NASA Phase II SBIR Proposal Checklist

Introduction

Preparing a NASA Phase II SBIR proposal is a high-stakes process that demands precision, compliance, and strategic planning. This checklist is designed to guide small businesses—both startups and established firms—through the essential steps to create a complete, compelling, and compliant submission.

If you received a NASA Phase I award and are now aiming to continue your work through Phase II, this guide is for you. It distills the current NASA guidelines into an actionable format that saves time and reduces risk of administrative rejection.

Before proceeding, it’s critical to confirm eligibility: NASA Phase II proposals are only accepted from Phase I awardees responding to the same subtopic under which they were originally funded. If your proposed work veers outside that scope or addresses a different subtopic, it will not be reviewed.

Structure of the Technical Proposal

NASA requires all Phase II technical proposals to follow a strict 10-part structure, submitted as a single, continuous document. Each part must be numbered and titled exactly as described in the solicitation—even if the section is not applicable (in which case, label it clearly as “Not applicable”).

Each proposal must include the following 10 parts, in order:

• Table of Contents
• Phase I Results and Innovation
• Technical Objectives
• Work Plan
• Related R/R&D
• Key Personnel and Bibliography
• Commercialization and Business Plan
• Facilities/Equipment
• Subcontractors and Consultants
• Related or Duplicate Proposals

Failure to include even one of these parts, or presenting them out of order, may result in administrative disqualification. In addition, your proposal must comply with formatting requirements:

• Maximum of 46 pages (for the 2024 cycle)
• Standard 8.5” x 11” paper size
• Minimum 12-point font (Times New Roman or equivalent)
• One-inch margins on all sides

When in doubt, use the latest solicitation as your formatting source of truth.

SBIR awards are not loans—they’re grants or contracts.
NASA proposals must include every required section, even if some are labeled “Not applicable.”

Preparing Each Section of the Proposal

NASA expects proposers to clearly demonstrate how Phase II builds on Phase I results, meets technical goals, and shows potential for commercial and agency-specific impact. Each section of the technical proposal plays a role in that story. Here’s how to approach each of the ten required parts.

Budget Preparation Best Practices

Your cost proposal must be both realistic and strictly compliant with NASA’s funding caps and SBIR rules. For standard Phase II awards, the total proposed budget—including direct costs, indirect costs, and profit—must not exceed the published limit (typically $850,000). This does not include any optional TABA (Technical and Business Assistance) funds, which can be requested separately.

Align Budget with the Work Plan

One of the most common red flags is a mismatch between the budget and the technical Work Plan. Ensure the labor hours and tasks assigned in your Work Plan align exactly with your cost breakdown.

Document All Subcontractor and Consultant Costs

If using subcontractors or consultants, clearly describe their scope of work, labor hours, and rates. NASA requires that each subcontractor provide a letter of commitment and a quote or detailed cost estimate. Make sure small business performance is at least 50% of the total Phase II R&D effort.

Account for Equipment and Materials

Itemize equipment purchases, especially any items over $5,000. Include vendor quotes and justify why the equipment is necessary for project execution.

Include TABA Funding if Needed

TABA funds (up to $50,000 for Phase II) may be used for services like IP strategy, business development, and regulatory support. If you request TABA:

• Submit a separate TABA request form
• Identify the vendor and services to be provided
• Exclude TABA from your profit and indirect cost calculations

Submit a budget under $850,000 and keep your project length under 24 months.
Exceeding these limits will automatically disqualify your proposal.

Proposal Submission Process

Submitting your NASA Phase II proposal through the correct system and with all required documentation is just as important as the proposal content itself. NASA uses the Proposal Submission and Administrative Management System (ProSAMS), and missing any required component can result in rejection without review.

Submit Through ProSAMS

All NASA SBIR proposals must be submitted via ProSAMS. Make sure your registration is active, your company’s UEI and SAM.gov profiles are current, and the Principal Investigator is correctly listed.

Upload All Required Forms

In addition to the technical and budget proposals, you must include:

• Proposal Certifications form
• Briefing Chart (visual summary)
• Abstract (non-proprietary, ~200–400 words)
• Letters of commitment (if applicable)
• TABA request (if applicable)

Each file should be named exactly as NASA requires and uploaded to the correct section of the portal.

Verify Signatures and Submit Early

Ensure both the small business representative and PI have signed all required certifications electronically. NASA strongly recommends submitting at least 48 hours before the deadline to allow time for corrections.

Conduct a Final Review

Before clicking “Submit,” confirm that:

• All required files are uploaded
• Page limits and formatting rules are followed
• Every checklist item is completed

Proposals submitted after the deadline—or missing required electronic signatures—will not be reviewed.
There are no exceptions to this policy under NASA SBIR rules.

Common Mistakes and How to Avoid Them

Even strong technical proposals can be rejected or downgraded due to avoidable administrative errors or weak commercialization strategy. Below are some of the most frequent pitfalls NASA reviewers encounter—and how to prevent them.

Missing or Misnamed Files

Files must be labeled precisely as required and uploaded to the correct sections of the ProSAMS portal. Misnaming or omitting files (like the Briefing Chart or Abstract) can disqualify your submission.

Inadequate Phase I to Phase II Transition

The Phase I Results section must clearly demonstrate technical feasibility and set up a logical, measurable Phase II plan. Avoid vague language—quantify your outcomes and link them directly to the Phase II objectives.

Weak Commercialization Planning

NASA places heavy weight on the two-page minimum Commercialization and Business Plan. Avoid generic market statements. Instead, include specific target customers (e.g., named NASA mission offices), market size estimates, and steps toward productization.

Overuse of Subcontractors

NASA requires that small businesses perform at least 50% of Phase II R&D by cost. Reviewers will scrutinize proposals that heavily rely on external consultants or research partners.

Inconsistent Budget and Work Plan

A common mistake is to list personnel in the Work Plan who are not reflected in the budget—or to include budgeted items not mentioned in the Work Plan. Ensure the two documents are fully aligned.