Restrictions on Venture-Capital-Owned Businesses

At the current time, small businesses owned in the majority part by multiple venture capital operating 

companies, hedge funds, or private equity firms are not eligible to submit a proposal package under this NASA 

STTR Phase II solicitation.

1.5.7 Joint Ventures or Limited Partnerships

Both joint ventures and limited partnerships are permitted, provided the entity created qualifies as an SBC in 

accordance with the definition of an SBC here: http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions. 

A statement of how the workload will be distributed, managed, and charged should be included in the 

completed proposal package. See definitions for Joint Ventures along with examples at 13 CFR 121.103(h).

A copy or comprehensive summary of the joint venture agreement or partnership agreement should be 

included when uploading the completed proposal package. 

1.6 NASA Technology Available (TAV) for STTR Use

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 CFR 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 completed 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 
Program Year 2022 STTR Phase II Solicitation

forth in the successful offeror’s STTR contract. The evaluation license will automatically terminate at the end of 

the STTR 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 STTR awardee that has been granted a nonexclusive, royalty-free evaluation license to use a NASA patent 

under the STTR 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 STTR contract 

and, if available and on a noninterference 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) or other agreement, such as a Space Act Agreement. The awardee may be 

required to reimburse NASA for knowledge transfer activities. 

1.7 Technical and Business Assistance (TABA)

The 15 U.S.C. § 638(q) permits STTR awardees to enter into agreements with one or more vendors to provide 

Technical and Business Assistance (TABA). TABA allows an additional supplement to the award (up to $50,000

for Phase II) and is aimed at improving the commercialization success of STTR awardees. TABA may be 

obtained from entities such as public or private organizations, including an entity established or funded by a 

U.S. state that facilitates or accelerates the commercialization of technologies or assists in the creation and 

growth of private enterprises that are commercializing the technology. 

In accordance with the Small Business Act, NASA may authorize the recipient of a NASA Phase II STTR award to 

purchase technical and business assistance services through one or more outside vendors. These services may, 

as determined appropriate, include access to a network of non-NASA scientists and engineers engaged in a 

wide range of technologies, assistance with product sales, intellectual property protections, market research, 

market validation, and development of regulatory plans and manufacturing plans, or access to technical and 

business literature available through online databases, for the purpose of assisting such concerns in: 

1. Making better technical decisions concerning such projects.

2. Solving technical problems that arise during the conduct of such projects.

3. Minimizing technical risks associated with such projects; or,

4. Commercializing new products and processes resulting from such projects, including intellectual 

property protections. 

For information on how to request TABA at Phase II, please see Section 3.4.15, Phase II Request for Use of 

Technical and Business Assistance Funds. Technical and business assistance does not count toward the 

maximum award amount of your Phase II contract. Approval of technical and business assistance is not 

guaranteed and is subject to review by the Contracting Officer and the SBIR/STTR Program Management 

Office. A description of any technical and business assistance obtained under this section, Section 3.4.15, and 

the benefits and results of the technical or business assistance provided will be a required deliverable of your 

contract.

1.8 Phase II Intern Diversity Supplement (IDS) Program
Program Year 2022 STTR Phase II Solicitation

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 which is anticipated to be in January 2025. 

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 the 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 at 13 CFR §124.103 and 13 CFR § 124.104.

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.
Program Year 2022 STTR Phase II Solicitation

Please review 13 CFR §§ 124.103 and 104 for more information and for exclusions from the threshold 

amounts. 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 gradulate

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.

1.9 Small Business Administration (SBA) Applicant Resources

The SBA oversees the Federal SBIR and STTR programs. The SBA has resources that small businesses can take 

advantage of in learning about each of the programs and obtaining help in developing a completed proposal 

package to submit to a Federal SBIR/STTR program. Offerors are encouraged to review the information that is 

provided at the following links: www.sbir.gov, https://www.sba.gov/local-assistance, and 

https://www.sbir.gov/resources.

1.10 NASA Mentor-Protégé Program (MPP)

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 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 STTR Phase II contractor in a NASA MentorProtégé agreement (MPA). 

The evaluation criterion is based on the amount and quality of technology transfer and business development 

skills that will increase the protégé’s Technology Readiness Levels (TRLs). TRLs measure technology readiness 

on a scale of 1 to 9. A mentor should attempt to raise the TRL of the protégé and outline the goals and 

objectives in the MPA and the award fee plan. A separate award fee review panel set up by NASA OSBP will 

use the semiannual reports, annual reviews, and the award fee plan in order to determine the amount of 

award fee given at the end of the performance period of the agreement.

For more information on the Mentor-Protégé Program, please visit https://www.nasa.gov/osbp/mentorprotege-program. 

1.11 Fraud, Waste, Abuse, and False Statements

Fraud is described as “any false representation about a material fact or any intentional deception designed to 

deprive the United States unlawfully of something of value or to secure from the United States a benefit, 

privilege, allowance, or consideration to which an individual or business is not entitled.” 

Note: The Federal Government reserves the right to decline any completed proposal packages that include 

plagiarism and false claims.
Program Year 2022 STTR Phase II Solicitation

Note: Knowingly and willfully making any false, fictitious, or fraudulent statements or representations may 

be a felony under the Federal Criminal False Statement Act (18 U.S.C., section 1001), punishable by a fine 

and imprisonment of up to 5 years in prison. The Office of the Inspector General (OIG) has full access to all 

completed proposal packages submitted to NASA.

Pursuant to NASA policy, any company representative who observes a crime, fraud, waste, abuse, or 

mismanagement or receives an allegation of a crime, fraud, waste, abuse, or mismanagement from a federal

employee, contractor, grantee, contractor, grantee employee, or any other source will report such observation 

or allegation to the Office of Inspector General (OIG). NASA contractor employees and other individuals are 

also encouraged to report crime, fraud, waste, and mismanagement in NASA's programs to the OIG. The OIG 

offers several ways to report a complaint:

NASA OIG Hotline: 1-800-424-9183 (TDD: 1-800-535-8134)

NASA OIG Cyber Hotline: https://oig.nasa.gov/cyberhotline.html

Or by mail: 

NASA Office of Inspector General

P.O. Box 23089

L'Enfant Plaza Station

Washington, DC 20026

1.12 NASA Procurement Ombudsman 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 STTR 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

NASA Headquarters

Washington, DC 20546-0001

Telephone: 202-358-4483

Fax: 202-358-3082

Email: agency-procurementombudsman@nasa.gov

Offerors are advised that, in accordance with NFS 1852.215-84, the ombudsman does not participate in any 

way with the evaluation of completed 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. 

1.13 General Information
Program Year 2022 STTR Phase II Solicitation

1.13.1 Questions About This Solicitation and Means of Contacting NASA STTR Program 

To ensure fairness, questions relating to the intent and/or content of research subtopics in this solicitation

cannot be addressed during the open solicitation period. Only questions requesting clarification of the 

completed proposal package instructions and administrative matters will be addressed. 

The cutoff date and time for receipt of Phase II solicitation questions requesting clarification of completed 

proposal package instructions and administrative matters are August 25, 2023, at 12:00 p.m. ET. 

Offerors that have questions requesting clarification of completed proposal package instructions and 

administrative matters should refer to the NASA SBIR/STTR website or contact the NASA SBIR/STTR helpdesk.

1. NASA SBIR/STTR website: http://sbir.nasa.gov

2. Help Desk: The NASA SBIR/STTR Help Desk can answer any questions regarding clarification of 

completed proposal package instructions and any administrative matters. The Help Desk may be 

contacted by:

a. Email: agency-sbir@mail.nasa.gov

b. The requestor must provide the name and telephone number of the person to contact, the 

organization name and address, and the specific questions or requests.

1.14 Definitions

A comprehensive list of definitions related to the programs is available at http://sbir.nasa.gov/content/nasasbirsttr-program-definitions. These definitions include those from the SBA SBIR/STTR programs Policy Directive

as well as terms specific to NASA. Offerors are strongly encouraged to review these prior to submitting a 

completed proposal package.

2. Registrations, Certifications, and Other Completed Proposal Package 

Information 

2.1 Small Business Administration (SBA) Company Registry

All SBCs that are applying to any STTR solicitation are required to register with the STTR Company Registry 

which is managed by the SBA. In addition, all SBCs must update their commercialization status through the 

STTR Company Registry. Information related to the steps necessary to register with the STTR Company Registry 

can be found at https://www.sbir.gov/registration. 

After an SBC registers with SBA and/or updates its commercialization information, the offeror needs to obtain 

a portable document format (PDF) copy of the SBC registration. In addition, the SBC must provide their unique 

SBC Control ID (assigned by the SBA upon completion of the Company Registry registration) and must upload 

the PDF copy of the SBC registration in the EHB. Offerors should complete the Firm Certifications form in the 

EHB and will be provided instructions on how to complete it at the time of submission. Firm Certifications are 

applicable across all completed proposal packages submitted by the SBC for the specific solicitation. 

2.2 System for Award Management (SAM) Registration

Offerors are required to register with SAM prior to submitting a completed proposal package. To be eligible 

for STTR awards, firms must be registered under the applicable North American Industry Classification 

System (NAICS) codes for the STTR Phase II awards (codes 541713 or 541715). Offerors without an active 

SAM registration by the due date for a completed proposal package will be ineligible for award. Offerors 
Program Year 2022 STTR Phase II Solicitation

who started the registration process but did not complete the registration by the due date for a completed 

proposal package will be ineligible for the award.

Offerors who are not registered should consider applying for registration immediately upon receipt of this 

solicitation. Typically, SAM registration and updates to SAM registration have required a processing period 

of several weeks. 

Offerors and contractors may obtain information on SAM registration and annual confirmation 

requirements at https://www.sam.gov/SAM/pages/public/index.jsf or by calling 866-606-8220.

SAM, maintained by the GSA’s Federal Acquisition Service, is the primary repository for contractor information 

required to conduct business with NASA. To be registered in SAM, all mandatory information, including the 

Unique Entity Identifier (UEI) and a Commercial and Government Entity (CAGE) code, must be validated in 

SAM.

Note: It is recommended to list the Purpose of Registration as “All Awards” on your SAM Registration. 

2.3 Certifications

Offerors must complete the Firm and Proposal Certifications section in the Electronic Handbook (EHB), 

answering “Yes” or “No” to certifications as applicable. Firms should carefully read each of the certification 

statements. The Federal Government relies on the information to determine whether the business is eligible 

for an STTR program award. A similar certification will be used to ensure continued compliance with specific 

program requirements at the time of award and during the life of the Funding Agreement. The definitions for 

the terms used in this certification are set forth in the Small Business Act, SBA regulations (13 CFR Part 121), 

the SBIR/STTR programs Policy Directive, and any statutory and regulatory provisions referenced in those 

authorities. 

All STTR Phase II contractors shall also complete the life cycle certifications at the midpoint and the end of the

contract period of performance. The certifications shall be completed by the contractor via the EHB

unless otherwise authorized or directed by the Contracting Officer.

If the Contracting Officer believes that the business may not meet certain eligibility requirements at the time 

of award, the business is required to file a size protest with the SBA, which will determine eligibility. At that 

time, SBA will request further clarification and supporting documentation to assist in the eligibility 

determination. Additionally, the Contracting Officer may request further clarification and supporting 

documentation regarding eligibility to determine whether a referral to SBA is required. 

2.3.1 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 as part of their proposal submission. Please note that even if you do not have any foreign 

relationships, you must complete this form to represent that such relationships do not exist. Failure to submit 

this form will result in declination of your proposal during the administrative screening process and your 

proposal will not be evaluated. The disclosure of information related to foreign involvement or investment is 

required and does not independently disqualify an offeror but failing to disclose such affiliations or 

relationships may result in denial of an award.

The disclosures require the following information:

(A) the identity of all owners and covered individuals of the small business concern who are a party to 

any foreign talent recruitment program of any foreign country of concern, including the People’s 

Republic of China;
Program Year 2022 STTR Phase II Solicitation

(B) the existence of any joint venture or subsidiary of the small business concern that is based in, funded 

by, or has a foreign affiliation with any foreign country of concern, including the People’s Republic of 

China;

(C) any current or pending contractual or financial obligation or other agreement specific to a business 

arrangement, or joint venture-like arrangement with an enterprise owned by a foreign state or any 

foreign entity;

(D) whether the small business concern is wholly owned in the People’s Republic of China or another 

foreign country of concern;

(E) the percentage, if any, of venture capital or institutional investment by an entity that has a general 

partner or individual holding a leadership role in such entity who has a foreign affiliation with any 

foreign country of concern, including the People’s Republic of China;

(F) any technology licensing or intellectual property sales to a foreign country of concern, including the 

People’s Republic of China, during the five-year period preceding submission of the proposal; and

(G) any foreign entity, offshore entity, or entity outside the United States related to the small business 

concern.

After reviewing the above listed disclosures of the offeror, and if determined appropriate by NASA, the 

program may ask the offeror to provide true copies of any contractual or financial obligation or other 

agreement specific to a business arrangement or joint venture-like arrangement with an enterprise owned by 

a foreign state or any foreign entity in effect during the five-year period preceding submission of the proposal 

with respect to which the offeror made the disclosures.

Throughout the duration of the award, the awardee will be required to regularly report to NASA any changes 

to a required disclosure.

2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses

SAM contains required certifications offerors may access at https://www.acquisition.gov/browsefar as part of 

the required registration (see FAR 4.1102). Offerors must complete these certifications to be eligible for an 

award. 

Offerors should be aware that SAM requires all offerors to provide representations and certifications 

electronically via the website and to update the representations and certifications as necessary, but at least 

annually, to keep them current, accurate, and complete. NASA will not enter into any contract wherein the 

contractor is not compliant with the requirements stipulated herein.

In addition, there are clauses that offerors will need to be aware of if selected for a contract. For a complete 

list of FAR and NASA clauses see Appendix C.

2.5 Software Development Standards 

Offerors proposing projects involving the development of software may be required to comply with the 

requirements of NASA Procedural Requirements (NPR) 7150.2A, NASA Software Engineering Requirements, 

available online at https://nodis3.gsfc.nasa.gov/npg_img/N_PR_7150_002C_/N_PR_7150_002C_.pdf. 

2.6 Human and/or Animal Subject 

Offerors should be aware of the requirement that an approved protocol by a NASA review board is required if 

the proposed work includes human or animal subjects. An approved protocol shall be provided to the 

Contracting Officer prior to the initiation of any human and/or animal subject research. Offerors shall identify 

the use of human or animal subjects in the Proposal Certifications form. For additional information, contact 

the NASA SBIR/STTR Program Support Office at agency-sbir@mail.nasa.gov. Reference 14 CFR 1230 and 1232.
Program Year 2022 STTR Phase II Solicitation

2.7 Homeland Security Presidential Directive 12 (HSPD-12)

Offerors that require access to Federally controlled facilities or access to a Federal information system 

(Federally controlled facilities and Federal information systems are defined in FAR 2.101(b)(2)) for 6 

consecutive months or more must adhere to Homeland Security Presidential Directive 12 (HSPD-12), Policy for 

a Common Identification Standard for Federal Employees and Contractors, and Federal Information Processing 

Standards Publication (FIPS PUB) Number 201, Personal Identity Verification (PIV) of Federal Employees and 

Contractors, which require agencies to establish and implement procedures to create and use a Governmentwide secure and reliable form of identification no later than October 27, 2005. See 

https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.201-2.pdf. 

This is in accordance with FAR clause 52.204-9, Personal Identity Verification of Contractor Personnel, which 

states in part that the contractor shall comply with the requirements of this clause and shall ensure that 

individuals needing such access shall provide the personal background and biographical information requested 

by NASA.

Note: Additional information regarding PIV credentials can be found at https://csrc.nist.gov/Projects/PIV.
Program Year 2022 STTR Phase II Solicitation

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 completes. Phase II will require 

a more comprehensive application, 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.

Information contained in unsuccessful proposals will remain the property of the applicant. However, the 

Government will retain copies of all proposals in accordance with its records retention schedule. 

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, and Proposal Summary form, which includes the Technical 

Abstracts, 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 Completed 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. 

Note: Offerors may only submit one Phase II proposal per Phase I award. Offerors are only allowed to submit a 

Phase II proposal at the end of the Phase I contract period of performance. NASA will not accept Phase II 
Program Year 2022 STTR Phase II Solicitation

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. 

Page Limitations 

Note: Technical proposal uploads with any page(s) going over the required page limit will not be accepted.

A Phase II technical proposal shall not exceed a total of 46 standard letter sizes (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 shall be numbered consecutively at the bottom. The 

additional forms required for proposal submission will not count against the 46-page limit.

Margins 

Margins should be 1.0 inch (2.5 cm). 

Suggested Page Limits

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.

Type Size 

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.

Header/Footer Requirements 

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.

Classified Information 

NASA does not accept proposals that contain classified information.

Embedded Animation, Video, and Further Reading

Embedded animation or video, as well as reference technical papers for “further reading,” will not be 

considered for evaluation. 

Project Title

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:
Program Year 2022 STTR Phase II Solicitation

1. Proposal Contact Information (Section 3.4.3.1)

2. Proposal Certifications (Section 3.4.3.2)

3. Proposal Summary (Section 3.4.3.3)

4. Proposal Budget (Section 3.4.3.4)

a. Including letters of commitment for Government resources and subcontractors/consultants (if 

applicable)

b. 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. 

5. Technical Proposal—10 Parts in the order specified, not to exceed 46 pages, including all graphics, and 

starting with a table of contents. (Section 3.4.4)

6. Briefing Chart (Section 3.4.5)

7. NASA Evaluation License Application, only if TAV is being proposed (Section 1.6)

8. Capital Commitments Addendum Supporting Phase II and Phase III (optional) (Section 3.4.6)

9. Technical and Business Assistance (TABA) Request, if applicable (Section 3.4.15)

10. Firm-Level Forms (completed once for all proposals submitted to a single solicitation)

a. Firm Certifications (Section 3.4.7)

b. Audit Information (Section 3.4.9)

c. Prior Awards Addendum (Section 3.4.10)

d. Commercialization Metrics Survey (CMS) (Section 3.4.11)

e. Disclosures of Foreign Affiliations or Relationships to Foreign Countries (Section 3.4.8)

11. Electronic Endorsement in the EHB by the Small Business Official and Principal Investigator (PI)

12. STTR Research Agreement and endorsement of this agreement by the Research Institution (RI) official

(Section 3.4.12)

Previews of all 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. 

3.4.3 Forms 

All form submissions shall be done electronically and do not count toward the 46-page limit. Samples of all 

forms can be found on the NASA SBIR/STTR Resources website: 

http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.

3.4.3.1 Contact Information 

The offeror shall provide complete information for each contact person and submit the form as required in 

section 6. 

Note: Contact Information is public information and may be disclosed. 

3.4.3.2 Proposal Certifications 

The offeror shall provide complete information for each item and submit the form as required in section 6. 
Program Year 2022 STTR Phase II Solicitation

3.4.3.3 Proposal Summary 

The offeror shall provide complete information for each item and submit the form as required in section 6. 

Note: The Proposal Summary, including the Technical Abstract, is public information and may be disclosed. 

Do not include proprietary information in this form. 

3.4.3.4 Proposal Budget 

The offeror must complete the Budget Summary following the instructions provided with the sample form. The 

total requested funding for the Phase II effort shall not exceed $850,000. Contextual help is provided on the 

electronic budget form for additional explanation. 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. 

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).

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:

1. A 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.

2. A signed letter on company letterhead from the contractor’s Small Business Official explaining why the 

STTR 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 and section 5.13 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.

Note:

1. Offerors should list consultants by name and specify, for each, the number of hours and hourly costs.

2. 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. 

3. 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 RI’s budget must be submitted at the time of proposal submission, and if the RI is an educational 

institution, the RI must submit a letter from the institution’s Office of Sponsored Programs.
Program Year 2022 STTR Phase II Solicitation

The following restrictions apply to the use of subcontractors/consultants, and the formula below must be used 

in preparing budgets with subcontractors/consultants:

A minimum of 40 percent of the research or analytical work must be performed by the proposing SBC, and a 

minimum of 30 percent must be performed by the RI. Any subcontracted business effort other than that 

performed by the RI shall not exceed 30 percent of the research and/or analytical work [as determined by the 

total cost of the subcontracting effort (to include the appropriate overhead (OH) and general and 

administrative expense (G&A) in comparison to the total effort funded by the government (total contract price 

including cost sharing, if any, less profit, if any)].

Deviations from these STTR requirements are not allowed, as the performance-of-work requirements are 

specified in statute at 15 U.S.C. 638(e).

Example: Total price to include profit $850,000

Profit $21,750

Total price less profit $850,000 – $21,750 = $828,250

Subcontractor cost $250,000

G&A 5%

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 STTR Phase II, where there is a subcontract with a company other than the RI, this is unacceptable 

because it is above the 30 percent limitation.

See Part 9 of the Technical Proposal for additional information on the use of subcontractors and consultants.

Milestone Plan

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. 

3.4.4 Technical Proposal 

This part of the submission shall not contain any budget data and consists of 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 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
Program Year 2022 STTR Phase II Solicitation

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 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. 

Note: All offerors submitting proposals 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.

In addition, the work plan will specifically address the percentage and type of work to be performed by the 

SBC and the RI. The plan will provide evidence that the SBC will exercise management direction and control of 

the performance of the STTR effort, including situations in which the PI may be an employee of the RI.

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 key recent 

R/R&D conducted by others in the specific subject area. 
Program Year 2022 STTR Phase II Solicitation

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. 

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. 

Note: If the Phase II PI is different than the PI proposed under Phase I, please provide a rationale for the 

change.

Part 7: Commercialization and Business Plan (Required minimum of 2 pages; no more than 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 and a maximum 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. Offerors shall provide at a 

minimum the following information in the Commercialization Plan. 

1. 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 nonNASA 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.

2. 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 
Program Year 2022 STTR Phase II Solicitation

experience and record in technology commercialization, and any existing and projected commitments 

(e.g., Government Phase III funding, Industry Investment, etc.).

3. 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). 

4. 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.

5. 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 your TABA needs assessment 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 narrative description of resources should support the proposed approach and documentation in the 

Proposal Budget form. 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 3.4.3.4

and 5.13 for additional requirements when proposing the use of such Government resources. 

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. 
Program Year 2022 STTR Phase II Solicitation

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:

1. The name and address of the agencies to which proposals were submitted or from which awards were 

received.

2. Date of proposal submission or date of award.

3. Title, number, and date of solicitations under which proposals were submitted or awards received.

4. The specific applicable research topics for each proposal submitted for the award received.

5. Titles of research projects.

6. Name and title of the principal investigator or project manager for each proposal submitted or award 

received.

Offerors are at risk when 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

• Graphic

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. 

Note: 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 STTR 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 commercial markets that are relevant to NASA (potential customers, end users, 

strategic partners, investors, etc.) 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. 
Program Year 2022 STTR Phase II Solicitation

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. 

Note: 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.

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.

Note: The designated firm administrator, typically the first person to register your firm, is the only individual 

authorized to update the disclosures.

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. To assist 

NASA, 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. An electronic form will be provided during the submission process.

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. 

Note: 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 
Program Year 2022 STTR Phase II Solicitation

previously entered by the SBC during prior submissions (you may update the information for these awards). An 

electronic form will be provided during the submission process. 

Note: 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 allows agencies to track the overall commercialization success of their SBIR 

and STTR programs. The survey should be limited to the information requested above. An electronic form will 

be provided during the submission process. 

Note: 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. 

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.

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 Research Agreement 

The Research Agreement (different from the Allocation of Rights Agreement; see 

http://sbir.nasa.gov/content/nasa-sbirsttr-program-definitions) is a single-page document electronically 

submitted and endorsed by the SBC and RI. A model agreement is provided, or firms can create their own 

custom agreement. The Research Agreement shall be submitted as required in section 6. 

All STTR Phase II proposals must provide sufficient information to convince NASA that the proposed SBC/RI 

cooperative effort represents a sound approach for converting technical information residing at the RI into a 

product or service that meets a need described in a solicitation research topic.

3.4.14 Allocation of Rights Agreement 

An SBC, before receiving an STTR award, must negotiate a written agreement between the SBC and the 

partnering Research Institution (RI), allocating intellectual property (IP) rights, if any, to carry out follow-on 

research, development, or commercialization. This written agreement must be signed by authorized 

representatives of the SBC, RI, and subcontractors and consultants, as applicable. 

The SBC must submit this agreement with the proposal by uploading it in the Proposal Budget form. This will 

help to expedite contract negotiations.

3.4.15 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 Phase I TABA funding to obtain TABA under a Phase II award. 
Program Year 2022 STTR Phase II Solicitation

If an offeror decides to request TABA in Phase II, the offeror must request TABA authority from NASA in the 

Phase II proposal submission. Requests for TABA funding will not be 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 the award and during the contract negotiation 

process.

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.

TABA Plan

• Name, contact information, website, and company information including Sam.gov Unique Entity 

Identifier (UEI) for TABA vendor(s) that will provide the TABA services. 

− Note: All TABA vendors must be a 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., DUNS number, Vendor Qualification Statements, 

etc.) as incomplete and may 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 3-page 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.

− Describes 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 the 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.
Program Year 2022 STTR Phase II Solicitation

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.

3.4.16 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 

which is anticipated to be in January 2025. 

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. 

o 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 sub

recipient location will be declined. If a portion of the proposed supplement activities will be 

performed at any other sites, identify all locations.

• Diversity Justification: 

o 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: 

o 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.
Program Year 2022 STTR Phase II Solicitation

• Budget:

o 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:

o Evidence of STEM achievement and entrepreneurial interest.

o A statement from the intern candidate that confirms their availability and commitment to 

participate in the internship.

o Any source(s) of current and pending funding for research or projects that the intern is working 

on.

o 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. 

4. Phase II Selection Process and Evaluation Criteria 

4.1 Selection Process 

All Phase II proposals will be evaluated on a competitive basis. Proposals will be initially screened to determine 

responsiveness using a two-stage review process:

1. All proposals received by the published deadline will undergo an administrative review to determine if 

the proposal meets the requirements found in section 3, Proposal Preparation Instructions and 

Requirements. Proposals that are found to be noncompliant with the requirements in section 3 will be 

eliminated from consideration. NASA will notify the offeror that their proposal has been eliminated and 

will provide the reason.

2. Proposals determined to be responsive to the administrative requirements will be evaluated.

Proposals passing this initial screening will be moved forward to be evaluated and ranked on a competitive 

basis. 

Proposals shall provide all information needed for a complete evaluation. Evaluators will not seek additional 

information. Proposals will be technically evaluated by subject matter experts to determine the most 

promising technical and scientific approaches. The commercialization and business plan will be evaluated by a 

panel of 3rd party commercialization reviewers who are experts in determining commercial potential. Offerors 

should not assume that evaluators are acquainted with the offeror, key individuals, or with any experiments or 

other information. Any pertinent references or publications should be noted in Part 5 of the technical 

proposal.

Each proposal will be evaluated on its own merit. NASA is under no obligation to fund any proposal or any 

specific number of proposals on a given topic. It also may elect to fund several or none of the proposed 

approaches to the same topic or subtopic.

4.1.1 Non-NASA Reviewers 

In addition to utilizing Government personnel in the review process, NASA, at its discretion and in accordance 

with NASA FAR Supplement (NFS) section 1815.207-71, may utilize individuals from outside the Government 

with highly specialized expertise not found in the Government. Qualified experts outside of NASA (including 

industry, academia, and other Government agencies) may assist in performing evaluations as required to 

determine or verify the merit of a complete proposal package. Any decision to obtain an outside evaluation 

shall take into consideration requirements for the avoidance of organizational or personal conflicts of interest 
Program Year 2022 STTR Phase II Solicitation

and any competitive relationship between the prospective contractor or subcontractor(s) and the prospective 

outside evaluator. Any such evaluation will be under agreement with the evaluator that the information (data) 

contained in the complete proposal package will be used only for evaluation purposes and will not be further 

disclosed. 

4.1.2 Non-NASA Access to Confidential Business Information 

In the conduct of processing proposal packages and potential contract administration, the Agency may find it 

necessary to provide access to the complete proposal package to other NASA contractors and subcontractor 

personnel. NASA will provide access to such data only under contracts that contain an appropriate NFS 

1852.237-72 Access to Sensitive Information clause that requires the contractors to fully protect the 

information from unauthorized use or disclosure and where the contractor has implemented the appropriate 

processes and procedures to protect the information.

4.2 Phase II Evaluation Criteria 

NASA intends to select for award those proposals that offer the most advantageous R/R&D and deliver 

technological innovations that contribute to NASA’s missions, provides societal benefit, and grow the U.S.

economy. NASA will give primary consideration to the scientific and technical merit and feasibility of the 

proposal and its benefit to NASA interests. Each proposal will be evaluated using the factors described below:

Note: Past performance is not a separate evaluation factor but will be assessed under Factors 1 and 4 (as 

applicable) below. 

Factor 1: Scientific/Technical Merit and Feasibility 

The proposed R/R&D effort will be evaluated on its originality, the feasibility of the innovation, and potential 

technical value. In addition, past performance of Phase I will be evaluated to determine the degree to which 

Phase I objectives were met, and whether the Phase I results indicate a Phase II project is appropriate. The 

evaluators may review the Phase I final technical report to verify the Phase I results.

Factor 2: Experience, Qualifications, and Facilities 

The technical capabilities and experience of the PI or project manager, key personnel, staff, consultants and 

subcontractors, if any, are evaluated for consistency with the research effort and their degree of commitment 

and availability. The necessary instrumentation or facilities required must be shown to be adequate and any 

reliance on external sources, such as Government-furnished equipment or facilities, must be addressed 

(section 3.4.4, Part 8).

Factor 3: Effectiveness of the Proposed Work Plan

The work plan will be reviewed for its comprehensiveness, effective use of available resources, labor 

distribution, and the proposed schedule for meeting the Phase II objectives. The methods planned to achieve 

each objective or task should be discussed in detail. The proposed path beyond Phase II for further 

development and infusion into a NASA mission or program will also be reviewed. 

The clear delineation of responsibilities of the SBC and RI for the success of the proposed cooperative R/R&D 

effort will be evaluated. The offeror must demonstrate the ability to organize for effective conversion of 

intellectual property into products and services of value to NASA and the commercial marketplace.

Factor 4: Commercialization and Business Planning: The proposal will be evaluated for the commercial 

potential and feasibility of the proposed innovation and associated products and services as described in Part 

7. Evaluation of the commercialization and business plan will include consideration of the following areas:

1. Commercial Potential—Quantitative Market Analysis: This includes an assessment of
Program Year 2022 STTR Phase II Solicitation

a. The market segmentation and the commercial Total Addressable Market (TAM).

b. The proposed innovation in terms of target customers (e.g., NASA, other Federal agencies, 

commercial enterprise).

c. The competitive landscape, by identifying potential competitors.

2. Commercial Intent—Value Proposition: This includes assessing

a. The commercial development plan by providing a development timeline to bring the innovation 

to market.

b. The applicable business model (spin-out, license, OEM, etc.) the offeror would use to bring 

innovation to market.

c. The risks to the commercial development plan and what mitigations, if any, can be taken over a 

reasonable period of time to lessen the risks. 

3. Commercial Capability—Pro Forma Financial Projections: This includes an assessment of 

a. The current and future company capitalization efforts.

b. As applicable, the description of the approach, path to market, and revenues from past 

commercialization(s) resulting from SBIR/STTR awards are disclosed in the CMS. 

4. Intellectual Property (IP): This includes assessment of

a. How the offeror will protect the IP that results from the innovation?

5. Assistance and Mentoring: This includes assessment of

a. The existing and future business relationships in terms of any formal partnerships, joint ventures, 

or licensing agreements with other companies/organizations.

b. 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, TABA, or other assistance providers.

6. Capital Commitments Addendum: This includes an assessment of

a. Any letters of commitment describing follow-on funding, product sales, or matching funding to 

be provided for a future post-Phase II opportunity application.

b. Letter of intent or evidence of negotiations to provide funding should the Phase II project be 

successful, and the market need still exists.

c. A specific plan to secure Phase III funding.

Factor 5: Price Reasonableness

The offeror’s cost proposal will be evaluated for price reasonableness based on the information provided in 

the Proposal Budget form. NASA will comply with the FAR and NASA FAR Supplement (NFS) to evaluate the 

proposed price/cost to be fair and reasonable. 

Scoring and Weight of Factors, Ranking, and Programmatic Balancing 

Factors 1, 2, 3, and 4 will be scored numerically, with Factor 1 worth 45 percent, Factors 2 and 3 each worth 25 

percent, and Factor 4 worth five percent. The sum of the scores for Factors 1, 2, 3, and 4 will constitute the 

Technical Merit score. After ranking proposals using the Technical Merit score, the agency may consider 

additional programmatic balance factors such as portfolio balance across NASA programs, centers, and mission 

directorates, available funding, first-time awardees/participants, historically underrepresented communities, 

and geographic distribution, to recommend proposals for negotiations. 

Factor 5 will be evaluated as part of the negotiation’s decision, i.e., NASA will only make an award when the 

price is fair and reasonable.
Program Year 2022 STTR Phase II Solicitation

4.3 Selection 

The SSO has the final authority for choosing specific proposals for contract negotiation. In making such a 

selection determination, the SSO, in their discretion may consider additional programmatic balance factors 

such as portfolio balance across NASA programs, centers, and mission directorates, available funding, firsttime awardees/participants, historically underrepresented communities, and geographic distribution.

After the SSO selection has been finalized, the list of proposals selected for negotiation will be posted on the 

NASA SBIR/STTR website (http://sbir.nasa.gov). All firms selected by the SSO will receive a formal notification 

letter. Each proposal selected for negotiation will be evaluated for cost/price reasonableness. After completion 

of the evaluation for cost/price reasonableness and a determination of responsibility, the Contracting Officer 

will negotiate and award an appropriate contract to be signed by both parties before work begins. The

Government may request the offeror to submit certain organizational, management, personnel, and financial 

information to establish the responsibility of the offeror. Contractor responsibility includes all resources 

required for contractor performance (e.g., financial capability, workforce, and facilities).

4.3.1 Denial of Awards

Pursuant to the SBIR and STTR Extension Act of 2022, NASA will not make an award under the SBIR or STTR 

program to an offeror if NASA has determined that:

• The small business concern submitting the proposal or application

o has an owner or covered individual that is party to a malign foreign talent recruitment 

program;

o has a business entity, parent company, or subsidiary located in the People’s Republic of 

China or another foreign country of concern; or

o has an owner or covered individual that has a foreign affiliation with a research institution 

located in the People’s Republic of China or another foreign country of concern; and

• The relationships and commitments described above

o interfere with the capacity for activities supported by NASA to be carried out;

o create duplication with activities supported by NASA;

o present concerns about conflicts of interest;

o were not appropriately disclosed to NASA;

o violate Federal law or terms and conditions of NASA; or

o pose a risk to national security.

4.4 Technical and Business Assistance (TABA)

NASA conducts a separate review of all requests for TABA after the SSO makes the final selection of projects to 

enter into negotiation for a Phase II contract. This process consists of the SBIR/STTR Program conducting the 

initial evaluation of the TABA request to determine if the request meets the requirements found in section 

3.4.15 and the statute. The Contracting Officer makes the final determination to allow TABA funding to be 

used under the contract. 

The review of Phase II TABA requests will include the following: 

• A review to determine if the Awardee provided a Phase II TABA Needs Assessment that describes the 

specific services being requested.

• A review of the vendor(s) expertise and knowledge of providing technical and business assistance 

services as described in the TABA Needs Assessment and the vendor qualification statements.

o A review of the vendor information including name, contact information, website, and company 

information including Sam.gov UEI to validate the ability of the vendor to provide services.

• A review of the costs is to be provided to the TABA vendor(s).

• Proposed plans to submit the two required deliverables summarizing the outcome of the TABA services 

with expected supporting information.
Program Year 2022 STTR Phase II Solicitation

• Verification that TABA costs are reflected in the budget forms.

4.5 Intern Diversity Supplement (IDS) Program

NASA conducts a separate review of all requests for IDS. This process consists of the SBIR/STTR Program

conducting the initial evaluation of the IDS request to determine merit with respect to the overall impact on 

diversity and entrepreneurship and if the request meets the requirements found in section 3.4.13. The 

SBIR/STTR Program makes the final determination to allow funding to be used and informs the Contracting 

Officer to issue the funding under the contract.

The review of Phase II IDS requests includes the following: 

• The description of how the internship will promote diversity in the small business and promote

entrepreneurship opportunities for the intern.

• The resume of the intern indicates career goals, prior research training,research potential, and 

any relevant experience.

• The awardee indicates that the proposed experience will expand and foster the 

research and entrepreneurial capabilities, knowledge, and/or skills of the intern, 

that the activities of the intern will be an integral part of the project, and that the 

intern will receive research and entrepreneurial career mentoring.

• The awardee provides a plan and timeline for the proposed research and career development 

experiences inthe supplemental request and its relationship to the Phase II award.

4.6 Notification and Feedback to Unsuccessful Offerors

After Phase II selections for negotiation have been announced, a notification will be sent to the Small Business 

Official designated in the proposal according to the processes described below. 

Note: Due to the competitive nature of the program and limited funding, recommendations to fund or not 

fund a proposal will be final. Applicants are encouraged to use the written feedback to understand the 

outcome of their proposal review and to develop plans to strengthen future proposals.

Unsuccessful Phase II offerors cannot resubmit their unsuccessful Phase II proposal to a future Phase II 

solicitation and if planning to apply for a new Phase I, the Phase I proposal must be different and cannot 

duplicate the prior Phase I work.

4.6.1 Phase II Feedback

For Phase II, NASA uses a two-stage process to notify offerors of the outcome of their proposal. 

1. At the time of the public selection announcement, the Small Business Official will receive an email 

indicating the outcome of the proposal. 

2. Per the requirements in the email notification and this solicitation, offerors must send a feedback

request via email to the NASA SBIR/STTR Program Support Office at agency-sbir@mail.nasa.gov within

60 days after the selection announcement. Late requests will not be honored.

5. Considerations

5.1 Requirement for Contracting 

Upon award of a Funding Agreement, the Awardee will be required to make certain legal commitments 

through acceptance of numerous clauses in Phase II Funding Agreements. The outline that follows is 

illustrative of the types of clauses to which the contractor would be committed. This list is not a complete list 

of clauses to be included in Phase II Funding Agreements and is not the specific wording of such clauses. 

Copies of the complete terms and conditions are available by following the links in appendix C.
Program Year 2022 STTR Phase II Solicitation

(1) Standards of Work. Work performed under the Funding Agreement must conform to high professional 

standards.

(2) Inspection. Work performed under the Funding Agreement is subject to Government inspection and 

evaluation at all times.

(3) Examination of Records. The Comptroller General (or a duly authorized representative) must have the 

right to examine any pertinent records of the Awardee involving transactions related to this Funding 

Agreement.

(4) Default. The Federal Government may terminate the Funding Agreement if the contractor fails to 

perform the work contracted.

(5) Termination for Convenience. The Funding Agreement may be terminated at any time by the Federal 

Government if it deems termination to be in its best interest, in which case the Awardee will be 

compensated for work performed and for reasonable termination costs.

(6) Disputes. Any dispute concerning the Funding Agreement that cannot be resolved by agreement must 

be decided by the contracting officer with the right of appeal.

(7) Contract Work Hours. The Awardee may not require an employee to work more than 8 hours a day or 

40 hours a week unless the employee is compensated accordingly (for example, overtime pay).

(8) Equal Opportunity. The Awardee will not discriminate against any employee or applicant for 

employment because of race, color, religion, sex, or national origin.

(9) Equal Opportunity for Veterans. The Awardee will not discriminate against any employee or application 

for employment because he or she is a disabled veteran or veteran of the Vietnam era.

(10) Equal Opportunity for People with Disabilities. The Awardee will not discriminate against any employee 

or applicant for employment because he or she is physically or intellectually disabled.

(11) Officials Not to Benefit. No Federal Government official may benefit personally from the STTR Funding 

Agreement.

(12) Covenant Against Contingent Fees. No person or agency has been employed to solicit or secure the 

Funding Agreement upon an understanding for compensation except bona fide employees or 

commercial agencies maintained by the Awardee for the purpose of securing business.

(13) Gratuities. The Funding Agreement may be terminated by the Federal Government if any gratuities have 

been offered to any representative of the Government to secure the award.

(14) Patent Infringement. The Awardee must report each notice or claim of patent infringement based on 

the performance of the Funding Agreement.

(15) American-Made Equipment and Products. When purchasing equipment or a product under the STTR 

Funding Agreement, purchase only American-made items whenever possible.

To simplify making contract awards and to reduce processing time, all contractors selected for Phase I 

contracts will ensure that:

1. All information in your completed proposal package is current (e.g., your address has not changed, the 

proposed PI is the same, etc.). If changes have occurred since the submittal of your completed proposal 

package, notify the Contracting Officer immediately.

2. Your firm is registered with System for Award Management (SAM) (section 2.2).

3. Your firm complies with the FAR 52.222-37 Employment Reports on Special Disabled Veterans, Veterans 

of the Vietnam Era, and Other Eligible Veterans (VETS-4212) requirement (See Appendix D). 

Confirmation that a VETS-4212 report has been submitted to the Department of Labor, and is current, 

shall be provided to the Contracting Officer within 10 business days of the notification of selection for 

negotiation.

4. Your firm HAS NOT proposed a Co-Principal Investigator.

5. Your firm will provide timely responses to all communications from the NSSC Contracting Officer.

6. All proposed costs are supported with documentation, such as a quote, previous purchase order, 

published price lists, etc. All letters of commitment are dated and signed by the appropriate person with 

contact information. If a university is proposed as a subcontractor or a RI, the signed letter shall be on 

the university letterhead from the Office of Sponsored Programs. If an independent consultant is 

proposed, the signed letter should not be on university letterhead. If the use of Government facilities or 
Program Year 2022 STTR Phase II Solicitation

equipment is proposed, your firm shall submit a signed letter from the Government facility authorizing 

the use of the facility and stating the availability and the cost, if any, together with a signed letter from 

your firm justifying the need to use the facility.

From the time of the completed proposal package notification of selection for negotiation until the award of a 

contract, all communications shall be submitted electronically to NSSC-SBIR-STTR@nasa.gov.

Note: Costs incurred prior to and in anticipation of the award of a contract are entirely the risk of the 

contractor if a contract is not subsequently awarded. Notification of selection for negotiation is not to be 

misconstrued as an award notification to commence work.

5.2 Awards

5.2.1 Anticipated Number of Awards

NASA does not estimate the exact number of anticipated Phase II contract awards; however, the table below 

reflects the historical information for the program. 

Year Number of STTR Phase II 

Proposals Reviewed

Number of STTR

Phase II Awards

Percentage of STTR 

Phase II Awards

2021 48 19 39.6%

2020 58 22 37.9%

2019 62 37 59.7%

5.2.2 Award Conditions

NASA awards are electronically signed by a NASA Contracting Officer and transmitted electronically to the 

organization via email. NSSC will distribute the NASA STTR Phase II award with the following items.

• SF26—Contract Cover Sheet

• Contract Terms and Conditions—to include reference to the proposal and budget

• Attachment 1: Contract Distribution List

• Attachment 2: Final Summary Chart and Instructions

• Attachment 3: IT Security Management Plan

• Attachment 4: Applicable Documents List 

• Phase II Frequently Asked Questions (FAQs)

5.2.3 Type of Contract 

NASA STTR Phase II awards are made as firm-fixed-price contracts.

5.2.4 Model Contracts

Examples of the NASA STTR contracts can be found on the NASA SBIR/STTR Resources website: 

http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. Note: Model contracts are subject to change.

5.3 Reporting and Required Deliverables 

An IT Security Management Plan is required at the beginning of the contract. Contractors interested in doing 

business with NASA and/or providing IT services or solutions to NASA should use the list found on the website 

of the Office of the Chief Information Officer (OCIO) as a reference for information security requirements: 

https://www.nasa.gov/content/security-requirements-policies. An example of an IT Security Management 

Plan can be found in the NASA SBIR/STTR Resources website: 

http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. For more information, see NASA FAR Supplement clause 

1852.204-76
Program Year 2022 STTR Phase II Solicitation

All contracts shall require the delivery of technical reports that present (1) the work and results accomplished; 

(2) the scientific, technical, and commercial merit and feasibility of the proposed innovation and project 

results; (3) the proposed innovation’s relevance and significance to one or more NASA interests (section 9); 

and (4) the strategy for development and transition of the proposed innovation and project results into 

products and services for NASA mission programs and other potential customers. Deliverables may also 

include the demonstration of the proposed innovation and/or the delivery of a prototype or test unit, product, 

or service for NASA testing and utilization if requested under Phase II. 

The technical reports and other deliverables are required as described in the contract and are to be provided 

to NASA. These reports shall document progress made on the project and activities required for completion. 

Periodic certification for payment will be required as stated in the contract. A final report must be submitted 

to NASA upon completion of the Phase II R/R&D effort in accordance with applicable contract provisions. 

A final New Technology Summary Report (NTSR) is due at the end of the contract, and New Technology 

Report(s) (NTR) are required if technology(ies) is/are developed under the award prior to submission of the 

final invoice. For additional information on NTSR and NTR requirements and definitions, see section 5.9. 

If TABA and/or IDS are requested, Phase II contracts will require deliverables that summarize the outcome of 

the services with expected supporting information. 

Report deliverables shall be submitted electronically via the EHB. For any reports that require an upload, NASA 

requests the submission in PDF or Microsoft Word format. 

Note: To access contract management in the EHB, you will be required to have an identity in the NASA 

Access Management System (NAMS). This is the Agency’s centralized system for requesting and maintaining 

accounts for NASA IT systems and applications. The system contains user account information, access 

requests, and account maintenance processes for NASA employees, contractors, and remote users such as 

educators and foreign users. A basic background check and completion of NASA IT Security Training are

required for this account. Instructions to create an identity in NAMS will be provided during contract 

negotiations.

It is recommended that you begin this process immediately upon notification, as this access will be required 

to submit deliverables and invoices.

5.4 Payment Schedule 

All NASA STTR contracts are firm-fixed-price contracts. The exact payment terms will be included in the 

contract.

Although invoices are submitted electronically through the Department of Treasury’s Invoice Processing 

Platform (IPP), as a condition for payment, invoice certifications shall be completed in the EHB for each 

individual invoice. The certification is preset in the EHB, and it shall be completed before uploading each 

invoice in IPP. Upon completion of the certification, a link to IPP is automatically provided in the EHB.

If TABA and/or IDS are requested, Phase II awardees will be required to submit invoices for reimbursement per 

the payment schedule. 

5.5 Profit or Fee

Contracts may include a reasonable profit. The reasonableness of the proposed profit is determined by the 

Contracting Officer during contract negotiations. Reference FAR 15.404-4.
Program Year 2022 STTR Phase II Solicitation

5.6 Cost Sharing

Cost sharing is permitted for completed proposal packages under this program solicitation; however, cost 

sharing is not required. Cost sharing will not be an evaluation factor in consideration of your completed 

proposal package or will not be used in the determination of the percentage of Phase I work to be performed 

on the contract.

5.7 Rights in Data Developed Under STTR Funding Agreements

The STTR program provides specific rights for data developed under STTR awards. Please review the full text at 

the following FAR 52.227-20 Rights in Data-SBIR Program and PCD 21-02 FEDERAL ACQUISITION REGULATION 

(FAR) CLASS DEVIATION – PROTECTION OF DATA UNDER THE SMALL BUSINESS INNOVATIVE RESEARCH/SMALL 

TECHNOLOGY TRANSFER RESEARCH (SBIR/STTR) PROGRAM

5.8 Copyrights 

The contractor may copyright and publish (consistent with appropriate national security considerations, if any) 

material developed with NASA support. NASA receives a royalty-free license for the Federal Government and 

requires that each publication contain an appropriate acknowledgment and disclaimer statement. 

5.9 Invention Reporting, Election of Title, Patent Application Filing, and Patents

Awardees under the STTR program are required to provide New Technology Reports (NTR) for any new subject 

inventions, and the New Technology Summary Reports (NTSR) for the interim and final contract periods via the 

SBIR/STTR EHB at http://sbir.nasa.gov under the Handbooks section. 

Please review the full STTR data rights and protection period text at the following:

https://www.sbir.gov/sites/default/files/SBA_SBIR_STTR_POLICY_DIRECTIVE_OCT_2020_v2.pdf.

5.10 Export Control 

The contractor shall comply with all U.S. export control laws including Export Administration Regulations (EAR) 

and International Traffic in Arms Regulations (ITAR). Offerors are responsible for ensuring that all employees 

who will work on this contract are eligible under export control laws, EAR, and ITAR. Any employee who is not 

a U.S. citizen or a permanent resident may be restricted from working on this contract if the technology is 

restricted under export control laws, ITAR, or EAR unless the prior approval of the Department of State or the 

Department of Commerce is obtained via a technical assistance agreement or an export license. Violations of 

these regulations can result in criminal or civil penalties.

For additional information on ITAR, please visit the Code of Federal Regulations at https://www.ecfr.gov/cgibin/text-idx?tpl=/ecfrbrowse/Title22/22cfr120_main_02.tpl. For additional information on EAR, please 

visit https://www.bis.doc.gov/index.php/regulations/export-administration-regulations-ear. For additional 

training, refer to https://www.sbir.gov/tutorials/itar/. 

5.11 Government-Furnished and Contractor-Acquired Property

In accordance with the SBIR/STTR Policy Directive, the Federal Government may transfer title to the property 

provided by the STTR Participating Agency to the awardee or acquired by the awardee for the purpose of 

fulfilling the contract, where such transfer would be more cost-effective than the recovery of the property.

5.12 Essentially Equivalent Awards and Prior Work
Program Year 2022 STTR Phase II Solicitation

If an award is made pursuant to a proposal or completed proposal package submitted under an STTR 

solicitation, the firm will be required to certify with every invoice that it has not previously been paid nor is 

currently being paid for essentially equivalent work by any agency of the Federal Government. Failure to 

report essentially equivalent or duplicate efforts can lead to the termination of contracts and/or civil or 

criminal penalties.

5.13 Additional Information

5.13.1 Precedence of Contract Over this Solicitation

This program solicitation reflects current planning. If there is any inconsistency between the information 

contained herein and the terms of any resulting STTR contract, the terms of the contract take precedence over 

the solicitation.

5.14 Use of Government Resources

Federal Departments and Agencies

Use of STTR funding for unique Federal/non-NASA resources from a Federal department or agency that does 

not meet the definition of a Federal laboratory as defined by U.S. law and in the SBA Policy Directive on the 

STTR program requires a waiver from the SBA. Completed proposal packages requiring waivers must include 

an explanation of why the waiver is appropriate. NASA will provide the offeror’s request, along with an 

explanation to SBA, during the negotiation process. NASA cannot guarantee that a waiver can be obtained 

from SBA. Specific instructions to request the use of Government Resources are in section 3.5 of the 

solicitation.

Note: NASA facilities qualify as Federal laboratories.

Support Agreements for the Use of Government Resources

All offerors selected for the award who require the use of any Federal facility shall, within 20 business days of 

notification of selection for negotiations, provide to the NSSC Contracting Officer an agreement by and 

between the Contractor and the appropriate Federal facility/laboratory, executed by the Government official 

authorized to approve such use. The agreement must delineate the terms of use, associated costs, and facility 

responsibilities and liabilities. Having a signed agreement for the use of Government resources is a 

requirement for the award.

For the proposed use of NASA resources, a NASA SBIR/STTR Support Agreement template is available on the 

Resources website (http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html) and must be executed before a 

contractor can use NASA resources. Offerors shall only include a signed letter of commitment from an 

authorized NASA point of contact in the completed proposal packages. NASA expects selected offerors to 

finalize and execute their NASA STTR Support Agreement during the negotiation period with the NSSC. All 

STTR Support Agreements must be fully reimbursable, and the direction and guidance contained in NPR 

9090.1B, Partnership Agreements-Financial Requirements and Administration applies unless otherwise 

expressly prohibited by federal law regarding limitation on advance payment for resources provided under the 

Support Agreements. 

Contractor Responsibilities for Costs 

In accordance with FAR Part 45, it is NASA's policy not to provide services, equipment, or facilities (resources) 

(capital equipment, tooling, test, computer facilities, etc.) for the performance of work under STTR contracts. 

Generally, any contractor will furnish its own resources to perform the proposed work on the contract. 
Program Year 2022 STTR Phase II Solicitation

In all cases, the contractor shall be responsible for any costs associated with services, equipment, or facilities 

provided by NASA or another Federal department or agency, and such costs shall result in no increase in the 

price of this contract.

5.15 Agency Recovery Authority and Ongoing Reporting

In accordance with Section 5 of the SBIR and STTR Extension Act of 2022, the NASA will –

1) require a small business concern receiving an award under its STTR program to repay all amounts received 

from the Federal agency under the award if—

(A) the small business concern makes a material misstatement that the Federal agency determines poses a 

risk to national security; or

(B) there is a change in ownership, change to entity structure, or other substantial change in circumstances 

of the small business concern that the Federal agency determines poses a risk to national security; and

2) require a small business concern receiving an award under its STTR program to regularly report to the 

Federal agency and the SBA throughout the duration of the award on—

(A) any change to a disclosure required under subparagraphs (A) through (G) of section 2.3.1 above;

(B) any material misstatement made under section 5.15 paragraph (A) above; and

(C) any change described in section 5.15 paragraph (B) above.

6. Submission of Proposals 

6.1 How to Apply for STTR Phase II

NASA uses electronically supported business processes for the STTR program. An offeror must have internet 

access and an email address. Paper submissions are not accepted.

To apply for a NASA STTR Phase II contract all SBCs are required to follow the steps found below. 

6.1.1 Electronic Submission Requirements via the EHB

NASA uses an electronic submission system called the Electronic Handbook (EHB) and all offerors must use the

EHB for submitting a completed proposal package. The EHB guides firms through the steps for submitting a 

complete proposal package. All submissions are through a secure connection and most communication 

between NASA and the firm is through either the EHB or email. To access the EHB go to 

https://sbir.gsfc.nasa.gov/submissions/login.

New SBCs must register in the EHB to begin the submission process. Returning firms can use the same account 

they have used for previous submissions unless the business name has changed. Firms are encouraged to start 

the EHB registration process early to allow sufficient time to complete the submission process. 

It is recommended that the designated Small Business Official, or an authorized representative designated by 

the designated Small Business Official, be the first person to register for the SBC. The SBC’s Employer 

Identification Number (EIN)/Taxpayer Identification Number is required during registration. 

Note: The designated Small Business Official, typically the first person to register your firm, will become the 

firm administrator and will be the only individual authorized to update and change the firm-level forms in 

the EHB. 
Program Year 2022 STTR Phase II Solicitation

For successfully completed proposal package submission, SBCs shall complete all forms online, upload their 

required documents in an acceptable format, and have the designated Small Business Official and Principal 

Investigator (PI) electronically endorse the proposal package within the EHB system. 

6.1.2 Deadline for Phase II Proposal Receipt

A complete Phase II proposal package shall be received no later than 5:00 p.m. ET on August 25, 2023, which 

is the last day of the Phase I contract original period of performance. 

Note: If an offeror has received a no-cost extension on their Phase I contract, the original period of 

performance date of the contract applies as the deadline. Therefore the new period of performance date for 

the extension does not apply and cannot be used as the deadline to submit a Phase II Proposal. 

All submissions are via the NASA SBIR/STTR website (http://sbir.nasa.gov) under the Handbooks section. 

The EHB will be available for submissions approximately 6 weeks prior to the completion date of Phase I 

contracts.

An offeror who waits to submit a proposal package near the deadline is at risk of not completing the required 

document uploads and EHB endorsements of their proposal. The Electronic Handbook (EHB) will terminate any 

active submissions at the published deadline of 5:00 p.m. ET on the last day of the Phase I original contract 

period of performance. This termination will result in the offeror receiving an error message, and any 

remaining parts of the proposal will not be uploaded. If a complete proposal package is not received by the 

5:00 p.m. ET deadline, the proposal package will be determined to be incomplete and may not be evaluated. 

As stated in section 4, NASA conducts a two-stage review process of all proposals to determine if the proposal 

can be evaluated and ranked on a competitive basis. Proposals that are found to be noncompliant with the 

requirements in section 3 of this solicitation will be declined, and no further evaluations will occur. The offeror

will be notified of NASA’s decision to decline the proposal and that the decision is final.

6.1.3 Complete Proposal Package Submission 

Firms will upload all components of a complete proposal package using the Proposal Submissions module in 

the EHB. Directions are found within the EHB to assist users. All transactions via the EHB are encrypted for 

security purposes. 

A complete proposal package consists of online forms and associated documentation that must be 

submitted in PDF format via the EHB. Below is what the completed proposal package includes. See section 3 

for additional information on how to complete each of these sections. 

Each complete proposal package submitted shall contain the following items:

1. Proposal Contact Information

2. Proposal Certifications

3. Proposal Summary

4. Proposal Budget

a. Including letters of commitment for Government resources and subcontractors/consultants (if 

applicable)

b. 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

5. Technical Proposal—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.

6. Briefing Chart 

7. NASA Evaluation License Application, only if TAV is being proposed
Program Year 2022 STTR Phase II Solicitation

8. Capital Commitments Addendum Supporting Phase II and Phase III (optional) 

9. Technical and Business Assistance (TABA) Request (if applicable)

10. Firm-Level Forms (completed once for all proposals submitted to a single solicitation)

a. Firm Certifications

b. Audit Information

c. Prior Awards Addendum

d. Commercialization Metrics Survey (CMS)

e. Disclosures of Foreign Affiliations or Relationships to Foreign Countries

11. Electronic Endorsement in the EHB by the Small Business Official and Principal Investigator (PI)

Firms cannot submit security/password-protected PDF files, as reviewers will not be able to open and read 

these files. Proposal packages containing security/password-protected PDF files may be declined and not 

considered.

Offerors are responsible for virus-checking all files prior to submission. NASA may decline any completed 

proposal package that contains a file with a detected virus.

Before you can submit the final completed proposal package, the EHB will ask you to download the entire 

completed proposal package and certify that you have reviewed it to ensure that you have met the 

requirements in this solicitation and have uploaded the correct documentation. 

A proposal package that is missing the final endorsement in the EHB will be considered an incomplete 

proposal package and may be declined.

You may upload a complete proposal package multiple times, with each new upload replacing the previous 

version, but only the final uploaded and electronically endorsed version will be considered for review. If you 

have already completed a prior upload and endorsed the proposal package, any new uploads will require a reendorsement of the new completed proposal package. 

Note: Embedded animation or video, as well as reference technical papers for “further reading,” will not be 

considered for evaluation. 

6.1.4 Acknowledgment of a Completed Proposal Package Receipt

NASA will acknowledge receipt of the electronically submitted and completed proposal package upon 

endorsement in the EHB by the designated Small Business Official. NASA will send an email to the designated 

Small Business Official email address as provided on the completed proposal package cover sheet, as well as to 

the user who created the completed proposal package, if different. If a completed proposal package

acknowledgment is not received after submission, the offeror should immediately contact the NASA 

SBIR/STTR Program Support Office at agency-sbir@mail.nasa.gov. 

6.1.5 Withdrawal of Completed Proposal Packages

Prior to the close of submissions, completed proposal packages may be withdrawn via the Proposal 

Submissions module in the EHB. In order to withdraw a completed proposal package after the deadline, the 

designated Small Business Official must send written notification via email to agency-sbir@mail.nasa.gov.

6.1.6 Service of Protests

Protests, as defined in section FAR 33.101 of the Federal Acquisition Regulation, that are filed directly with an 

agency, and copies of any protests that are filed with the Government Accountability Office (GAO), shall be 

served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of 

receipt from:

Kenneth E. Albright

NASA Shared Services Center
Program Year 2022 STTR Phase II Solicitation

Building 1111, Jerry Hlass Road

Stennis Space Center, MS 39529

Agency-SBIR-STTRSolicitation@mail.nasa.gov

A copy of any protest shall be received in the office designated above within one day of filing a protest with 

the GAO.
Program Year 2022 STTR Phase II Solicitation

7. Proposal, Scientific and Technical Information Sources

7.1 NASA Organizational and Programmatic Information

General sources relating to organizational and programmatic information at NASA are available via the 

following websites:

NASA Budget Documents, Strategic Plans, and Performance Reports: 

http://www.nasa.gov/about/budget/index.html

NASA Organizational Structure: http://www.nasa.gov/centers/hq/organization/index.html 

NASA SBIR/STTR Programs: http://sbir.nasa.gov

Information regarding the 2020 NASA Technology Taxonomy and the NASA Strategic Integration Framework

can be obtained at the following websites:

Office of the Chief Technologist 

2020 NASA Technology Taxonomy https://www.nasa.gov/offices/oct/taxonomy/index.html

NASA Mission Directorates

Aeronautics Research http://www.aeronautics.nasa.gov/

Exploration Systems Development https://www.nasa.gov/directorates/exploration-systemsdevelopment

Space Operations https://www.nasa.gov/directorates/space-operations-missiondirectorate

Science http://nasascience.nasa.gov

Space Technology http://www.nasa.gov/directorates/spacetech/home/index.html

NASA Centers

Ames Research Center (ARC) http://www.nasa.gov/centers/ames/home/index.html

Armstrong Flight Research Center (AFRC) http://www.nasa.gov/centers/armstrong/home/index.html

Glenn Research Center (GRC) http://www.nasa.gov/centers/glenn/home/index.html

Goddard Space Flight Center (GSFC) http://www.nasa.gov/centers/goddard/home/index.html

Jet Propulsion Laboratory (JPL) http://www.nasa.gov/centers/jpl/home/index.html

Johnson Space Center (JSC) http://www.nasa.gov/centers/johnson/home/index.html

Kennedy Space Center (KSC) http://www.nasa.gov/centers/kennedy/home/index.html

Langley Research Center (LaRC) http://www.nasa.gov/centers/langley/home/index.html

Marshall Space Flight Center (MSFC) http://www.nasa.gov/centers/marshall/home/index.html

Stennis Space Center (SSC) http://www.nasa.gov/centers/stennis/home/index.html

NASA Shared Services Center (NSSC) https://www.nssc.nasa.gov/

7.2 United States Small Business Administration (SBA)

The SBA oversees the Federal SBIR and STTR programs. The SBA has resources that small businesses can take 

advantage of in learning about the program and obtaining help in developing a proposal or a completed 

proposal package for a Federal SBIR/STTR program. Offerors are encouraged to review the information that is 

provided at the following links: www.sbir.gov, https://www.sba.gov/local-assistance, and 

https://www.sbir.gov/resources. 

The SBA issues an SBIR/STTR Policy Directive which provides guidance to all Federal Agencies that have an

SBIR/STTR program. The Policy Directives for the SBIR/STTR programs may be obtained from the SBA at 

www.sbir.gov or at the following address:
Program Year 2022 STTR Phase II Solicitation

U.S. Small Business Administration

Office of Technology – Mail Code 6470

409 Third Street, S.W.

Washington, DC 20416

Phone: 202-205-6450

7.3 National Technical Information Service

The National Technical Information Service (NTIS) is an agency of the Department of Commerce and is the 

Federal Government's largest central resource for Government-funded scientific, technical, engineering, and 

business-related information. For information regarding various NTIS services and fees, call or write:

National Technical Information Service

5285 Port Royal Road

Springfield, VA 22161

Phone: 703-605-6000

URL: http://www.ntis.gov
Program Year 2022 STTR Phase II Solicitation

8. Submission Forms 

Note: Previews of all forms and certifications are available via the NASA SBIR/STTR Resources website, 

located at http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html.

8.1 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 are submitted for one subtopic only (section 3.1).

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

a. Proposal Contact Information

b. Proposal Certifications

c. Proposal Summary

d. Proposal Budget

i. Including letters of commitment for Government resources and 

subcontractors/consultants (if applicable)

ii. 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 

e. Technical Proposal—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.

f. Briefing Chart 

g. NASA Evaluation License Application, only if TAV is being proposed

h. Capital Commitments Addendum Supporting Phase II and Phase III (optional) 

i. Technical and Business Assistance (TABA) Request, if applicable

j. 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)

v. Disclosures of Foreign Affiliations or Relationships to Foreign Countries

k. Electronic Endorsement by the Small Business Official and Principal 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/R&D effort requires the 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 a 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.
Program Year 2022 STTR Phase II Solicitation

6. Proposed funding does not exceed $850,000 (section 1.4), and if requesting TABA, the cost for TABA 

does not exceed $50,000 (section 3.4.15).

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

8. The proposal package is 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 6.1).
Program Year 2022 STTR Phase II Solicitation

9. Research Subtopics for STTR

Phase II proposals are follow-on work to the original Phase I award, therefore offerors are required to submit 

proposals that are in alignment with the original subtopic that Phase I was awarded under. Offerors are 

encouraged to review the subtopic and ensure the proposed effort meets the subtopic scope, goals, and Phase 

II deliverables. To review the subtopic that was solicited in Phase I, go to https://sbir.nasa.gov/solicitations and 

review section 9: Research Subtopics for STTR in the 2022 Phase I solicitation.
Fiscal Year 2022 STTR Phase II Solicitation

Appendices

Appendix A: Technology Readiness Level (TRL) Descriptions

The Technology Readiness Level (TRL) describes the stage of maturity in the development process from 

observation of basic principles through final product operation. The exit criteria for each level document that 

principles, concepts, applications, or performance have been satisfactorily demonstrated in the appropriate 

environment required for that level. A relevant environment is a subset of the operational environment that is 

expected to have a dominant impact on operational performance. Thus, reduced gravity may be only one of the 

operational environments in which the technology must be demonstrated or validated in order to advance to the 

next TRL. 

TRL Definition Hardware Description Software Description Exit Criteria

1

Basic principles 

observed and 

reported.

Scientific knowledge 

generated underpinning 

hardware technology 

concepts/applications.

Scientific knowledge generated 

underpinning basic properties of 

software architecture and 

mathematical formulation.

Peer-reviewed 

publication of research 

underlying the proposed 

concept/application.

2

Technology 

concept and/or 

application 

formulated.

Invention begins, practical 

application is identified but is 

speculative, and no 

experimental proof or 

detailed analysis is available 

to support the conjecture.

Practical application is identified 

but is speculative, no 

experimental proof or detailed 

analysis is available to support 

the conjecture. Basic properties 

of algorithms, representations,

and concepts defined. Basic 

principles coded. Experiments 

performed with synthetic data.

Documented description 

of the 

application/concept that 

addresses feasibility and 

benefit.

3

Analytical and 

experimental 

critical function 

and/or 

characteristic 

proof of concept.

Analytical studies place the 

technology in an appropriate 

context and laboratory 

demonstrations, modeling 

and simulation validate 

analytical prediction.

Development of limited 

functionality to validate critical 

properties and predictions using 

non-integrated software 

components.

Documented 

analytical/experimental 

results validating 

predictions of key 

parameters.

4

Component 

and/or 

breadboard 

validation in a 

laboratory 

environment.

A low-fidelity 

system/component 

breadboard is built and 

operated to demonstrate 

basic functionality and critical 

test environments, and 

associated performance 

predictions are defined 

relative to the final operating 

environment.

Key, functionally critical, 

software components are 

integrated, and functionally 

validated, to establish 

interoperability and begin 

architecture development. 

Relevant Environments are 

defined and performance in 

these environments is 

predicted.

Documented test 

performance 

demonstrating 

agreement with analytical 

predictions. Documented 

definition of relevant 

environment.

5

Component 

and/or 

breadboard 

A medium fidelity 

system/component brass

board is built and operated to 

End-to-end software elements 

implemented and interfaced 

with existing 

Documented test 

performance 

demonstrating 
Fiscal Year 2022 STTR Phase II Solicitation

validation in a 

relevant 

environment.

demonstrate overall 

performance in a simulated 

operational environment with 

realistic support elements 

that demonstrates overall 

performance in critical areas. 

Performance predictions are 

made for subsequent 

development phases.

systems/simulations conforming 

to the target environment. The 

end-to-end software system, 

tested in a relevant 

environment, meeting predicted 

performance. Operational 

environment performance 

predicted. Prototype 

implementations developed.

agreement with analytical 

predictions. Documented 

definition of scaling 

requirements.

6

System/subsystem model or 

prototype 

demonstration in 

a relevant 

environment.

A high-fidelity 

system/component prototype 

that adequately addresses all 

critical scaling issues is built 

and operated in a relevant 

environment to demonstrate 

operations under critical 

environmental conditions.

Prototype implementations of 

the software demonstrated on 

full-scale realistic problems. 

Partially integrated with existing 

hardware/software systems. 

Limited documentation is

available. Engineering feasibility 

fully demonstrated.

Documented test 

performance 

demonstrating 

agreement with analytical 

predictions.

7

System prototype 

demonstration in 

an operational 

environment.

A high-fidelity engineering 

unit that adequately 

addresses all critical scaling 

issues is built and operated in 

a relevant environment to 

demonstrate performance in 

the actual operational 

environment and platform 

(ground, airborne, or space).

Prototype software exists having 

all key functionality available for 

demonstration and testing. Well 

integrated with operational 

hardware/software systems 

demonstrating operational 

feasibility. Most software bugs 

were removed. Limited 

documentation is available.

Documented test 

performance 

demonstrating 

agreement with analytical 

predictions.

8

The actual system 

was completed 

and "flight 

qualified" through 

test and 

demonstration.

The final product in its final 

configuration is successfully 

demonstrated through testing

and analysis for its intended 

operational environment and 

platform (ground, airborne, or 

space).

All software has been 

thoroughly debugged and fully 

integrated with all operational 

hardware and software systems. 

All user documentation, training 

documentation, and 

maintenance documentation 

are completed. All functionality 

was successfully demonstrated 

in simulated operational 

scenarios. Verification and 

Validation (V&V) completed.

Documented test 

performance verifying 

analytical predictions.

9

Actual system 

flight proven 

through 

successful mission 

operations.

The final product is 

successfully operated in an 

actual mission.

All software has been 

thoroughly debugged and fully 

integrated with all operational 

hardware/software systems. All 

documentation has been 

completed. Sustaining software 

engineering support is in place. 

The system has been 

successfully operated in the 

operational environment.

Documented mission 

operational results.

Definitions
Fiscal Year 2022 STTR Phase II Solicitation

Brassboard: A medium-fidelity functional unit that typically tries to make use of as much operational 

hardware/software as possible and begins to address scaling issues associated with the operational system. It does 

not have the engineering pedigree in all aspects but is structured to be able to operate in simulated operational 

environments in order to assess the performance of critical functions.

Breadboard: A low-fidelity unit that demonstrates function only, without respect to form or fit in the case of 

hardware, or platform in the case of software. It often uses commercial and/or ad hoc components and is not 

intended to provide definitive information regarding operational performance.

Engineering Unit: A high-fidelity unit that demonstrates critical aspects of the engineering processes involved in 

the development of the operational unit. Engineering test units are intended to closely resemble the final product 

(hardware/software) to the maximum extent possible and are built and tested so as to establish confidence that 

the design will function in the expected environments. In some cases, the engineering unit will become the final 

product, assuming proper traceability has been exercised over the components and hardware handling.

Laboratory Environment: An environment that does not address in any manner the environment to be 

encountered by the system, subsystem, or component (hardware or software) during its intended operation. Tests 

in a laboratory environment are solely for the purpose of demonstrating the underlying principles of technical 

performance (functions), without respect to the impact of the environment.

Mission Configuration: The final architecture/system design of the product that will be used in the operational 

environment. If the product is a subsystem/component, then it is embedded in the actual system in the actual 

configuration used in operation. 

Operational Environment: The environment in which the final product will be operated. In the case of spaceflight 

hardware/software, it is space. In the case of ground-based or airborne systems that are not directed toward 

spaceflight, it will be the environments defined by the scope of operations. For software, the environment will be 

defined by the operational platform.

Proof of Concept: Analytical and experimental demonstration of hardware/software concepts that may or may not 

be incorporated into subsequent development and/or operational units.

Prototype Unit: The prototype unit demonstrates form, fit, and function at a scale deemed to be representative of 

the final product operating in its operational environment. A subscale test article provides fidelity sufficient to 

permit the validation of analytical models capable of predicting the behavior of full-scale systems in an operational 

environment

Relevant Environment: Not all systems, subsystems, and/or components need to be operated in the operational 

environment in order to satisfactorily address performance margin requirements. Consequently, the relevant 

environment is the specific subset of the operational environment that is required to demonstrate critical "at risk" 

aspects of the final product performance in an operational environment. It is an environment that focuses 

specifically on "stressing" the technology advance in question.
Fiscal Year 2022 STTR Phase II Solicitation

Appendix B: STTR and the Technology Taxonomy

NASA’s technology development activities expand the frontiers of knowledge and capabilities in aeronautics, 

science, and space, creating opportunities, markets, and products for U.S. industry and academia. Technologies 

that support NASA’s missions may also support science and exploration missions conducted by the commercial 

space industry and other Government agencies. In addition, NASA technology development results in applications 

for the general population, including devices that improve health, medicine, transportation, public safety, and 

consumer goods. 

The NASA Technology Taxonomy provides a structure for articulating the technology development disciplines 

needed to enable future space missions and support commercial air travel. It is composed of 17 distinct technicaldiscipline-based taxonomies (TX) that provide a breakdown structure for each technology area. The taxonomy uses 

a three-level hierarchy for grouping and organizing technology types. Level 1 represents the technology area that is 

the title of that area. Level 2 is a list of the subareas in the taxonomy is a foundational element of NASA’s 

technology management process. NASA’s mission directorates reference the taxonomy to solicit proposals and to 

inform decisions on NASA’s technology policy, prioritization, and strategic investments.

The NASA Technology Taxonomy can be found at: 

(https://www.nasa.gov/sites/default/files/atoms/files/2020_nasa_technology_taxonomy_lowres.pdf). 

For the STTR program, NASA research and technology areas to be solicited are identified annually by the agency’s 

Center Chief Technologists (CCTs). The CCTs identify high-priority research problems and technology needs for 

their respective programs and projects. The range of problems and technologies is broad, and the list of research 

subtopics varies in content from year to year to maintain alignment with current interests.

The table on the following pages relates the current STTR subtopics to the Technology Taxonomy.
Fiscal Year 2022 STTR Phase II Solicitation

Appendix C: List of NASA STTR Phase II Clauses, Regulations, and Certifications

Introduction

Offerors who plan to submit a completed proposal package to this solicitation will be required to meet specific 

rules and regulations as part of the submission and if awarded a contract. Offerors should ensure that they 

understand these rules and requirements before submitting a completed proposal package to NASA. 

Below are all the clauses, regulations, and certifications that apply to Phase II submissions and contracts. Each 

clause, regulation, and certification contain a hyperlink to the webpages from the NASA FAR Supplement, 

SBIR/STTR Policy Directive, and www.acquisition.gov where you can read about the requirements. 

Federal Acquisition Regulations (FAR) Provisions and Clauses 

FAC 2023-04; FAR Case 2023-010 Prohibition on a Byte Dance Covered Application (including TikTok) (Interim 

Rule)

52.203-19 PROHIBITION ON REQUIRING CERTAIN INTERNAL CONFIDENTIALITY AGREEMENTS OR STATEMENTS.

52.204-6 UNIQUE ENTITY IDENTIFIER.

52.204-7 SYSTEM FOR AWARD MANAGEMENT.

52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (DEVIATION 20-02A)

52.204-10 REPORTING EXECUTIVE COMPENSATION AND FIRST-TIER SUBCONTRACT AWARDS.

52.204-13 SYSTEM FOR AWARD MANAGEMENT MAINTENANCE.

52.204-16 COMMERCIAL AND GOVERNMENT ENTITY CODE REPORTING.

52.204-18 COMMERCIAL AND GOVERNMENT ENTITY CODE MAINTENANCE.

52.204-19 INCORPORATION BY REFERENCE OF REPRESENTATIONS AND CERTIFICATIONS.

52.204-22 ALTERNATIVE LINE ITEM PROPOSAL.

52.204-23 PROHIBITION ON CONTRACTING FOR HARDWARE, SOFTWARE, AND SERVICES DEVELOPED OR 

PROVIDED BY KASPERSKY LAB AND OTHER COVERED ENTITIES.

52.204-24 REPRESENTATION REGARDING CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE 

SERVICES OR EQUIPMENT

52.204-25 PROHIBITION ON CONTRACTING FOR CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE

SERVICES OR EQUIPMENT.

52.204-26 COVERED TELECOMMUNICATIONS EQUIPMENT OR SERVICES - REPRESENTATION.

52.209-6 PROTECTING THE GOVERNMENT’S INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS 

DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT.

52.215-1 INSTRUCTIONS TO OFFERORS—COMPETITIVE ACQUISITION.

52.215-8 ORDER OF PRECEDENCE—UNIFORM CONTRACT FORMAT.
Fiscal Year 2022 STTR Phase II Solicitation

52.216-1 TYPE OF CONTRACT.

52.219-6 NOTICE OF TOTAL SMALL BUSINESS SET-ASIDE

52.219-28 POST-AWARD SMALL BUSINESS PROGRAM REPRESENTATION.

52.222-3 CONVICT LABOR.

52.222-21 PROHIBITION OF SEGREGATED FACILITIES.

52.222-26 EQUAL OPPORTUNITY.

52.222-36 EQUAL OPPORTUNITY FOR WORKERS WITH DISABILITIES.

52.222-50 COMBATING TRAFFICKING IN PERSONS.

52.223-6 DRUG-FREE WORKPLACE.

52.223-18 ENCOURAGING CONTRACTOR POLICIES TO BAN TEXT MESSAGING WHILE DRIVING.

52.223-99 ENSURING ADEQUATE COVID-19 SAFETY PROTOCOLS FOR FEDERAL CONTRACTORS (DEVIATION 21-

03)

52.225-1 Buy American-Supplies (NOV 2021)

52.225-13 RESTRICTIONS ON CERTAIN FOREIGN PURCHASES.

52.227-1 AUTHORIZATION AND CONSENT.

52.227-11 PATENT RIGHTS—OWNERSHIP BY THE CONTRACTOR.

52.227-20 RIGHTS IN DATA—SBIR PROGRAM.

52.232-2 PAYMENTS UNDER FIXED-PRICE RESEARCH AND DEVELOPMENT CONTRACTS.

52.232-9 LIMITATION ON WITHHOLDING OF PAYMENTS.

52.232-12 ADVANCE PAYMENTS.

52.232-23 ASSIGNMENT OF CLAIMS.

52.232-25 PROMPT PAYMENT.

52.232-33 PAYMENT BY ELECTRONIC FUNDS TRANSFER—SYSTEM FOR AWARD MANAGEMENT.

52.232-39 UNENFORCEABILITY OF UNAUTHORIZED OBLIGATIONS.

52.232-40 PROVIDING ACCELERATED PAYMENTS TO SMALL BUSINESS SUBCONTRACTORS. (DEVIATION 20-03A)

52.233-1 DISPUTES.

52.233-3 PROTEST AFTER AWARD.

52.233-4 APPLICABLE LAW FOR BREACH OF CONTRACT CLAIM.
Fiscal Year 2022 STTR Phase II Solicitation

52.242-15 STOP-WORK ORDER.

52.243-1 CHANGES—FIXED PRICE.

52.246-7 INSPECTION OF RESEARCH AND DEVELOPMENT—FIXED PRICE.

52.246-16 RESPONSIBILITY FOR SUPPLIES.

52.244-6 SUBCONTRACTS FOR COMMERCIAL ITEMS. (DEVIATION 20-03A)

52.249-1 TERMINATION FOR CONVENIENCE OF THE GOVERNMENT (FIXED-PRICE) (SHORT FORM).

52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE.

52.252-5 AUTHORIZED DEVIATIONS IN PROVISIONS.

52.253-1 COMPUTER-GENERATED FORMS.

52.252-2 CLAUSES INCORPORATED BY REFERENCE.

52.252-6 AUTHORIZED DEVIATIONS IN CLAUSES.

NASA Provisions and Clauses

1852.216-78 FIRM FIXED PRICE.

1852.203-71 REQUIREMENT TO INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS

1852.204-76 SECURITY REQUIREMENTS FOR UNCLASSIFIED INFORMATION TECHNOLOGY RESOURCES. 

(DEVIATION 21-01)

1852.215-84 OMBUDSMAN.

1852.219-80 LIMITATION ON SUBCONTRACTING – SBIR PHASE I PROGRAM. (OCT 2006)

1852.219-83 LIMITATION OF THE PRINCIPAL INVESTIGATOR – SBIR PROGRAM. (OCT 2006)

1852.225-70 EXPORT LICENSES

1852.225-71 RESTRICTION ON FUNDING ACTIVITY WITH CHINA 

1852.225-72 RESTRICTION ON FUNDING ACTIVITY WITH CHINA – REPRESENTATION. (DEVIATION 12-01A)

1852.215-81 PROPOSAL PAGE LIMITATIONS.

1852.227-72 DESIGNATION OF NEW TECHNOLOGY REPRESENTATIVE AND PATENT REPRESENTATIVE.

1852.232-80 SUBMISSION OF VOUCHERS FOR PAYMENT.

1852.233-70 PROTESTS TO NASA.

1852.235-70 CENTER FOR AEROSPACE INFORMATION.

1852.239-74 INFORMATION TECHNOLOGY SYSTEM SUPPLY CHAIN RISK ASSESSMENT. (DEVIATION 15-03D)
Fiscal Year 2022 STTR Phase II Solicitation

1852.235-73 FINAL SCIENTIFIC AND TECHNICAL REPORTS.

1852.235-74 ADDITIONAL REPORTS OF WORK - RESEARCH AND DEVELOPMENT.

1852.237-73 RELEASE OF SENSITIVE INFORMATION.

PCD 21-02 FEDERAL ACQUISITION REGULATION (FAR) CLASS DEVIATION – PROTECTION OF DATA UNDER THE 

SMALL BUSINESS INNOVATIVE RESEARCH/SMALL TECHNOLOGY TRANSFER RESEARCH (SBIR/STTR) PROGRAM

PCD 21-04A CLASS DEVIATION FROM THE FEDERAL ACQUISITION REGULATION (FAR) AND NASA FAR 

SUPPLEMENT (NFS) REGARDING REQUIREMENTS FOR NONAVAILABILITY DETERMINATIONS UNDER THE BUY 

AMERICAN STATUTE

Additional Regulations

SOFTWARE DEVELOPMENT STANDARDS

HUMAN AND/OR ANIMAL SUBJECT

HOMELAND SECURITY PRESIDENTIAL DIRECTIVE 12 (HSPD-12)

RIGHTS IN DATA DEVELOPED UNDER SBIR FUNDING AGREEMENT

INVENTION REPORTING, ELECTION OF TITLE, PATENT APPLICATION FILING, AND PATENTS

SBA Certifications required for Phase II

(1) CERTIFICATIONS.

(2) PERFORMANCE OF WORK REQUIREMENTS.

(3) EMPLOYMENT OF THE PRINCIPAL INVESTIGATOR/PROJECT MANAGER.

(4) LOCATION OF THE WORK.

(5) NOVATED/SUCCESSOR IN INTERESTED/REVISED FUNDING AGREEMENTS.

(6) MAJORITY-OWNED BY MULTIPLE VCOCS, HEDGE FUNDS, OR PRIVATE EQUITY FIRMS [SBIR ONLY].

(7) AGENCY BENCHMARKS FOR PROGRESS TOWARDS COMMERCIALIZATION.

(8) LIFE CYCLE CERTIFICATIONS