Program Year 2023 SBIR Phase II Solicitation

National Aeronautics and Space 

Administration

Small Business

Innovation Research (SBIR)

Phase II

Program Year 2023 Solicitation

Completed Proposal Package Due Date and Time: 

February 2, 2024 - 5:00 p.m. ET
Program Year 2023 SBIR Phase II Solicitation

Contents

Executive Summary......................................................................................................................... 1

1. Program Description ................................................................................................................... 2

1.1 Legislative Authority and Background.................................................................................................................2

1.1.1 Due Diligence Program to Assess Security Risks..........................................................................................2

1.2 Purpose and Priorities.........................................................................................................................................2

1.3 Three-Phase Program..........................................................................................................................................3

1.4 Availability of Funds............................................................................................................................................4

1.5 Eligibility Requirements.......................................................................................................................................4

1.5.1 Small Business Concern (SBC)......................................................................................................................4

1.5.2 SBC Size ........................................................................................................................................................4

1.5.3 SBIR Restrictions on Level of Small Business Participation..........................................................................4

1.5.4 Place of Performance and American-made Products and Equipment.........................................................4

1.5.5 Principal Investigator (PI) Employment Requirement..................................................................................5

1.5.6 Restrictions on Venture-Capital-Owned Businesses....................................................................................5

1.5.7 Joint Ventures or Limited Partnerships........................................................................................................5

1.6 NASA Technology Available (TAV) for SBIR Use ..................................................................................................5

1.6.1 Use of NASA Software..................................................................................................................................6

1.6.2 Use of NASA Patent......................................................................................................................................6

1.7 Technical and Business Assistance (TABA)..........................................................................................................6

1.8 Phase II Intern Diversity Supplement (IDS) Program...........................................................................................7

1.9 Small Business Administration (SBA) Applicant Resources.................................................................................8

1.10 NASA Mentor-Protégé Program (MPP).............................................................................................................8

1.11 Fraud, Waste and Abuse and False Statements................................................................................................9

1.12 NASA Procurement Ombudsman Program.......................................................................................................9

1.13 General Information........................................................................................................................................10

1.13.1 Questions About This Solicitation and Means of Contacting NASA SBIR Program..................................10

1.14 Definitions.......................................................................................................................................................10

2. Registrations, Certifications and Other Completed Proposal Package Information.............. 11

2.1 Small Business Administration (SBA) Company Registry...................................................................................11

2.2 System for Award Management (SAM) Registration ........................................................................................11

2.3 Certifications.....................................................................................................................................................11

2.3.1 Disclosures of Foreign Affiliation or Relationships to Foreign Countries...................................................12

2.4 Federal Acquisition Regulation (FAR) and NASA Certifications and Clauses.....................................................13
Program Year 2023 SBIR Phase II Solicitation

2.5 Software Development Standards....................................................................................................................13

2.6 Human and/or Animal Subject..........................................................................................................................13

2.7 Flight Safety Standards......................................................................................................................................13

2.8 Homeland Security Presidential Directive 12 (HSPD-12)...................................................................................13

3. Phase II Proposal Preparation Instructions and Requirements .............................................. 14

3.1 Phase II Proposal ...............................................................................................................................................14

3.2 Proprietary Information in the Proposal Submission........................................................................................14

3.3 Release of Certain Proposal Information ..........................................................................................................14

3.4 Requirements to Submit a Phase II Complete Proposal Package......................................................................14

3.4.1 General Requirements...............................................................................................................................14

3.4.2 Format Requirements................................................................................................................................15

3.4.3 Forms.........................................................................................................................................................16

3.4.4 Technical Proposal .....................................................................................................................................18

3.4.5 Briefing Chart.............................................................................................................................................22

3.4.6 Capital Commitments Addendum..............................................................................................................22

3.4.7 Firm Certifications......................................................................................................................................23

3.4.8 Disclosures of Foreign Affiliation or Relationships to Foreign Countries...................................................23

3.4.9 Audit Information ......................................................................................................................................23

3.4.10 Prior Awards Addendum..........................................................................................................................23

3.4.11 Commercial Metrics Survey (CMS)...........................................................................................................24

3.4.12 Contractor Responsibility Information.....................................................................................................24

3.4.13 Phase II Request for Use of Technical and Business Assistance (TABA) Funds........................................24

3.4.14 Phase II Request for the Intern Diversity Supplement (IDS) Program......................................................25

4. Phase II Selection Process and Evaluation Criteria................................................................. 27

4.1 Selection Process...............................................................................................................................................27

4.2 Phase II Evaluation Critera ................................................................................................................................28

4.3 Selection............................................................................................................................................................29

4.4 Technical and Business Assistance (TABA)........................................................................................................30

4.5 Intern Diversity Supplement (IDS) Program......................................................................................................30

4.6 Notification and Feedback to Unsuccessful Offerors........................................................................................31

4.6.1 Phase II Feedback.......................................................................................................................................31

5. Considerations .......................................................................................................................... 31

5.1 Requirement for Contracting ............................................................................................................................31

5.2 Awards...............................................................................................................................................................33
Program Year 2023 SBIR Phase II Solicitation

5.2.1 Anticipated number of Awards..................................................................................................................33

5.2.2 Award Conditions.......................................................................................................................................33

5.2.3 Type of Contract.........................................................................................................................................33

5.2.4 Model Contracts.........................................................................................................................................33

5.3 Reporting and Required Deliverables................................................................................................................33

5.4 Payment Schedule.............................................................................................................................................34

5.5 Profit or Fee.......................................................................................................................................................35

5.6 Cost Sharing.......................................................................................................................................................35

5.7 Rights in Data Developed Under SBIR Funding Agreements.............................................................................35

5.8 Copyrights.........................................................................................................................................................35

5.9 Invention Reporting, Election of Title, Patent Application Filing, and Patents.................................................35

5.10 Export Control .................................................................................................................................................35

5.11 Government-Furnished and Contractor-Acquired Property ...........................................................................36

5.12 Essentially Equivalent Awards and Prior Work................................................................................................36

5.13 Precedence of Contract Over this Solicitation ................................................................................................36

5.14 Use of Government Resources........................................................................................................................36

5.15 Agency Recovery Authority and Ongoing Reporting.......................................................................................37

6. Submission of Proposals......................................................................................................... 38

6.1 How to Apply for SBIR Phase II..........................................................................................................................38

6.1.1 Electronic Submission Requirements via the EHB .....................................................................................38

6.1.2 Deadline for Phase II Proposal Receipt......................................................................................................38

6.1.3 Complete Proposal Package Submission....................................................................................................39

6.1.4 Acknowledgment of a Complete Proposal Package Receipt......................................................................40

6.1.5 Withdrawal of Completed Proposal Packages...........................................................................................40

6.1.6 Service of Protests.....................................................................................................................................40

7. Proposal, Scientific and Technical Information Sources......................................................... 41

7.1 NASA Organizational and Programmatic Information ......................................................................................41

7.2 United States Small Business Administration (SBA)..........................................................................................41

7.3 National Technical Information Service ............................................................................................................42

8. Submission Forms .................................................................................................................... 43

8.1 SBIR Phase II Checklist.......................................................................................................................................43

9. Research Subtopics for SBIR ................................................................................................... 45

Appendices.................................................................................................................................... 46

Appendix A: Technology Readiness Level (TRL) Descriptions.................................................................................46
Program Year 2023 SBIR Phase II Solicitation

Appendix B: SBIR and the Technology Taxonomy...................................................................................................49

Appendix C: List of NASA SBIR Phase II Clauses, Regulations and Certifications ....................................................54
Fiscal Year 2023 SBIR Phase II Solicitation

1 

Executive Summary

This notice identifies the objectives for the Small Business Innovation Research (SBIR) Program Phase II projects, 

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

proposal package.

The NASA SBIR program focuses on transforming scientific discovery into products and services through 

innovations that have the potential for infusion into NASA programs and missions, the potential for 

commercialization into commercial markets, and a societal benefit. Unlike fundamental research, the NASA SBIR 

program supports small businesses in the creation of innovative, disruptive technologies and enables the 

application of research advancements from conception into the market.

Different from most other investors, the NASA SBIR 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 small businesses to submit a complete proposal package for the SBIR Program Phase II as follow-on 

work that originally started and will be completed under the fiscal year (FY) 2023 SBIR Phase I solicitation. Only 

small businesses that had an FY2023 NASA SBIR Phase I award are allowed to submit a proposal for Phase II

under this solicitation. 

The 2023 Phase II solicitation period for submission of proposal packages begins on December 18, 2023, and 

ends at 5 p.m. Eastern Time on February 2, 2024. 

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 is only an extension 

for Phase I deliverables and 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) which can be found at

https://sbir.gsfc.nasa.gov/submissions/login. All offerors must use the EHB for submitting their 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/senate-bill/4900/text) 

reauthorizes through FY2025 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. 
Fiscal Year 2023 SBIR Phase II Solicitation

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1. Program Description

1.1 Legislative Authority and Background

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

extend the SBIR/STTR programs until September 30, 2025. 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 SBIR 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 SBIR 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; 

and fostering and encouraging participation by socially and economically disadvantaged and women-owned small 

businesses.

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-business-innovationresearchprogram-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 the 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

(9)(g)(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 is completed. Phase II will 

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

effort. NASA recognizes that Phase II awards may not be sufficient in either dollars or time for the firm to complete 

the total R/R&D and the commercialization activities required to bring the project results to the marketplace. 
Fiscal Year 2023 SBIR Phase II Solicitation

3 

Therefore, completion of the research under these circumstances may have to be carried into Post Phase II 

opportunities or Phase III.

This solicitation includes instructions for small business concerns (SBCs) to submit a complete Phase II proposal

package to the NASA SBIR program. Furthermore, program background information, eligibility requirements for 

participants, and information on the three program phases are contained herein. The 2023 Phase II solicitation 

period for submission of complete proposal packages begins on December 18, 2023, and ends at 5 

p.m. Eastern Time on February 2, 2024.

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

NASA SBIR program. The NASA SBIR/STTR Program Management Office (PMO), hosted at the NASA Ames Research 

Center, operates the program in conjunction with NASA mission directorates and centers. Additionally, the NASA 

Shared Services Center (NSSC) provides the overall procurement management for the programs. 

 

For this Phase II solicitation, NASA research and technology areas that were solicited at Phase I serve as the basis 

for the Phase II proposal. Under this solicitation, there will not be a listing of research topics/subtopics. Offerors 

are expected to provide proposals that are follow-on work from their 2023 Phase I award and should reference 

Chapter 9 of the Fiscal Year 2023 SBIR Phase I Solicitation for original subtopic information at

https://sbir.nasa.gov/solicit-detail/97360. 

1.3 Three-Phase Program

The NASA SBIR program is carried out in three separate phases. Only Phase II and future opportunities are

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 transition 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 firms with FY2023 Phase I awards are eligible to submit a Phase II proposal at the conclusion of that 

Phase I contract. 

 

Phase II Contracts SBIR

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 transition into NASA

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. 
Fiscal Year 2023 SBIR Phase II Solicitation

4 

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 SBIR 

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. 

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 2024. Since this solicitation may be released prior to 

the passage of an appropriations act for FY 2024, enactment of continuing resolutions or an appropriations act 

may affect the availability or level of funding for this program and may delay the start date of Phase II contracts or 

impact the maximum contract value levels. 

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 SBIR program at the time of proposal package submission, award, and at any other time set forth in SBA’s 

regulations at 13 CFR §§ 121.701-121.705. 

1.5.2 SBC Size 

A Phase II offeror, combined with its affiliates, must not have more than 500 employees. 

1.5.3 SBIR Restrictions on Level of Small Business Participation

The SBC must be the primary performer of the proposed Phase II research effort. To be awarded an SBIR Phase II 

contract, a minimum of 50% of the research or analytical effort must be carried out by the offeror during Phase II; 

correspondingly, a maximum of 50% of the effort may be performed by an outside party such as consultants or 

subcontractors. Involvement of university, government, or other outside personnel in the planning and research 

stages of the project as consultants or through subcontracting arrangements is permitted and may be particularly 

helpful to small businesses.

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 

contract, purchase only American-made items whenever possible. On rare occasions or for a 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. 

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.
Fiscal Year 2023 SBIR Phase II Solicitation

5 

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 SBIR

Primary Employment PI shall be primarily employed with the SBC.

Employment 

Certification

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

of the PI will be with the SBC at the time of award and during the execution of 

the project and they will spend more than one-half of their time as an employee 

of the awardee or that they have requested and received a written deviation 

from this requirement from the Contracting Officer.

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 Contracting 

Officer.

Misrepresentation of 

Qualifications

This shall result in the proposal package being declined or the contract

terminated.

Substitution of PIs Requires prior approval from NASA during negotiations or 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 requirement. 

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.

1.5.6 Restrictions on Venture-Capital-Owned Businesses

At the current time, small businesses owned in 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 SBIR 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 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 

with the proposal package. 

1.6 NASA Technology Available (TAV) for SBIR 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. 
Fiscal Year 2023 SBIR Phase II Solicitation

6 

1.6.1 Use of NASA Software

If an offeror intends to use NASA software, a Software Usage Agreement (SUA), on a nonexclusive, royalty-free 

basis, is necessary, and the clause at 48 C.F.R. 1852.227-88, Government-Furnished Computer Software and 

Related Technical Data, will apply to the contract. The SUA shall be requested from the appropriate NASA Center 

Software Release Authority (SRA), after the contract award. 

1.6.2 Use of NASA Patent

All offerors submitting a proposal package that includes the use of a NASA patent must apply for a nonexclusive, 

royalty-free evaluation license. After firms have identified a patent to license in the NASA patent portfolio 

(http://technology.nasa.gov), a link on the patent webpage (“Apply Now to License this Technology”) will direct

them to NASA’s Automated Licensing System (ATLAS) to finalize their license with the appropriate field center

technology transfer office. The completed evaluation license application must be provided with the proposal 

following the directions in section 3.4. Such grant of nonexclusive evaluation license will be set forth in the 

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

contract. License applications will be treated in accordance with Federal patent licensing regulations as provided in 

37 CFR Part 404.

In addition to an evaluation license, if the proposed work includes the making, using, or selling of products or 

services incorporating a NASA patent, successful awardees will be given the opportunity to negotiate a 

nonexclusive commercialization license or, if available, an exclusive commercialization license to the NASA patent. 

Commercialization licenses are also provided in accordance with 37 CFR Part 404. 

An SBIR awardee who has been granted a nonexclusive, royalty-free evaluation license to use a NASA patent under 

the SBIR award may, if available and on a noninterference basis, also have access to NASA personnel 

knowledgeable about the NASA patent. Licensing Executives located at the appropriate NASA field center will be 

available to assist awardees requesting information about a patent that was identified in the SBIR contract and, if 

available and on a noninterference basis, provide access to the inventor or surrogate for the purpose of knowledge 

transfer. Access to the inventor for the purpose of knowledge transfer will require the requestor to enter into a 

Non-Disclosure Agreement (NDA) or other agreement, such as a Space Act Agreement. The awardee may be 

required to reimburse NASA for knowledge transfer activities. 

1.7 Technical and Business Assistance (TABA)

In accordance with the Small Business Act 15 U.S.C. 631, Section 9 (q) Discretionary Technical and Business 

Assistance (TABA), NASA may authorize the recipient of a NASA Phase II SBIR award to purchase (up to $50,000)

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 commercial products and processes resulting from such projects, including intellectual 

property protections. 
Fiscal Year 2023 SBIR Phase II Solicitation

7 

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 technology. 

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

Offerors that are successful in receiving a Phase II award are eligible to apply for an intern diversity supplement to 

be effective only in the summer months of the second year of their Phase II project period. Instructions for 

requesting a diversity supplement will be provided directly to Phase II awardees prior to the application period. 

PURPOSE

The purpose of a Phase II intern diversity supplement is to improve the diversity of the research workforce by 

recruiting and supporting undergraduate and graduate students from groups that have been shown to be 

underrepresented in the U.S. science and engineering workforce.

Fostering diversity by encouraging the participation of individuals from nationally underrepresented groups in the 

scientific and engineering research workforce is a longstanding interest of Congress, and a key component of the 

NASA SBIR/STTR outreach strategy to identify, develop, support, and maintain the quality of its scientific and 

engineering workforce. Similarly, fostering and encouraging participation from women, socially and economically 

disadvantaged individuals, and other individuals in nationally underrepresented groups in the science and 

engineering workforce are equally critical to the success of the SBIR and STTR programs. Scientists, engineers, and 

entrepreneurs from underrepresented backgrounds and life experiences bring different perspectives, creativity, 

and individual enterprise to address complex scientific problems.

This diversity supplement is designed to provide support for research and entrepreneurial experiences for 

candidates whose participation will improve the SBIR/STTR program by promoting diversity in the small business 

community throughout the continuum from undergraduate to graduate level. Continuation of this program in the 

future will depend on evaluation of the career outcomes of the supported individuals as well as continuing 

assessments of the diversity of the small business programs by the U.S. Small Business Administration and the 

National Academies.

In all cases, the proposed research experience must be an integral part of the approved ongoing research of the 

eligible NASA Phase II award and must have the potential to contribute to the research and entrepreneurial career 

development of the candidates.

CANDIDATES

SBCs are encouraged to identify women, individuals from nationally underrepresented groups, individuals with a 

commitment to diversifying the science and engineering workforce, and/or individuals meeting the SBA definition 

of socially and economically disadvantaged.

 
Fiscal Year 2023 SBIR Phase II Solicitation

8 

Members of socially disadvantaged groups as defined by Executive Order on Advancing Racial Equity and Support 

for Underserved Communities Through the Federal Government dated January 20, 2021, are: 

• Black, Latino, Indigenous, and Native American persons, Asian Americans and Pacific Islanders and other 

persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) 

persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely 

affected by persistent poverty or inequality Black Americans. 

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

• a net worth less than $750,000 (not including his or her primary residence and the value of the 

individual’s ownership interest in a socially and economically disadvantaged SBC, if any),

• an average adjusted gross income of $350,000 or less for the preceding three years, and

• the fair market value of all his or her assets (including his or her primary residence and the value of the 

individual’s ownership interest in a socially and economically disadvantaged SBC, if any) does not exceed 

$6 million.

For purposes of the diversity supplement, the definitions above apply to the individual candidates, not the SBC 

Phase II offeror applying for the supplement.

As part of this supplement program, Undergraduate, Baccalaureate, and Master's Degree and Graduate students 

who have a demonstrated interest in or desire to pursue science, technology, engineering, or math (STEM) training 

and entrepreneurship, may participate in a Phase II research project during the summer months. This experience is 

separate from any requirement of the regular academic program. 

The duration of the program is normally 10 weeks but could be extended with a no-cost extension request and 

approval from the Contracting Officer. This supplement program is limited to citizens or non-citizen nationals of 

the United States or individuals who have been lawfully admitted for permanent residence in the United States.

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, United States Code (U.S.C.) 2473(c)(1) and managed by the Office of Small Business 

Programs (OSBP), includes an Award Fee Pilot Program. Under the Award Fee Pilot Program, a mentor is eligible to 

receive an award fee at the end of the agreement period based upon the mentor’s performance of providing 

developmental assistance to an active SBIR Phase II contractor in a NASA Mentor-Protégé agreement (MPA). For 

more information on the Mentor-Protégé Program, please visit https://www.nasa.gov/osbp/mentor-protegeprogram. 
Fiscal Year 2023 SBIR Phase II Solicitation

9 

1.11 Fraud, Waste and 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.” The Federal Government reserves 

the right to decline any proposal packages that include plagiarism and false claims.

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 proposal 

packages submitted to NASA.

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

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

employee, contractor, grantee, 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 SBIR procurement. The clause at NASA Federal 

Acquisition Regulation (FAR) Supplement (NFS) 1852.215-84 (“Ombudsman”) is incorporated into this solicitation. 

The cognizant ombudsman is: 

Marvin Horne, Procurement Ombudsman Office of Procurement

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 in

the evaluation of proposal packages, the source selection process, or the adjudication of formal contract disputes. 

Therefore, before consulting with the ombudsman, offerors must first address their concerns, issues, 

disagreements, and/or recommendations to the Contracting Officer for resolution. Offerors are further advised 
Fiscal Year 2023 SBIR Phase II Solicitation

10

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

1.13.1 Questions About This Solicitation and Means of Contacting NASA SBIR 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 proposal 

package instructions and administrative matters is February 2, 2023, at 12:00 p.m. ET. 

Offerors that have questions requesting clarification of 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 e-mail

at: agency-sbir@mail.nasa.gov.

a. 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. 
Fiscal Year 2023 SBIR Phase II Solicitation

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2. Registrations, Certifications and Other Completed Proposal Package 

Information 

2.1 Small Business Administration (SBA) Company Registry

All SBCs that are applying to any SBIR solicitation are required to register with the SBIR Company Registry which is 

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

Registry. Information related to the steps necessary to register with the SBIR Company Registry can be found at 

https://www.sbir.gov/registration. 

After an SBC registers with SBA and/or updates their 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 SBA upon completion of the Company Registry registration) and must upload the PDF copy 

of the SBC registration in the Firm Certifications form in the EHB and will be provided instructions on how to 

complete it at time of submission. Firm Certifications are applicable across all proposal packages submitted by an

SBC for the specific solicitation and only need to be completed once per solicitation. 

2.2 System for Award Management (SAM) Registration

Offerors are required to register with SAM prior to submitting a proposal package. To be eligible for SBIR awards, 

firms must be registered under the applicable North American Industry Classification System (NAICS) codes for the 

SBIR Phase II awards (codes 541713 or 541715). It is recommended to list the Purpose of Registration as “All 

Awards” on your SAM Registration. 

Offerors without an active SAM registration by the due date for a proposal package will be ineligible for award. 

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

package will be ineligible for 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. 

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. 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.

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 SBIR 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 contract. The definitions for the terms used in these certifications 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 SBIR Phase II contractors shall complete the life cycle certifications at the midpoint and at the end of the
Fiscal Year 2023 SBIR Phase II Solicitation

12

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, who 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 

the 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;

(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.
Fiscal Year 2023 SBIR Phase II Solicitation

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

SAM contains required certifications that 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.

2.7 Flight Safety Standards 

If you are proposing projects involving the delivery of a spacecraft, you must comply with NASA Procedural 

Requirements (NPR) 8079.1, NASA Spacecraft Conjunction Analysis and Collision Avoidance for Space Environment 

Protection, available online at https://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPR&c=8079&s=1. 

2.8 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 Government-wide 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.
Fiscal Year 2023 SBIR Phase II Solicitation

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3. Phase II Proposal Preparation Instructions and Requirements

3.1 Phase II Proposal

The Phase II proposal is to continue the R/R&D developed under Phase I with a goal to commercialize and bring the 

innovation to Federal and commercial markets as the Phase II project is completed. Phase II will require a more 

comprehensive proposal, outlining the proposed effort in detail and the commercialization strategy for the effort. 

NASA recognizes that Phase II awards may not be sufficient in either dollars or time for the firm to complete the 

total R/R&D and the commercialization activities required to bring the project results to the marketplace. 

Therefore, completion of the research under these circumstances may have to be carried into NASA Post-Phase II 

or Phase III opportunities.

3.2 Proprietary Information in the Proposal Submission

Information contained in unsuccessful proposals will remain the property of the applicant. The Federal 

Government may, however, retain copies of all proposals. Public release of information in any proposal submitted 

will be subject to existing statutory and regulatory requirements. If proprietary information is provided by an

applicant in a proposal that constitutes a trade secret, commercial, or financial information, it will be treated in 

confidence, to the extent permitted by law, provided that the proposal is clearly marked by the applicant as 

follows:

(A) The following “italicized” legend must appear on the title page of the proposal:

This proposal contains information that shall not be disclosed outside the Federal Government and shall 

not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this 

proposal unless authorized by law. The Government shall have the right to duplicate, use, or disclose the 

data to the extent provided in the resulting contract if the award is made as a result of the submission of 

this proposal. The information subject to these restrictions is contained on all pages of the proposal except 

for pages [insert page numbers or other identification of pages that contain no restricted information].

(End of Legend); and

(B) The following legend must appear on each page of the proposal that contains information the applicant 

wishes to protect: 

Use or disclosure of information contained on this sheet is subject to the restriction on the title page of this 

proposal.

3.3 Release of Certain Proposal Information 

In submitting a proposal, the offeror agrees to permit the Government to disclose publicly the information 

contained in the Contact Information form, Proposal Summary form which includes the technical abstract, and 

Briefing Chart. Other proposal data is considered to be the property of the offeror, and NASA will protect it from 

public disclosure to the extent permitted by law, including requests submitted under the Freedom of Information 

Act (FOIA). 

3.4 Requirements to Submit a Phase II Complete Proposal Package

3.4.1 General Requirements

Phase II proposals are more comprehensive than those required for Phase I. Submission of a Phase II proposal is in 

accordance with Phase I contract requirements and is voluntary. NASA assumes no responsibility for any proposal 

preparation expenses. 
Fiscal Year 2023 SBIR Phase II Solicitation

15

Offerors may only submit one Phase II proposal per Phase I award and offerors are only allowed to submit a Phase 

II proposal at the end of the FY2023 Phase I contract period of performance for this solicitation. NASA will not 

accept Phase II proposals from prior Phase I awardees that did not submit a proposal at the end of the Phase I 

contract period of performance. 

The proposal will provide the planning for a focused project that builds upon Phase I results and encompasses 

technical, market, financial, and business factors relating to the development and demonstration of the proposed 

innovation and its transition into products and services for NASA mission programs, other Government agencies

(Federal and State), and non-Government markets. 

3.4.2 Format Requirements 

Note: NASA administratively screens all proposals and reserves the right to decline any proposal that does not 

conform to the following formatting requirements. 

Page Limitations 

A Phase II technical proposal must not exceed a total of 46 standard letter size (8.5 by 11 inch or 21.6 by 27.9 cm) 

pages. Proposals uploaded with more than 46 pages will prompt a warning that will prevent the completed 

proposal from being submitted. Each page must be numbered consecutively at the bottom. Technical proposal 

uploads with any page(s) going over the required page limit will not be accepted. The additional forms required 

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

Margins 

Margins must be 1.0 inch (2.5 cm). 

Suggested Page Limits for Technical Proposal Parts

Section 3.4.4 gives suggested page limits for each part of the technical proposal. These are guidelines and are not 

strict requirements, except for the minimum page requirement stated for Part 7: Commercialization and 

Business Plan. Offerors are still required to meet the total page-limit proposal requirements as described above.

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 technical papers referenced for “further reading,” will not be considered 

for evaluation. 

Project Title
Fiscal Year 2023 SBIR Phase II Solicitation

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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:

1. Proposal Contact Information (Section 3.4.3.1) 

2. Proposal Certifications (Section 3.4.3.2) 

3. Proposal Summary – must not contain any proprietary data (Section 3.4.3.3) 

4. Proposal Budget (Section 3.4.3.4) 

a. 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 – To include all 10 Parts in the order specified in section 3.4.4, not to exceed 46 pages, 

including all graphics, and starting with a table of contents. 

6. Briefing Chart - must not contain proprietary data (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 3.4.13) 

10. Firm-Level Forms (completed once per offeror 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) 

Previews of forms and certifications are available via the NASA SBIR/STTR Resources website, located at 

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

Note: Letters expressing general technical interest are not required or desired and will not be considered during 

the review process. However, if submitted, such letter(s) will count against the page limit. Letters of funding 

support commitments are allowable for Phase II proposals but will only be considered under Factor 4: 

Commercial Potential and Feasibility. Letters of funding support commitments should be submitted as part of 

the Capital Commitments Addendum as described under Part 7: Commercialization and Business Plan. 

Note: The EHB will not allow the upload of relevant technical papers, product samples, videotapes, slides, or 

other ancillary items, and they will not be considered during the review process. 

3.4.3 Forms 

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

be found on the NASA SBIR/STTR Resources website: http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. 

3.4.3.1 Contact Information 

The offeror must provide complete information for each designated contact person and submit the form as 

required in section 6. Contact Information is public information and may be disclosed. 
Fiscal Year 2023 SBIR Phase II Solicitation

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3.4.3.2 Proposal Certifications 

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

3.4.3.3 Proposal Summary 

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

Proposal Summary, including the Technical Abstract, is public information and may be disclosed. Do not include 

proprietary information in this form. 

3.4.3.4 Proposal Budget 

The offeror must complete the Budget form following the contextual help provided on the electronic budget form 

in the EHB. The total requested funding for the Phase II technical effort shall not exceed $850,000. If requesting 

TABA, offerors are allowed to request up to $50,000 over the $850,000 for the technical effort. Information shall 

be submitted to explain the offeror’s plans for the use of the requested funds to enable NASA to determine 

whether the proposed price is fair and reasonable. 

In addition, the following documents and information as directed by the EHB must be submitted with the Proposal 

Budget form, as applicable:

Proposal Requirements for Use of Government Resources

In cases where an offeror seeks to use NASA or another Federal department or agency laboratory services, 

equipment, or facilities (collectively, “resources”), the offeror shall provide the following:

1. 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 

SBIR research project requires the use of Government resources, including data that verifies the absence 

of non-Federal facilities or personnel capable of supporting the research effort, and the associated cost 

estimate. Offerors must upload this letter in the Proposal Budget form.

See Part 8 of the Technical Proposal instructions for additional information on the use of Government Resources.

Use of Subcontractors and Consultants

Subject to the restrictions set forth below, the offeror may establish business arrangements with other entities or 

individuals to participate in the performance of the proposed R/R&D effort. Subcontractors' and consultants' work 

have the same place-of-performance restrictions as stated in section 1.5.4.

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

preparing budgets with subcontractors/consultants. For Phase II SBIR, the proposed subcontracted business 
Fiscal Year 2023 SBIR Phase II Solicitation

18

arrangements, including consultants, must not exceed 50 percent of the research and/or analytical work [as 

determined by the total cost of the proposed subcontracting effort (to include the appropriate overhead (OH) and 

general and administrative expense (G&A) in comparison to the total effort (total contract price including cost 

sharing, if any, less profit, if any)]. Occasionally, deviations from these SBIR requirements may occur and must be 

approved in writing by the Contracting Officer after consultation with the agency SBIR/STTR Program Manager. 

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 SBIR Phase II, this is acceptable because it is below the subcontracting limitation of 50 percent. 

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

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. 

Note: The Government is not responsible for any monies expended by the firm before the award of any contract. 

Successful offerors are responsible for reimbursing NASA for resources utilized in the performance of the effort, 

and the cost of such resources will be included in their contract values (not to exceed capped amounts).

3.4.4 Technical Proposal 

This part of the submission shall not contain any budget data and must include all 10 parts listed below in the given 

order. All 10 parts of the technical proposal should be numbered and titled. Parts that are not applicable should

be included by title and marked “Not applicable.” The table of contents is provided below:

Phase II Table of Contents

Part 1: Table of Contents.......................................................................................................Page X 

Part 2: Identification and Significance of the Innovation 

 and Results of the Phase I Proposal........................................................................Page X

Part 3: Technical Objectives..................................................................................................Page X

Part 4: Work Plan....................................................................................................................Page X

Part 5: Related R/R&D ............................................................................................................Page X

Part 6: Key Personnel and Bibliography of Directly Related Work..................................Page X
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Part 7: Commercialization and Business Plan.....................................................................Page X

Part 8: Facilities/Equipment..................................................................................................Page X

Part 9: Subcontractors and Consultants..............................................................................Page X

Part 10: Related, Essentially Equivalent, and Duplicate Proposals and Awards...............Page X

Part 1: Table of Contents (Suggested page limit – 0.5 page) 

The technical proposal should begin with a brief table of contents indicating the page numbers of each of the parts 

of the proposal (see above).

Part 2: Identification and Significance of the Innovation and Results of the Phase I Award (Suggested page limit –

15 pages) 

Provide a summary of your Phase I results and, building on those results, succinctly describe the Phase II proposed 

work, including

• The proposed innovation,

• The relevance and significance of the proposed innovation to an interest, need, or needs within the 

subtopic that aligned with the completed Phase I work, and

• The proposed innovation is relative to the state of the market, the state of the art, and its feasibility.

Please be advised that the evaluators may review the Phase I final technical report to verify the accuracy of this 

summary. However, offerors should not rely on this and should include relevant results in the Phase II proposal. 

Part 3: Technical Objectives (Suggested page limit – 2 pages) 

State the specific objectives of the Phase II effort as it relates to the problem statement(s) posed in the original 

subtopic description for Phase I.

Proposed Deliverables: Indicate the proposed deliverables at the end of the Phase II effort and how they 

match up to the subtopic. 

All offerors who are planning to use NASA Intellectual Property (IP) must describe their planned developments 

with the IP. The NASA Evaluation License Application should be added as an attachment under Proposal 

Certifications (see section 1.6).

Part 4: Work Plan (Suggested page limit – 10 pages) 

Include a detailed description of the Phase II R/R&D plan to meet the technical objectives. The plan should indicate 

what will be done, where it will be done, and how the R/R&D will be carried out. Discuss in detail the methods 

planned to achieve each task or objective. Task descriptions, schedules, resource allocations, estimated task hours 

for each key personnel, and planned accomplishments, including project milestones, shall be included. Offerors 

should ensure that the estimated task hours provided in the work plan for key personnel are consistent with the 

hours reported in the Proposal Budget form. If the offeror is a joint venture or limited partnership, a statement of 

how the workload will be distributed, managed, and charged should be included in the proposal.

Part 5: Related R/R&D (Suggested page limit – 1 page)

Describe significant current and/or previous R/R&D that is directly related to the proposal, including any 

conducted by the PI or by the offeror. Describe how it relates to the proposed effort and any planned coordination 

with outside sources. The offeror must persuade reviewers of his or her awareness of the state-of-the-art and key 

recent R/R&D conducted by others in the specific subject area. 
Fiscal Year 2023 SBIR Phase II Solicitation

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Part 6: Key Personnel and Bibliography of Directly Related Work (Suggested page limit – 5 pages) 

Identify all key personnel involved in Phase II activities whose expertise and functions are essential to the success 

of the project. Provide biographical information, including directly related education and experience. Where 

resume/vitae are extensive, summaries that focus on the most relevant experience or publications are desired and 

may be necessary to meet proposal size limitations. 

The PI is considered key to the success of the effort and must make a substantial commitment to the project. If the 

Phase II PI is different than the PI proposed under Phase I, please provide a rationale for the change.

The following requirements are applicable:

Functions: The functions of the PI are planning and directing the project, leading it technically and making 

substantial personal contributions during its implementation, serving as the primary contact with NASA on the 

project, and ensuring that the work proceeds according to contract agreements. The Phase II proposal shall 

describe the nature of the PI's activities and the amount of time that the PI will personally apply to the project. 

The amount of time the PI proposes to spend on the project must be acceptable to the Contracting Officer.

Competent management of PI functions is essential to project success.

Qualifications: The qualifications and capabilities of the proposed PI and the basis for PI selection are to be 

clearly presented in the proposal. NASA has the sole right to accept or decline a PI based on factors such as 

education, experience, demonstrated ability and competence, and any other evidence related to the specific 

assignment.

Eligibility: This part shall also establish and confirm the eligibility of the PI and shall indicate the extent to 

which existing projects and other proposals recently submitted or planned for submission in the year commit 

the time of the PI concurrently with this proposed activity. Any attempt to circumvent the restriction on PIs 

working more than half-time for an academic or a nonprofit organization by substituting an ineligible PI will 

result in a decline of the proposal. 

Part 7: Commercialization and Business Plan (Required minimum of 2 pages; suggested page limit - 8 pages) 

NASA requires Phase II offeror to provide commercialization and business planning information in the proposal 

and is enforcing a requirement that firms provide a minimum amount of information as required by page length. 

Firms that do not meet this requirement may be considered nonresponsive to this requirement and the proposal 

may not receive a score under Section 4.4.2: Factor 4: Commercialization and Business Planning, which could 

result in an overall lower score for the proposal. 

The Commercialization Plan should provide the following information to communicate and validate that the firm 

has the knowledge and ability to commercialize the innovation being proposed. 

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 non-NASA 

commercial customers as applicable; (d) projected market size (NASA, other Government and/or nonGovernment); (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.
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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 

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 TABA and provide details in this section of the Commercialization 

Plan. The TABA needs assessment is reviewed separately from the Commercialization Plan.

Note: Letters of funding support commitments should be submitted as part of the Capital Commitments 

Addendum found in section 3.4.5 and will be considered only under Factor 4: Commercial Potential and 

Feasibility (section 4). Any formal letters of commitment or intent submitted in the Capital Commitments 

Addendum will not count toward the page limits of the proposal.

Part 8: Facilities/Equipment (Suggested page limit – 2 pages)

The offeror should describe the facilities/equipment available to complete the proposed work plan. If an offeror 

requests to use Government-furnished laboratory equipment, facilities, or services (collectively, “Government 

resources”) the offeror shall describe in this part why the use of such Government resources is necessary and not 

reasonably available from the private sector. See sections 3.4.3.4 and 5.14 for additional requirements when 

proposing the use of such Government resources. The narrative description of resources should support the 

proposed approach and documentation in the Proposal Budget form.

Part 9: Subcontractors and Consultants (Suggested page limit – 2 pages) 

The offeror must describe all subcontracting or other business arrangements and identify the relevant 

organizations and/or individuals with whom arrangements are planned. The expertise to be provided by the 

entities must be described in detail, as well as the functions, services, number of hours, and labor rates. Offerors 

are responsible for ensuring that all organizations and individuals proposed to be utilized are actually available for 

the time periods proposed. Subcontract costs shall be documented in the Subcontractors/Consultants section of 

the Proposal Budget form and supporting documentation should be uploaded for each (appropriate 

documentation is specified in the form). The narrative description of subcontractors and consultants in the 

technical proposal should support the proposed approach and documentation in the Proposal Budget form.

Part 10: Related, Essentially Equivalent, and Duplicate Proposals and Awards (Suggested page limit – 0.5 page)
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22

WARNING: While it is permissible with proper notification to submit identical proposals or proposals containing a 

significant amount of essentially equivalent work for consideration under numerous Federal program solicitations, 

it is unlawful to enter into funding agreements requiring essentially equivalent work. 

If an offeror elects to submit identical proposals or proposals containing a significant amount of essentially 

equivalent work under other Federal program solicitations, a statement must be included in each such proposal 

indicating the following:

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 award received.

5. Titles of research projects.

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

received.

Offerors are at risk for submitting essentially equivalent proposals and therefore are strongly encouraged to 

disclose these issues to the soliciting agency to resolve the matter prior to award. A summary of essentially 

equivalent work information, as well as related research and development on proposals and awards, is also 

required on the Proposal Certifications form (if applicable). 

3.4.5 Briefing Chart 

A one-page briefing chart is required to assist in the ranking and advocacy of proposals prior to selection and 

contains the following sections:

• Identification and Significance of Innovation

• Technical Objectives

• Proposed Deliverables

• NASA Applications

• Non-NASA Applications

• 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. The briefing chart is public 

information and may be disclosed. Do not include proprietary information in this form. 

3.4.6 Capital Commitments Addendum 

Letters of capital commitment act as an indication of market validation for the proposed innovation and add 

significant credibility to the proposed effort. Although NASA can be a future stakeholder/buyer and could possibly 

issue a Phase III contract for the innovation to be infused in a future mission or program, NASA’s goal under the 

SBIR program is for small businesses to commercialize innovations in markets that are larger than just NASA. 

Letters of capital commitment should demonstrate that the company has initiated dialogue with relevant 

stakeholders in the commercial market(s) for the proposed innovation and that a legitimate business opportunity 

may exist should the innovation prove feasible outside of NASA. The letter(s) must not exceed 2 pages in length;

should come directly from potential customers, end users, strategic partners, investors, etc.; and must contain 

affiliation information and contact information for the signatory stakeholder. Letters and supporting documents 

that only support the development of the innovation with no capital funding commitment as described above will 
Fiscal Year 2023 SBIR Phase II Solicitation

23

not be reviewed. Letters and supporting documents from state, local, and Congressional representatives are NOT 

considered letters of capital commitment. They should not be submitted as part of the application and will not be 

reviewed. 

If letters of capital commitment are not appropriate for this stage of innovation due to business considerations, 

then the offeror must clearly justify why letters of capital commitment are not being included in the proposal. The 

justification should relate to the technical and commercial considerations of the innovation proposed in the 

application.

3.4.7 Firm Certifications

Firm certifications that are applicable across all proposal submissions submitted to this solicitation must be 

completed via the Firm Certifications section of the Proposal Submissions EHB. The offeror shall answer “Yes” or 

“No” as applicable. The designated firm administrator, typically the first person to register your firm, is the only 

individual authorized to update the certifications.

3.4.8 Disclosures of Foreign Affiliation or Relationships to Foreign Countries

Each offeror is required to complete the Disclosures of Foreign Affiliations or Relationships to Foreign Countries 

form. See section 2.5 for additional information on these disclosures. The offeror shall answer “Yes” or “No” as 

applicable and provide the requested information related to each “yes” response. The designated firm 

administrator, typically the first person to register your firm, is the only individual authorized to update the 

disclosures.

Please note that even if you do not have any foreign relationships, you must complete the "Disclosures of Foreign 

Affiliations or Relationships to Foreign Countries form" to represent that such relationships do not exist. Failure to 

complete and include this form will result in the declination of your application during the administrative 

screening.

3.4.9 Audit Information

Although firms are not required to have an approved accounting system, the knowledge that a firm has an 

approved accounting system facilitates NASA’s determination that rates are fair and reasonable. The Contracting 

Officer will use this audit information to assist with negotiations if the proposal is selected for an award. The 

Contracting Officer will advise offerors on what is required to determine reasonable costs and/or rates in the event 

the Audit Information is not adequate to support the necessary determination of rates. The offeror shall complete 

the questions in the Audit Information form regarding the firm’s rates and upload the Federal agency audit report 

or related information that is available from the last audit. There is a separate Audit Information section in the 

Proposal Budget form that shall also be completed. If your firm has never been audited by a federal agency, then 

answer "No" to the first question and you do not need to complete the remainder of the form. The designated 

firm administrator, typically the first person to register your firm, is the only individual authorized to update the 

audit information.

3.4.10 Prior Awards Addendum 

If the offeror has received more than 15 Phase II awards in the prior 5 fiscal years, submit the name of the 

awarding agency, solicitation year, phase, date of award, funding agreement/contract number, and topic or 

subtopic title for each Phase II. If your firm has received any SBIR or STTR Phase II awards, even if it has received 

fewer than 15 in the last 5 years, it is still recommended that you complete this form for those Phase II awards 

your firm did receive. This information will be useful when completing the Commercialization Metrics Survey
Fiscal Year 2023 SBIR Phase II Solicitation

24

(CMS) and in tracking the overall success of the SBIR and STTR programs. Any NASA Phase II awards your firm has 

received will be automatically populated in the electronic form, as are any Phase II awards previously entered by 

the SBC during prior submissions (you may update the information for these awards). The designated firm 

administrator, typically the first person to register your firm, is the only individual authorized to update the 

addendum information.

3.4.11 Commercial Metrics Survey (CMS)

NASA has instituted a comprehensive commercialization survey/data-gathering process for firms with prior NASA 

SBIR/STTR awards. If the SBC has received any Phase III awards resulting from work on any NASA SBIR or STTR 

awards, provide the related Phase I or Phase II contract number, name of Phase III awarding agency, date of 

award, Funding Agreement number, amount, project title, and period of performance. The survey will also ask for 

firm financial, sales, and ownership information, as well as any commercialization success the firm has had as a 

result of SBIR or STTR awards. This information must be updated annually during proposal submission via the EHB. 

This information will allow firms to demonstrate their ability to carry SBIR/STTR research through to achieve 

commercial success and allow agencies to track the overall commercialization success of their SBIR and STTR 

programs. The survey should be limited to the information requested above. 

The CMS is a required part of the proposal submissions process and must be completed via the Proposal 

Submissions EHB. Companies with no SBIR/STTR awards or only recent SBIR/STTR awards will not be penalized 

under past performance for the lack of past SBIR/STTR commercialization. Information received from SBIR/STTR 

awardees completing the survey is kept confidential and will not be made public except in broad aggregate, with 

no firm-specific attribution. 

3.4.12 Contractor Responsibility Information

No later than 10 business days after the notification of selection for negotiations, the offeror shall provide a signed 

statement from the firm’s financial institution(s), on the financial institution’s letterhead, stating whether or not 

the firm is in good standing and how long the firm has been with the institution.

3.4.13 Phase II Request for Use of Technical and Business Assistance (TABA) Funds

Offerors are not required to request TABA at Phase II, and there is no prerequisite that an offeror must request 

and use TABA during Phase I to obtain TABA under a Phase II award. If an offeror chooses to request up to $50,000 

for TABA at Phase II, the offeror will be required to provide a TABA plan and coordinate with the selected vendors 

to obtain the vendor qualification statement(s) and submit these via the Electronic Handbook (EHB). Below is an 

example of the type of information that will be requested under each.

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. 

− All TABA vendors must be legal business in the United States, and NASA will review the U.S. 

Government-wide System for Award Management (SAM) excluded parties list to ensure the 

proposed TABA vendor can receive Federal funds. NASA will consider TABA requests that are 

missing any requested TABA information (e.g., Vendor Qualification Statements, etc.) as 

incomplete and will not review the TABA request or provide TABA approval under the award.

• Description of TABA vendor(s) expertise and knowledge of providing technical and business assistance 

services.

• An itemized list of services and costs.

• Expected metric and outcome for each service to be provided.
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25

• Plan to submit a deliverable summarizing the outcome of the TABA services with expected supporting 

information. 

• TABA costs are reflected in the budget forms.

Vendor Qualification Statement(s)—A qualification statement for each of the selected vendors(s) that provides 

the following: 

• Statement on the selected vendor(s) letterhead and signed by an authorizing entity within the vendors’ 

organization that can attest to the services being provided. 

• Documentation that the vendor is a legal business in the United States.

• A capabilities statement that

− Indicates the qualifications, expertise, and knowledge to provide the TABA services requested by 

the offeror. 

− Indicates the level of expertise and knowledge of the Federal SBIR/STTR program and specifically 

any prior support provided to Phase I or II awardees.

− Describes the overall metrics of success for the services requested by the offeror. 

− Describe the plans to report to the offeror so the offeror can report back to NASA as a 

deliverable on the outcomes and success of the TABA services and what information will be 

provided to validate the results.

NASA reserves the right to withhold funds requested for TABA until a formal review and approval of the requested 

vendor(s) is completed. If the project is selected for award and the offeror demonstrates this requirement 

sufficiently as determined by the Government, NASA will permit the awardee to acquire the requested assistance, 

in an amount up to $50,000 for the Phase II project, as an allowable cost of the SBIR/STTR award. Approval or 

denial of TABA funding will be provided during the contract negotiation period and before the award. The amount 

will be in addition to the Phase II award value, is not subject to any profit or fee by the requesting firm, and

cannot be used in the calculation of indirect cost rates or General and Administrative Expenses (G&A). The 

amount is based on the original period of performance. Requests for TABA funding outside of the Phase II period of 

performance will not be considered.

Schedule of Deliverables and Payments for TABA—Offerors that are approved to receive TABA under a Phase II 

award will be reimbursed for TABA expenses. Firms may request TABA reimbursement at the midpoint of the 

contract when submitting the midterm report and/or at the end of the contract when submitting the final report. 

Awardees requesting reimbursement will be required to submit invoices for services received when submitting the 

contract reports.

Requests for TABA funding are not reviewed under the technical evaluation of the proposal, and the request for 

TABA will not be part of the decision to make a Phase II award. All TABA requests will be reviewed after a proposal 

is selected for award and during the contract negotiation process.

3.4.14 Phase II Request for the Intern Diversity Supplement (IDS) Program

Offerors that are successful in receiving a Phase II award are eligible to apply for a diversity supplement to be 

effective only in the summer months of the second year of their Phase II project period. Instructions for requesting 

a diversity supplement will be provided directly to Phase II awardees prior to the application period. 

ANTICIPATED CONTENT FOR APPLICATION

SALARY, BUDGET, TERMS AND CONDITIONS
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26

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 

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

be performed at any other sites, identify all locations.

• Diversity Justification: 

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.

• 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
Fiscal Year 2023 SBIR Phase II Solicitation

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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 proposal packages 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. Also, 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 proposal. 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 proposal package. Any decision to obtain an outside evaluation shall take into consideration 

requirements for the avoidance of organizational or personal conflicts of interest 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 
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In the conduct of processing proposal packages and potential contract administration, the Agency may find it 

necessary to provide access to the 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, provide 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, their degree of commitment, and 

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

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

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
Fiscal Year 2023 SBIR Phase II Solicitation

29

a. The commercial development plan provides 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 the 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, 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 to the Source Selection Official (SSO). 

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.

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

selection determination, the SSO, at their discretion may also consider the 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 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). 

4.4 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 3.4.12 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 an adequate description of 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 request 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 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. 

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

4.5 Intern Diversity Supplement (IDS) Program

NASA conducts a separate request for applications during the Phase II period of performance and then reviews all 

requests for IDS at that time. 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 
Fiscal Year 2023 SBIR Phase II Solicitation

31

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 in

the 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 contract, the awardee will be required to make certain legal commitments through acceptance of 

numerous clauses in the Phase II contract. 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 contracts 

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. 

(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.
Fiscal Year 2023 SBIR Phase II Solicitation

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(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 SBIR 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 SBIR 

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

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

will ensure that: 

1. All information in your 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 proposal package, notify the 

Contracting Officer immediately.

2. Your firm is registered with the 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 C). 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 an 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 a university letterhead. If the use of Government facilities or 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.
Fiscal Year 2023 SBIR Phase II Solicitation

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From the time of 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 SBIR Phase II 

Proposals Reviewed

Number of SBIR Phase II 

Awards

Percentage of SBIR 

Phase II Awards

2022 265 112 42.2%

2021 288 123 42.7%

2020 322 142 44.0%

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 SBIR award with the following items.

Phase II: 

• 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 SBIR Phase II awards are made as firm-fixed-price contracts.

5.2.4 Model Contracts

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

http://sbir.gsfc.nasa.gov/sbir/firm_library/index.html. 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 
Fiscal Year 2023 SBIR Phase II Solicitation

34

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

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 is requested, Phase II contracts will require TABA deliverables that summarize the outcome of the TABA 

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 and Export Control 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 SBIR 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 is requested, Phase II awardees will be required to submit TABA vendor invoices for reimbursement per 

the payment schedule in section 3.4.13. 
Fiscal Year 2023 SBIR Phase II Solicitation

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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. 

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 SBIR Funding Agreements

The SBIR program provides specific rights for data developed under SBIR 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 from 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 SBIR 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. 

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

https://www.sbir.gov/sites/default/files/SBA%20SBIR_STTR_POLICY_DIRECTIVE_May2023.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/. 
Fiscal Year 2023 SBIR Phase II Solicitation

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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 SBIR 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 recovery of the property.

5.12 Essentially Equivalent Awards and Prior Work

If an award is made pursuant to a proposal or completed proposal package submitted under an SBIR 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 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 SBIR contract, the terms of the contract take precedence over the 

solicitation. 

5.14 Use of Government Resources 

Federal Departments and Agencies 

Use of SBIR 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 SBIR 

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 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 SBIR Support Agreement during the negotiation period with the NSSC. All SBIR Support Agreements 

must be fully reimbursable, and the direction and guidance contained in NPR 9090.1B, Partnership AgreementsFinancial 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 
Fiscal Year 2023 SBIR Phase II Solicitation

37

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 SBIR contracts. 

Generally, any contractor will furnish its own resources to perform the proposed work on the contract. 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.

Contractor-Provided Testing Assistance Services

In some instances, NASA may, at its own expense, test a deliverable item after the item has been delivered and 

accepted. This is separate from instances described above, in which the contractor seeks access to facilities to

conduct its own testing. Rather, in such instances where NASA will conduct the testing on its own, NASA may 

require the contractor to provide services to assist with that testing. An example may include but is not limited to, 

assisting NASA personnel with properly mounting or configuring an item for NASA to conduct a wind-tunnel test. In 

such circumstances, where NASA has indicated that such testing assistance services will be required, the offeror 

must include such services in its proposal, to include price. NOTE TO NASA CUSTOMERS AND OFFERORS: if 

contractor-provided testing assistance services are not included in the Phase II proposal, and awarded under the 

Phase II contract, then such services are prohibited unless acquired or procured under a separate vehicle as may 

be authorized.

5.15 Agency Recovery Authority and Ongoing Reporting

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

1) require a small business concern receiving an award under its SBIR 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 SBIR 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.
Fiscal Year 2023 SBIR Phase II Solicitation

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6. Submission of Proposals 

6.1 How to Apply for SBIR Phase II 

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

and an email address. Paper submissions are not accepted. To apply for a NASA SBIR 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 

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

For successful 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 February 2, 2024, 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 of 

contract deliverables 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 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 
Fiscal Year 2023 SBIR Phase II Solicitation

39

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 (must not contain proprietary data)

7. NASA Evaluation License Application, only if TAV is being proposed

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 Form

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 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.
Fiscal Year 2023 SBIR Phase II Solicitation

40

You may upload a 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 re-endorsement of 

the new 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 Complete Proposal Package Receipt

NASA will acknowledge receipt of the electronically submitted and complete 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 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 agencysbir@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. 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

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 2023 SBIR Phase II Solicitation

41

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. 
Program Year 2023 SBIR Phase II Solicitation

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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: 

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 2023 SBIR Phase II Solicitation

43

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 SBIR Phase II Checklist

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

complete.

1. The proposal and innovation 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 (must not contain proprietary data)

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 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 2023 SBIR Phase II Solicitation

44

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 3.4.13). 

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 2023 SBIR Phase II Solicitation

45

9. Research Subtopics for SBIR

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 SBIR in the 2023 Phase I solicitation.
Fiscal Year 2023 SBIR Phase II Solicitation

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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 2023 SBIR Phase II Solicitation

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validation in a 

relevant 

environment.

demonstrate overall 

performance in a simulated 

operational environment with 

realistic support elements 

that demonstrate 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.
Fiscal Year 2023 SBIR Phase II Solicitation

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Definitions

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 2023 SBIR Phase II Solicitation

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Appendix B: SBIR 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 2020 NASA Technology Taxonomy is an evolution of the technology roadmaps developed in 2015. The 2020 

NASA Technology Taxonomy provides a structure for articulating the technology development disciplines needed 

to enable future space missions and support commercial air travel. The 2020 revision is composed of 17 distinct 

technical-discipline-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 2020 NASA Technology Taxonomy can be found at: 

(https://www.nasa.gov/sites/default/files/atoms/files/2020_nasa_technology_taxonomy_lowres.pdf). 

The research and technology subtopics for the SBIR program are identified annually by mission directorates and 

center programs. The directorates identify high-priority research and technology needs for respective programs 

and projects. 

 

The table on the following pages relates the current SBIR subtopics to the Technology Taxonomy.
Fiscal Year 2023 SBIR Phase II Solicitation

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2020 TX Mapping Level 1 2020 TA Mapping Level 2 SBIR Subtopic 

Number Subtopic Title

TX01 - Propulsion Systems TX01.1 - Chemical Space 

Propulsion

Z8.09 Small Spacecraft Transfer Stage Development

TX01.2 - Electric Space 

Propulsion

Z10.04 Materials, Processes, and Technologies for Advancing In-Space 

Electric Propulsion Thrusters

TX01.3 - Aero Propulsion A1.02 Quiet Performance - Aircraft Propulsion Noise

A1.03 Low Emissions/Clean Power - Environmentally Responsible 

Propulsion

A1.04 Electrified Aircraft Propulsion

A1.06 Vertical Lift Technology for Urban Air Mobility -Electric Motor 

Fault Mitigation Technology

A1.08 Aeronautics Ground Test and Measurement Technologies

TX01.4 - Advanced Propulsion Z10.05 Rotating Detonation Rocket Engines (RDRE)

TX02 - Flight Computing and 

Avionics

TX02.1 - Avionics Component 

Technologies

S16.06 Command, Data Handling, and Electronics

TX02.2 - Avionics Systems and 

Subsystems

Z2.03 Human Interfaces for Space Systems

Z8.10 Modular Systems for Cost-Effective Spacecraft Missions

TX02.X - Other Flight Computing 

and Avionics

Z2.02 High-Performance Space Computing Technology

TX03 - Aerospace Power and 

Energy Storage

TX03.1 - Power Generation and 

Energy Conservation

S16.01 Photovoltaic Power Generation and Conversion

TX03.2 - Energy Storage S13.07 Energy Storage for Extreme Environments

Z1.08 Space-Rated Fuel Cell Technologies

TX03.3 - Power Management 

and Distribution

Z1.05 Lunar and Planetary Surface Power Management and 

Distribution

Z1.06 Radiation-Tolerant High-Voltage, High-Power Electronics

TX04 - Robotics Systems TX04.2 - Mobility S13.03 Extreme Environments Technology

S16.04 Unpiloted Aerial Platforms and Technologies for NASA Science 

Missions

TX04.3 - Manipulation S13.01 Robotic Mobility, Manipulation and Sampling

S13.02 Spacecraft Technology for Sample Return Missions

TX04.6 - Robotics Integration H10.02 Autonomous Operations Technologies for Ground and Launch 

Systems

TX04.X - Other Robotic Systems Z5.04 Intravehicular Robot (IVR) Technologies
Fiscal Year 2023 SBIR Phase II Solicitation

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TX05 - Communications, 

Navigation, and Orbital Debris 

Tracking and Characterization 

Systems

TX05.1 - Optical 

Communications

H9.01 Long-Range Optical Telecommunications

TX05.5 - Revolutionary 

Communications Technologies

H9.07 Cognitive Communication

TX05.X - Other Communications, 

Navigation, and Orbital Debris 

Tracking and Characterization 

Systems

Z8.02 Communications and Navigation for Distributed Small 

Spacecraft Beyond Low Earth Orbit (LEO)

TX06 - Human Health, Life 

Support, and Habitation 

Systems

TX06.1 - Environmental Control 

& Life Support Systems (ECLSS) 

and Habitation Systems

H3.08 Challenges in Carbon Dioxide Removal and Reduction: Carbon 

Particulate and Thermal Management

H3.09 Human Accommodations

Z13.04 Lunar Dust Filtration and Monitoring

TX06.2 - Extravehicular Activity 

Systems

H4.06 Low-Power Multi-Gas Sensor for Spacesuits

H4.07 Low Volume, Power and Mass CO2 and Humidity Control for 

xEMU

Z13.03 Technologies for Spacesuits in Extreme Surface Environments

TX06.3 - Human Health and 

Performance

H12.07 Protective Pharmaceutical Packaging

TX07 - Exploration Destination 

Systems

TX07.1 - In-Situ Resource 

Utilization

Z12.01 Extraction of Oxygen, Metal, and Water from Lunar Regolith

TX07.2 - Mission Infrastructure, 

Sustainability, and 

Supportability

Z13.02 Mechanisms for Extreme Environments

TX07.3 - Mission Operations and 

Safety

S13.04 Contamination Control and Planetary Protection

TX07.X - Other Exploration 

Destination Systems

Z14.01 Lunar Surface Excavation

TX08 - Sensors and Instruments TX08.1 - Remote Sensing 

Instruments/Sensors

S11.01 Lidar Remote-Sensing Technologies

S11.02 Technologies for Active Microwave Remote Sensing

S11.03 Technologies for Passive Microwave Remote Sensing

S11.04 Sensor and Detector Technologies for Visible, Infrared (IR), FarIR, and Submillimeter

S12.06 Detector Technologies for Ultraviolet (UV), X-Ray, and GammaRay Instruments

S14.03 Remote Sensing Instrument Technologies for Heliophysics

S16.07 Cryogenic Systems for Sensors and Detectors

TX08.2 - Observatories S12.01 Exoplanet Detection and Characterization Technologies
Fiscal Year 2023 SBIR Phase II Solicitation

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S12.03 Advanced Optical Systems and Fabrication/Testing/Control 

Technologies for Extended-Ultraviolet/Optical and Infrared 

Telescope

S12.04 X-Ray Mirror Systems Technology, Coating Technology for XRay-UV-OIR, and Free-Form Optics

TX08.3 - In-Situ 

Instruments/Sensor

A2.04 AERONAUTICAL INFORMATION SYSTEM SECURITY (AISS): 

Aircraft Systems

S11.05 Suborbital Instruments and Sensor Systems for Earth Science 

Measurements

S13.05 In Situ Instruments/Technologies for Lunar and Planetary 

Science

S13.06 In Situ Instruments/Technologies and Plume Sampling Systems 

for Ocean Worlds Life Detection

S15.01 Plant Research Capabilities in Space

S16.08 Atomic Quantum Sensors and Clocks

TX08.X - Other Sensors and 

Instruments

S14.02 Particle and Field Sensors and Instrument-Enabling Technologies

Z4.05 Nondestructive Evaluation (NDE) Sensors, Modeling, and 

Analysis

TX09 - Entry, Descent, and 

Landing

TX09.1 - Aeroassist and 

Atmospheric Entry

Z7.03 Entry and Descent System Technologies

TX09.3 - Landing Z7.04 Landing Systems Technologies

TX09.X - Other Entry, Descent, 

and Landing

Z7.01 Entry, Descent, and Landing Flight Sensors and Instrumentation

Z8.13 Space Debris Prevention for Small Spacecraft

TX10 - Autonomous Systems TX10.1 - Situational and Self 

Awareness

H6.22 Deep Neural Net and Neuromorphic Processors for In-Space 

Autonomy and Cognition

TX10.2 - Reasoning and Acting S17.03 Fault Management Technologies

TX10.3 - Collaboration and 

Interaction

H6.23 Spacecraft Autonomous Agent Cognitive Architectures for 

Human Exploration

TX10.X - Other Autonomous 

Systems

A2.02 Enabling Aircraft Autonomy

TX11 - Software, Modeling, 

Simulation, and Information 

Processing

TX11.2 - Modeling S17.04 Application of Artificial Intelligence for Science Modeling and 

Instrumentation

TX 11.X Other Software, 

Modeling, Simulation, and 

Information Processing

A2.03 Advanced Air Mobility (AAM) Integration

S11.06 Earth Science Decision Support Tools Focused on the Mitigation 

of Climate Change Impacts

S14.01 Space Weather Research-to-Operations/Operations-to-Research 

(R2O/O2R) Technology Development

S17.02 Integrated Science Mission Modeling
Fiscal Year 2023 SBIR Phase II Solicitation

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TX12 - Materials, Structures, 

Mechanical Systems, and 

Manufacturing

TX12.1 - Materials H5.02 Hot Structure Technology for Aerospace Vehicles

TX12.2 - Structures H5.01 Lunar Surface 50 kW-Class Solar Array Structures

H5.05 Inflatable Softgoods for Next-Generation Habitation Systems

S12.02 Precision Deployable Optical Structures and Metrology

TX12.3 - Mechanical Systems Z13.01 Active and Passive Dust Mitigation Surfaces

TX12.4 - Manufacturing H8.01 Low-Earth Orbit Platform and Microgravity Utilization for 

Terrestrial Applications

TX12.X - Other Manufacturing, 

Materials, and Structures

Z4.07 Advanced Materials and Manufacturing for In-Space Operations

Z14.02 Extraterrestrial Surface Construction

TX13 - Ground, Test, and 

Surface Systems

TX13.1 - Infrastructure 

Optimization

H10.01 Advanced Propulsion Systems Ground Test Technology

TX14 - Thermal Management 

Systems

TX14.1 - Cryogenic Systems Z10.01 Cryogenic Fluid Management

TX14.2 - Thermal Control 

Components and Systems

Z2.01 Spacecraft Thermal Management

TX14.3 - Thermal Protection 

Components and Systems

S16.05 Thermal Control Systems

TX15 - Flight Vehicle Systems TX15.1 - Aerosciences A1.01 Aeroelasticity and Aeroservoelastic Control

A1.05 Computational Tools and Methods

TX15.2 - Flight Mechanics A2.01 Flight Test and Measurement Technologies

H9.03 Flight Dynamics and Navigation Technologies

TX16 - Air Traffic Management 

and Range Tracking Systems

TX16.1 - Safe All Vehicle Access A3.03 Future Aviation Systems Safety

TX16.3 - Traffic Management 

Concepts

A3.01 Advanced Air Traffic Management System Concepts

A3.02 Increasing Autonomy in the National Airspace System (NAS)

A3.04 Nontraditional Airspace Operations and Aerial Wildfire 

Response

TX17 - Guidance, Navigation, 

and Control (GN&C)

TX17.X - Other Guidance, 

Navigation, and Control

S16.03 Guidance, Navigation, and Control
Fiscal Year 2023 SBIR Phase II Solicitation

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Appendix C: List of NASA SBIR 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 contains 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 

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.

52.204-27 PROHIBITION ON A BYTEDANCE COVERED APPLICATION

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 2023 SBIR Phase II Solicitation

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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.

52.222-37 EMPLOYMENT REPORTS ON VETERANS

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. 
Fiscal Year 2023 SBIR Phase II Solicitation

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52.233-4 APPLICABLE LAW FOR BREACH OF CONTRACT CLAIM. 

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. 
Fiscal Year 2023 SBIR Phase II Solicitation

57

1852.239-74 INFORMATION TECHNOLOGY SYSTEM SUPPLY CHAIN RISK ASSESSMENT. (DEVIATION 15-03D)

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